Sustainable Innovation

Sustainable Innovation 2014

Contents Smart & Sustainable Cities as Drivers for Innovation - Martin Gertz Anderson ................................................ 6 Sustainable Governance – Setting Direction and Inspiring Change in a City Development Corporation - Stefan Book, Magnus Marmgren, Björn Gustafsson .................................................................................................... 7 Circular Economy Innovation in the Netherlands - Guido Braam, Anna van der Plas ...................................... 13 Driving Behavioural Change Towards Ecodesign Integration: Nudging Experiment in Industry - Fabien Brones, Morten Gyldendal-Melberg, Marly Monteiro de Carvalho, Daniela Pigosso, Tim McAloone .......................... 15 Architectural Approach towards Innovative Renewable Energy Infrastructure in Kapisillit, Greenland - Susan Carruth, Peter Gall Krogh ............................................................................................................................... 24 What Value Do Consumers Really Expect of Product Service Systems? Reflections On How A Different Conception Of Value Could Facilitate The Implementation Of PSS In Consumer Markets - Maurizio Catulli, Matthew Cook, Stephen Potter ...................................................................................................................... 31 Cities as Drivers for Sustainable Innovation - Martin Charter ......................................................................... 39 Implementing Product/ Service-Systems in Urban Environments: Toward the Co-evolution of the Universal and Contingent - Matthew Cook, Tim McAloone ............................................................................................ 43 Do Smart Solutions Help Create Sustainable Cities? - Matthew Cook, Stephen Potter, Per-Anders Langendahl ....................................................................................................................................................................... 50 Smart & Sustainable Cities Driving Innovation - Trevor Davis ......................................................................... 57 Transgressing Plastic Waste: Designedisposal Strategic Scenarios - Katarina Dimitrijevic .............................. 60 Textile Seam Separation Technology: Urban Area Disassembly and Sorting - Elaine Durham, Andrew Hewitt, Rob Bell, Stephen Russell ............................................................................................................................... 67 The Transformative Role of Calculative Devices in the Appraisal of a Large Scale System: Re-inventing the Bicycle as an Instrument of Public Health - Morten Elle, Jens Stissing Jensen ................................................. 73 The Next City - Gil Friend ................................................................................................................................ 79 The Fuzzy Front End of Sustainable Innovation: Findings Based on a Case Study on the Paper and Pulp Industry - Magdalena Gabriel, Elke Perl-Vorbach, Alfred Posch ..................................................................... 81 Innovative Development in the Northern Region, Case of Yakutia, Russia - Tuyara Gavrilyeva, Nadezhda Stepanova ...................................................................................................................................................... 89 From Individual Ideation to Collective Incubation: Time for Cities To Move From Transactional Intervention To Transformational Initiatives - Raz Godelnik, Jonatan Jelen ........................................................................ 97 2


Typology of Sky Gardens for High-rise Urban Living - Tony Ip ....................................................................... 102 Islands as Innovative Playgrounds for Sustainable Solutions - Søren Femmer Jensen .................................. 111 One Planet Living: A Tale of Three UK Urban Sustainabity Initiatives - Simon Joss ....................................... 114 Development of Sustainable Cities: Sequences, Stakeholders and Interaction - Thomas Kalling, Jessica Lagerstedt Wadin ......................................................................................................................................... 119 A Study of Member Motivations and Activities in Hackerspaces and Repair Cafés - Scott Keiler, Martin Charter ......................................................................................................................................................... 125 Improving Sustainability Through Material Design - Päivi Kivikytö-Reponen, Marjaana Karhu, Olli Salmi .... 138 Criticality of Resources from a Business Perspective: Extending Existing Approaches - Sandra Link, Hermann Kloberdanz, Naemi Denz .............................................................................................................................. 145 Cleanweb: How ICT Creates Environmental, User, and Market Value - Oriol Pascual Moya-Angeler ............ 153 R20 And The Green Growth Best Practice Report - Christophe Nuttall ......................................................... 160 Design for Resource Effectiveness: Developing Sustainability Considerations for Small Household Appliances Dilruba Oğur, Çağla Doğan ........................................................................................................................... 162 Accelerating the Shift to a Low Carbon Economy: What Kind of Local Leadership Do We Need? - Fred Paterson ....................................................................................................................................................... 172 Environmental Impacts of Production-consumption Systems in Europe - Almut Reichel, Lars Fogh Mortensen, Jasmina Bogdanovic, Mike Asquith .............................................................................................................. 181 The Catalonia Ecodesign Award: a Tool for Sustainability - Yolanda Morcillo Ripoll, Alfred Vara Blanco, Pilar Chiva Rodríguez ........................................................................................................................................... 185 City of Copenhagen: Involving Users in the Transformation of a Nice City to a Sustainable City - Tina Saaby191 Sustainable Innovation & Regions: Challenges & Opportunities - Gianluca Salvatori ................................... 195 Sustainable Innovation of Developing Smart Grids: a Socio-Economic Approach - Sabina Scarpellini, Juan Aranda, A. Aranda-Usón, Eva Llera, A. Ortego .............................................................................................. 198 Adapting Sustainable Product Development to Different Industries and Considering a Regional Context Josef-Peter Schöggl, Rupert J. Baumgartner ................................................................................................. 214 Academic Social Responsibility: “Urban Revitalization of Mass Housing” International Think - Local LearnGlobal Development Competition - Mohamed El Sioufi ............................................................................... 221 Sustainable Innovation of Glass Design and Craft - Maria Sparre-Petersen .................................................. 229

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Transition to Sustainable Cities a Socio-technical Approach for Transformative Innovation- Fred Steward . 235 Individual Upcycling Practice: Exploring the Possible Determinants of Upcycling Based on a Literature Review - Kyungeun Sung .......................................................................................................................................... 237 Macro to Micro, Mature to Emergent – the Information Flow from Innovators in Fashion Hubs; Can Micro Entrepreneurial Innovators in Sustainability Hubs Inform Bite Sized Sustainability Solutions in Globalised Fashion Industry Supply Chains? - Mo Tomaney .......................................................................................... 245 Green Development and Innovation in China - Yi Wang ............................................................................... 249 Sustaining Bike-Sharing Systems in China: Case Studies - Lihong Zhang, Jun Zhang, Zhengyu Duan, David Bryde ........................................................................................................................................................... 251

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Papers

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Smart & Sustainable Cities as Drivers for Innovation - Martin Gertz Anderson Martin Gertz Andersen CTO Green Seminars Hørsholm Denmark Many cities and towns now face a significant number of difficult challenges. For example, many are seeking to mitigate the effects of significant cut backs in costly, labour-intensive services such as care for the elderly, children and health. In addition, many cities and towns find themselves in an ambiguous situation where on the one hand they endeavour to promote green issues, like climate change adaption, whilst on the other they are being forced to defer the fulfilment of, for example, carbon reduction targets. The more the political and economic elite revolve around the so called "green growth" agenda the more they tend to shift away from the daily issues dominating people's lives. This mismatch of agendas makes it particularly difficult for a community to try to pursue the long-term goal of becoming a 'smart city'. Since the financial crisis and the drastic drop in energy prices, it has become even harder to ensure that renewable energy remains high on the political agenda. This has only been exacerbated by the emergence of controversial alternatives such as shale gas and increasing concerns with notions like carbon leakage and greenwashing. Energy poverty, mainly located in those euro (€) countries suffering from European Central Bank (ECB) bail-outs, has also become a growing social issue. In addition, 'green growth' policies that combine job creation with carbon reduction have encountered multiple challenges and impediments. Cities and towns have found themselves in dilemmas in setting the 'green growth' agenda whilst ensuring the financial and organisational backing to move towards sustainable economic growth. After 2009 and the emergence of the 'green growth' era many cities and towns embarked on different regimes where the local governing boards strived to over-bid for carbon reduction targets. During the financial crisis many cities and towns tended to cool down their own carbon reduction expectations making severe or incremental cut-backs in the financial budgets supporting such carbon measures. The result has been a lack of a clear plans and trajectories on how to achieve these targets and realise the good intentions set for 2020 and beyond. As a pioneer who brought the 'smart city' concept to Denmark, I am confident that those cities and towns, who held such good intentions, will achieve their expected gains albeit over a bit longer time period than originally foreseen. Perversely, the financial crisis has generated many opportunities. A new 'smart city' Klondyke, has become a reality to those who have dared and have been capable of deploying both seed funding and investment. But it does take leadership, and one may ask whether cities and towns are prepared to look beyond their next elections?

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Sustainable Governance – Setting Direction and Inspiring Change in a City Development Corporation - Stefan Book, Magnus Marmgren, Björn Gustafsson Stefan Book CEO, Partner and Senior Management Consultant Effort Consulting Göteborg Sweden

Magnus Marmgren Partner, Senior Management Consultant and PhD Student Effort Consulting Göteborg Sweden

Björn Gustafsson Technical Manager Göteborg Sweden

Introduction In the spring of 2013 a decision was taken on corporate level at Förvaltnings AB Framtiden 1 (Framtiden), a group of seven companies managing 70600 apartments , fully owned by the City of Gothenburg, with the common vision to ―build the sustainable society for the future‖. The decision concerned the development of a sustainability framework for the group, and the work has gained recognition among the top politicians in Gothenburg as well as industry representatives. There is an ongoing process where a documented sustainability guide is influencing corporate governance. The central ideas of Corporate Governance evolve over time, and today CSR/Sustainability has become a major concern in many companies (Tricker, 2012). Porter and Cramer (2006) show that seeking ―shared value‖ and synergies among stakeholders can be a strategic advantage. The Global Corporate Sustainability Report (2013) states that ―the case for responsible business practices is strengthening, with a growing number of companies taking action. Turning a blind eye to sustainability issues is a ticking time bomb, and hiding missteps – no matter how deep down the supply chain – is no longer an option‖. The purpose of this paper is to explore the process at Framtiden leading to a situation today where corporate governance is changing into a more conscious sustainability focus. The paper discusses

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The largest municipality owned public housing corporation in Sweden

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central mechanisms that can influence the long term ability to govern the corporation in a sustainable way. The work at Framtiden is conducted as part of an action research approach aiming at developing the the corporation, as well as creating knowledge. It is a matter of applying both first hand understanding via own experiences and second hand understanding facilitated by theories forming an analytical framework (Gummesson, 1991). One guiding idea is that theories in use will stimulate the productive learning and outcome of this research process (Schön, 1983).

Analytical framework The analytical framework is founded on theories and experiences that can help in clarifying the interaction between ideas and behavior in organizations. We use the framework to organize and make sense of data and experiences from Framtiden in order to understand mechanisms influencing long term success (Weick, 1979, 1995). In line with Czarniawska and Joerges (1996) this is partly a matter of understanding the travels of ideas within and among organizations. A central theme in the framework is based on Nonaka (1994) explaining how productive learning takes place through dialogue between tacit and explicit knowledge. While individuals develop knowledge, organizations play a critical role in shaping conditions for a process of knowledge creation. This knowledge guide action and influence our capability. Figure 1 (developed from Marmgren, Clancy, Alänge 2013) visualize a structure that guides our analysis. A central idea is to use it as a reflective tool rather than focusing on it. In focus are the patterns (Book, 2006) in the organization and the knowledge produced as we use it in action. One key aspect is the nature of learning within the organization which can be stimulated by conscious development of learning alliances between key persons (Frischer et al. 2000).

Figure 1: A structure facilitating productive learning, focusing explicit and tacit guiding knowledge and its relation to action producing results for stakeholders. Tacit guiding is the generally subconscious ―patterns‖ or ―tracks‖ in our brains that actually guide actions in a specific situation whether it is riding a bike, operating a production line or running a complex project. Tacit guiding knowledge cannot be directly observed but inferred by looking at action 2 or approached by interviewing . This is in line with system 1 patterns of thinking (more intuitive) as described by Kahneman (2011) whereas the system 2 type of thinking (more conscious) takes place as part of explicit thoughts and ideas.

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This requires going beyond the first response to go in depth with the interviewee

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Sustainability as a concept can create good conditions for innovation and drive success on several levels (Nidumolu et al., 2009). Different and often contradictory thoughts and ideas can create tension among individuals and stimulate ideas and innovation (Fonseca, 2002). This however, is dependent on the conditions for innovation. Contradictory thoughts can also lead to conflict, power struggles and problematic patterns. The ability to understand organizational patterns in the specific context and adapt external ideas to make them more compatible is central (Book, 2006, Marmgren, Clancy, Alänge, 2013), as is the process of implementation (Lewin, 1948).

Setting Direction for Sustainable Governance To explore the process at Framtiden we describe three parts: the starting point for the work, the sustainability ideas brought into the organization and the situation now. Starting point Framtiden is engaged in work intuitively associated with sustainability. It is within their purpose, as a municipally owned company, to do good and contribute to society. Employees are proud of the contributions to society in the daily work. A vision also exists to ―build the sustainable society for the future‖, but there is a lack of guidance on how to actually fulfill this vision. This can be problematic in a municipality owned company like Framtiden which has a complex situation in the governance structure. The board of directors on all levels of the corporation consist of politicians with varying agendas based on different political ideas and budgets. The positive side of having politicians in the board is that, in line with the vision, the good society and cultural values are in focus instead of a narrower financial perspective. A problem exists in a situation where employees are afraid to make mistakes. Some perceive a negative stress related to expected achievements and measurements of leadership. A risk prevails that this inhibits innovation and productive stakeholder dialogue. This is due to the fact that media and other stakeholders have observed problems in several municipality owned companies. Serious criticism are brought forward in media, and problems in Gothenburg gain much more attention than the success stories that are also part of reality. In the beginning of 2013, at the starting point of the sustainability initiative, there were questions regarding the interpretation of CSR and sustainability in the context of Framtiden. The documented vision, owner directives for the mother and daughter companies, documented business plans and the city budget were not aligned in a clear and explicit direction for sustainable governance. A balanced scorecard logic existed but it did not guide behavior and action in a clear and intuitive way, given the purpose of the organization. Furthermore a reporting culture, with clear directives to report in different systems did not lead to feedback guiding action. One company within the group had used GRI3 for Sustainability Reporting, and this had also been praised, but the contents of this report did not gain any momentum. In fact, the sense was that this was still another report following certain demands. The structure did not produce creative tensions driving innovation and improvement. Instead, it summarized what was already going on, within an external structure that was not natural to the company. Sustainability ideas inspiring change A central idea was to build a strong sense of what sustainability means in practice The ambition was to build momentum around a sustainability idea that could stimulate the organization´s development with the focus on core issues. A threat against this ambition was that the corporate initiative would be seen as still another top-down reporting initiative creating conformity oriented ways of organizing. Another threat would be that this idea would challenge assumptions among professionals with an auditing and inspection focus. It was considered essential to build from what already existed within the organization and not implement a predefined management model. External models and theories could serve as inspiration but not as the central guiding mechanism. The intention was instead to create a sustainability guide that Framtiden would be proud of. Something they felt ownership of. Referring to Book (2006) we wanted to understand underlying patterns and adapt the work accordingly. Central theoretical standpoints can still be used, but with respect for patterns that may influence the effects of the work.

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Another key was to use attractive visualization that could call attention and stimulate communication of the sustainability ideas being developed. A central idea providing inspiration was that a sustainability oriented organization ―take responsibility 3 and strive for long-term success by creating value for and with stakeholders , and balancing their needs in the short and long term‖. Another central idea was that sustainability is driven by learning through successive understanding of the organization understood as a system. This system is formed by several sub systems, which relate to external levels of interrelated systems. The systems view can also be used on a higher system lever, addressing global development as done in Brundtland (1987) pointing at several systems that need to function in order to reach a sustainable society. Finally, three central questions, in line with ISO 26000, was proposed to guide the work:   

Who are our stakeholders? What focus areas should be prioritized to satisfy the needs of our stakeholders? 4 Which principles should guide?

Now Today there is a shared view of sustainability in Framtiden on corporate level, among board of directors and among CEOs in the daughter companies. A sustainability guide exists that can guide coordinated thought and action. The ideas in the guide facilitated the work on the first sustainability report developed on corporate level. The sustainability report is used for communicating, internally and to external stakeholders, what sustainability is at Framtiden, how they work, the results they have achieved and their aspirations. Central in the guide and report are eight defined focus areas (prioritized areas) that define the type of results to strive for. In each area a number of aspects have been identified to clarify the meaning in practice. These areas are related to needs that the identified prioritized stakeholder groups have.

Figure 2: Prioritized focus areas and stakeholder groups New ideas regarding sustainable governance at Framtiden have been developed. These ideas are now also enacted in meetings and when writing key documents like the business plans. At a larger system level they have started to spread inside and outside the group, both through spoken communication and actions. Two key tools in communication are the sustainability report and sustainability guide. A central part of the strategy is to integrate sustainability into the tacit guiding knowledge that each person is carrying as they are fulfilling their role in the organization. So far, the

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The nature and future generations are considered stakeholders

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These principles has so far been tacit guiding through the work on the eight focus areas, but the plan is to define them thoroughly, bringing the tacit into explicit knowledge.

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integration into tacit knowledge has mostly taken place on a governance level, but it is inspiring the daughter companies and other stakeholders‘ communication. In fact one daughter company found their own way of addressing sustainability as a consequence of the work at the corporate level. The sustainability guide helped the daughter company more clearly define their role within the groups sustainability oriented mission. The sustainability report and guide have so far gained positive recognition. A lot of work remains however, and the sustainability report clarifies that this is a learning journey. One important test is coming now when stakeholders are raising issues and questions. What is happening in action as a consequence of communication relating to the transparent sustainability work? A group of stakeholders – senior citizens – symbolize this moment of truth as they communicate certain issues and questions in a letter to Framtiden. They used the sustainability report to communicate regarding living options for senior citizens. Hence, the report has in this case facilitated stakeholder communication.

Discussion What are the central mechanisms influencing the long term ability to reach a natural and intuitive way of governing and driving a corporation in a sustainable way? Certainly we had some ideas going into the work at Framtiden. One central part of the sustainability initiative has been to build guiding ideas and document these, in an inspiring way, so that they can stimulate dialogue and further development. As explicit thoughts and ideas are related to what is going on in action, creative tension can drive innovation, development and emergence of tacit knowledge. At Framtiden we are forming guiding ideas anchored in the core operations to gain ownership, rather than directing attention to external influences. Naturally, external influences are important over time and also during internal learning processes. Consultants have brought in ideas presented in ―ideas inspiring change‖. A question is how the explicit ideas concerning sustainability are integrated in action relating to stakeholder needs.The situation where senior citizens take contact is an opportunity for learning, what the sustainability ideas mean in action on corporate level. Many such situations will occur and their consequences in action will naturally influence the learning journey ahead. So far, it is reasonable to believe that a few key persons having taken part in the work have integrated the guiding ideas into the tacit guiding knowledge influencing behavior and action directly. Other persons are relating to the ideas, but not as part of their natural way of thinking. In line with Lewin (1948), it takes more conscious actions to stimulate group processes and development of shared ideas. The transparency regarding the way of thinking that is promoted from corporate level has been greatly improved. In fact, regarding sustainability, the only guiding idea was related to the generic model of the triple bottom line: Economic, Environmental and Social dimensions of development and results. In practice, this structure of thought did not lead to an integration of sustainability. It resulted in efforts to package what existed in an external and generic structure. This raise questions regarding the more normative suggested ways of addressing challenges of sustainability. Today, as a consequence of the history, outside scrutiny and feedback may easily be taken as criticism not leading to honest reflections that can guide actions to improve. Instead of a situation where stakeholders mobilize together and act on shared interests, we have a situation influenced by mistrust. One example is the scrutiny of stakeholders like media or representatives of those living in apartments. It seems like the consequence is negative tension instead of creative tension driving innovation (Fonseca, 2002). To stimulate a climate of creative tension that can drive innovation and development should be central. In the operations such tension seems to exist between stakeholders and employees with a common interest to satisfy certain needs or desires. The question is how work on corporate level can benefit from similar creative tension to promote a long term development of a sustainable governance. The intuitive answer could be to further clarify the processes and roles of the persons working on corporate level to promote a sense of urgency relating to concrete needs that require action. The risk is that a perception of success and lack of action strikes back and creates problems in line with Keating et al. (1999) discussing improvement paradoxes from reality. It seems like the progress at Framtiden continuously will lead to concrete action and learning however. The future will tell us more about this.

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References Argyris, C., Schön, D. A. (1996). Organizational Learning II. Reading, Massachusetts: Addison-Wesley Publishing Company. Book, S. (2006). Naturalizing Quality Management: A problem of organizing in processes of change. Division of Quality Sciences, Chalmers University of Technology. Brundtland, G. H. (1987). Report of the World Commission on environment and development:" our common future.". United Nations. Czarniawska, B., Joerges, B. (1996). Travels of Ideas. In B. Czarniawska & G. Sevon (Eds.), Translating Organizational Change, Berlin, Walter de Gruyter, 13-47. Fonseca, J. (2002). Complexity and Innovation in Organizations. London, Routledge. Frischer, J., Alänge, S., & Scheinberg, S. (2000). The learning alliance: Relational aspects to the development of competence. In Work Values and Organizational Behavior Toward the New Millennium: Proceedings, from the 7th Bi-Annual ISSWOV conference in Jerusalem, June 25-28, 2000 (pp. 165-172). Gummesson, E., (1991). Qualitative Methods in Management Research. Newbury Park, California, SAGE Publications (revised edition). ISO, I. (2010). 26000 Guidance on Social Responsibility. The International Organization for Standardization, Geneva, Switzerland (November 2010). Kahneman, D. (2011). Thinking, fast and slow. Macmillan. Keating, E. et al. (1999). Overcoming the Improvement Paradox, European Management Journal. Vol. 2, No. 2, April, 120-134. Lewin, K. (1948). Group Decision and social Change. In M. Gold (Ed.), The Complete Social Scientist (pp. 265-284). Washington, DC: American Psychology Association. March. J.G. (1991, February). Exploration and Exploitation in Organizational Learning. Organization Science, Vol. 2, No. 1, pp. 71-87. Marmgren, M., Clancy, G., & Alänge, S. (2013). Management Systems‘ Influence on Sustainable Innovation: A Comparative Analysis of Two Large MNCs. In 18th International Conference on Sustainable Innovation, Epsom, UK, 4th–5th November 2013. Nidumolu, R., Prahalad, C. K., & Rangaswami, M. R. (2009). Why sustainability is now the key driver of innovation. Harvard business review, 87(9), 56-64. Nonaka. I. (1994). A Dynamic Theory of Organizational Knowledge Creation. Organization Science, Vol. 5, No. 1, pp. 14-37. Porter, M.E. & Kramer M.R. 2006. ―Strategy & Society: The Link between Competitive Advantage and Corporate Social Responsibility‖. Harvard Business Review, December, pp. 78–92. Schön, D.A. (1983). The Reflective Practitioner: How professionals think in action. US, Basic Books. Scott, W. R. (1998). Organizations: Rational, Natural, and Open Systems, fourth edition. New Jersey, Prentice Hall. Tricker, B. 2012, Corporate Governance – Principles, Policies, and Practices, Oxford University Press, Oxford. United Nations Global Compact (2013), Global Corporate Sustainability Report, UN Global Compact. Weick, K. E. (1979). The Social Psychology of Organizing (second edition). New York, McGraw-Hill. Weick, K. E. (1995). Sensemaking in Organizations. Thousand Oaks, California: Sage.

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Circular Economy Innovation in the Netherlands - Guido Braam, Anna van der Plas Guido Braam Executive Director Circle Economy The Netherlands

Arjanna van der Plas Communications Director Circle Economy The Netherlands

Abstract The paper gives an overview of a circular economy innovation initiative being driven by Circle Economy in the Netherlands. The approach advocates a systems driven approach to circular economy that includes multi-stakeholder collaboration utilising a smarter government policy strategies that stimulates and incentives grassroots innovation.

Background We live in turbulent times. It has never been tougher to predict - even - the short-term future. Extrapolating the past is no longer a good enough option because disruptions and oscillations seem to have become a daily happening. Everything – industry, finance, people and nations – is ever more inter-connected. A minor change on one side of the world can lead to turmoil on the other. What does this mean for policymakers, especially in terms of the circular economy? There‘s no way to predict when or how the transition towards a circular economy will happen, and there are no rules yet for how to accelerate that transition. Over recent years are a number of individuals and organisations have emerged that are starting to act as catalysts and facilitators of change towards circular economy. However, in the Netherlands it has been recognised that it is important to combine both a strong vision with a facilitating mindset. In 2013, the Dutch foundation ‗Circle Economy‘ signed a ‗Green Deal‘ with the Dutch government that jointly committed it, along with the Dutch Social Economic Council, De Groene Zaak, MVO Nederland and the Amsterdam Economic Board, to the creation of a national programme aimed at positioning the Netherlands as a circular hotspot. This challenges the Netherlands to accelerate its transition towards a circular economy but is also designed to encourage other countries to follow suit. If the circular economy is to become a reality, all stakeholders need on be actively involved in thinking and doing from business and science, to finance and government.

„Top down‟ and „Bottom up‟ The UK-based economist Mariana Mazzucato and London Business School‘s management guru Lynda Gratton have both provided inspiration for the emerging circular economy thinking in the Netherlands. Mazzucato‘s ‗The Entrepreneurial State‘, describes how some governments have been the source of the radical, trail-blazing types of innovation through their funding of highly risky research. She cites the rise of Silicon Valley, highlighting that the U.S. federal government rather than venture capitalists laid the foundations for the booming internet hub through pre-competitive seed-funding. 13

Sustainable Innovation 2014 In parallel, Gratton, advocates a more bottom-up ‗hotspot creation‘ approach. ―You always know when you are in a Hot Spot‖, she says. ―You feel energised and vibrantly alive when the ideas and insights from others miraculously combine with your own in a process of synthesis from which springs novelty, new ideas, and innovation.‖ Gratton believes that you must create the right conditions with a vision that excites. Both Mazzucato and Gartton‘s thinking provides a solid platform for the Netherlands to become a circular hotspot. This requires Dutch (and other governments) to be visionary and inspiring by utilising novel ‗top down‘ policy tools in conjunction to effectively facilitating ‗bottom up‘ developments. These initiatives must fit real needs, rather than perceived ones, and the conditions must be created for collaboration between hotspot stakeholders.

Systems thinking and stakeholder collaboration Circle Economy‘s network of innovators have each committed to starting up a circular project by creating inspiring examples and paving the way for others. However, a key lesson learnt is that it is not doing lots of projects, but more about completing effective projects, which may mean reframing the problem. Helping a dairy factory to make better use of manure is a good idea, but it might have more impact to discuss whether intensive livestock is the best way to use scarce land. To create a more holistic view of problems, Circle Economy developed ‗Circle Scan‘, as a method for locating the real leverage points in a system. This has allowed the identification of projects that are genuine system changers. Circle Economy‘s strategy is to collaborate with the visionary leaders in science, business, and government to build a shared vision of what the Netherlands would look like as a circular hotspot, and what is needed to get there. To support this, a ‗Circularity Framework‘ is being developed for decisionmakers at a national and organisational level. Integral to this is a mapping exercise that is being undertaken to identify bottom-up initiatives that are already active in the Netherlands, so that the government can support them by creating the right conditions.

Future A systems-driven circular economy strategy engaging multiple stakeholders – ‗top down‘ and ‗bottom up‘ will benefit both individual countries e.g. Netherlands and also Europe as a whole. In an economy, as in nature, we can only grow by creating the right conditions. The right incentives for boosting bottom-up circular economy initiatives need to be created and implemented, and this may mean replacing old policy instruments with new unfamiliar ones that have been co-designed with stakeholders. This is not ‗business as usual‘ and will require creativity, commitment and leadership.

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Driving Behavioural Change Towards Ecodesign Integration: Nudging Experiment in Industry - Fabien Brones, Morten GyldendalMelberg, Marly Monteiro de Carvalho, Daniela Pigosso, Tim McAloone Fabien Brones Scientific Manager Ecodesign and Environmental Impact Natura Inovação e Tecnologia de Produtos Ltda. São Paulo Brazil

Morten Gyldendal Melberg Research Assistant Technical University of Denmark Lyngby Denmark

Marly Monteiro de Carvalho Associate Professor Production Engineering Department Polytechnic School - University of São Paulo São Paulo Brazil

Daniela C. A. Pigosso Postdoctorate Department of Mechanical Engineering Technical University of Denmark Lyngby Denmark

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Tim C. McAloone Professor, Department of Mechanical Engineering Technical University of Denmark Lyngby Denmark

Abstract This paper describes a research study conducted at Natura, a large Brazilian cosmetic company, in order to stimulate more systematic sustainable innovation practices by means of behavioural change. Within the ―soft side‖ of ecodesign implementation, ―nudging‖ is a novel approach brought from social sciences and policy making. An empirical experiment identified and tested employee motivations in combination with behavioural influences, in order to positively affect employees‘ intention to practice ecodesign. This original experience of green nudging in a private company context supported the diffusion of the current ecodesign programme, which may contribute to turn change strategies more effectively in complex business and human organisational situations, where management styles evolve and rely on more autonomous individuals and teams. Further research and application on sustainable changes should systemically consider individuals‘ engagement, including behavioural aspects, interaction with project teams and higher level business organisations.

Introduction: new explorations into ecodesign integration Although the evolution to more environmentally sustainable business operations has gained increased recognition in corporations and academia (Sterman, 2012, Lubin and Esty, 2010), companies still face various challenges when dealing with the effective implementation of ecodesign into their product development and related processes, towards an increased environmental performance, from an organisational to a personal perspective (Brones & Carvalho, 2014; Pigosso et. al, 2013). Despite the existence of relatively consolidated research on the technical and management aspects, the incorporation of ecodesign at the individual level is still in its early stages. The ―soft side of ecodesign‖ has emerged as a research stream dealing with human aspects of integrating ecodesign (Boks 2006, Stevels 2007, Verhust & Boks 2012). Within this stream, besides organisational approaches, detailed individual and behavioural aspects that have not yet been fully developed (Szeler & Melberg, 2014). The research presented in this paper is embedded in a Research and Development programme conducted since 2011 by Natura, one of the largest cosmetics manufacturers in Brazil. In collaboration with external specialists, this programme aims at a broader integration of ecodesign within the product development process (PDP), following a ―bottom-up approach‖, stimulating voluntary adoption. This paper details a research study to experimentally use new principles in order to leverage individual change, and in particular a wider adoption of new ecodesign tools and practices (Brones et al, 2013). Section 2 presents the methodology used in the project, based on insights from a literature review. Section 3 exposes a summary of the main results of a field study, evaluating attitudes inside the company, related to ecodesign practice. The results of the experiments are discussed in Section 4, including final considerations for broader applications and future research.

From literature review to experimental methodologies The methodological approach was developed within the Action-Research (AR) perspective, within the second cycle of an ecodesign programme, held by Natura in collaboration with the University of São Paulo and the Technical University of Denmark. The general AR framework (Brones et al., 2013), is based on Lewin´s principles (1946), as a way of learning about organisations through trying to change them. This article exposes a set of social experiments, conducted to explore the potential drivers of behavioural change associated with ecodesign integration into product development. The 16


experimental work was preceded and based on a review of existing literature on change management issues and behavioural theory associated with ecodesign implementation. Emergence and need for the “soft side of ecodesign” Whereas the (technical) principles of ecodesign were consolidated in the late 1990s, new insights on ecodesign management and organisation emerged in the same period. Lenox & Ehrenfeld (1997) explored the ―environmental design capabilities‖, based on the capabilities literature and four case studies. Also from the US, in a pioneer ―walk on the human side of industrial ecology‖, Cohen-Rosenthal (2000) discussed ―the centrality of human decision, imagination, skill, and process in effective industrial ecology applications‖. In an exploratory study on implementing eco-design principles in companies, McAloone & Evans (1999) introduced the overall concept of an observed sequence of change and change management issues. Lofthouse (2003) proposed the Information-Inspiration source and process to promote ecodesign tools for industrial designers. Charter & Tischner (2001) featured that it is ―important to consider ‗soft factors‘ such as organisational structure, systems, communications and corporate culture‖, and that ‗soft issues‘, aimed at gaining involvement from business functions are essential to address. However, according to Stevels (2007), the concept of ―Soft Side of EcoDesign‖ has been introduced more consistently by Boks (2006): ―The emergence of these relatively new topics in the ecodesign community is by some, in particular those with an engineering attitude and/or background, addressed as the soft side of ecodesign, referring to a variety of sociological, psychological and perhaps intangible factors that research should address as well‖ (Stevels, 2007, p.161).

Nevertheless, this trend has progressed relatively slowly. According to Zahari & Thurasamy (2012), firms are still ambiguous to embark on green product innovation, because they lack technical and human resources capabilities. Kerga et al. (2011) observed similar challenges. More broadly, human and organisational commitment is also decisive for the ―greening of companies‖ (Jabbour et al, 2013). Ecodesign integration can follow top-down approaches driven by management leadership or alternatively bottom-up initiatives - technical projects emerging from the field (Charter and Tischner, 2001; Fiksel, 2001; May et al., 2012; Stevels, 2007; Zhang et al., 2013). Complementary knowledge could be brought from social sciences on wider change management perspectives to give rise to a novel approach on ecodesign integration. Knowledge from change management and behavioural theories A review of previous literature explored knowledge from social science, linking organisational and behavioural theories to ecodesign management, as represented in Figure 3.

Figure 1: Overview of change management approaches for ecodesign (adapted from Szeler & Melberg, 2014)

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The review showed that the behavioural dimension (e.g. expectations, intuition and judgment, individual decision-making processes, biases, power conflicts) has been only scarcely studied for ecodesign integration, since the ―soft side‖ stream has more focused on organisational issues (Szeler & Melberg, 2014). Recent works have highlighted opportunities of using behavioural theory for policy-making, in order to encourage lifestyle change considering sustainability requirements. A new approach named ―green nudges‖ has emerged. Nudging refers to new types of incentive strategies, capable of leading individuals to make choices in the collective interest, without being prescriptive or guilt-inducing (Thaler & Sunstein, 2008; Selinger & Whyte; 2010; Oullier et al., 2011). This approach makes use of shortcomings or ―biases‖ in human decision-making or non-rational choices. A wide range of influences can affect decision-making and guide behaviour, but there is no formal guide on how to apply the influences and the execution. No previous study has been found using nudging techniques to influence professional attitudes and choices in the direction of sustainable innovation. Such an approach of using behavioural knowledge, including green nudges, could be an original experience towards encouraging ecodesign integration at individual level. Experimental methodologies The experimental motivational study was conceived to experiment new scientific inspiration to foster ecodesign integration within Natura Product Development teams. In this work, the methodological approach was rooted in Design Research Methodology (Blessing & Chakrabarti, 2009). Figure 2 summarises the practical aspects of the empirical research phase. The field work was conducted at Natura‘s headquarters in Cajamar, Brazil, in November 2013.

Figure 2: Nudging empirical research overview In order to identify the most significant motivators for employees involved in the PDP at Natura, two workshops were facilitated, involving employees from different areas and completed with individual interviews. Based on literature on behavioural change theory, experiments were designed, aimed at exploring the combined effect of behavioural influences and motivation on behavioural intention, to achieve a desired behaviour: ―Practicing ecodesign, including the use of ecodesign tools‖. Two sets of experimental sessions were conducted, both initiated by a pre-baseline question, to establish a point of reference, as seen in figure 2. The baseline experimental session tested the isolated effect of four behavioural influences, while the actual experimental session tested the combined effect of behavioural influences and selected motivators. The experimental sessions involved 27 employees (11 from product development and 16 from marketing) through individual interviews, including quantitative questions, where the intention to practice ecodesign was measured using a five-level Likert-scale, plus open-end questions. The data analysis comprehends qualitative and quantitative approaches.

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Experimental results Identified motivations The workshops identified the motivating factors for practicing ecodesign at Natura, as indicated in Table 1. Table 1: Summary of main motivations identified and ranked in the workshop sessions and interviews (by overall perceived importance) Identified motivations

Rank

Type

Add innovative quality to the products

1

Extrinsic

Visualization of the results of using Ecodesign

2

Extrinsic

I learned something new and increased my knowledge and skills

3

Intrinsic

Could increase brand value and image

4

Extrinsic

Natura had ambitious and clear goals within sustainability

5

Extrinsic

It adds a competitive advantage (like innovation, brand value etc.) to the end-product

6

Extrinsic

It will provide experience that will improve my CV

7

Extrinsic

It is aligned with Natura‘s business objectives

7

Extrinsic

Behavioural motivation can be extrinsic (engaging in a behaviour in order to obtain some goal that is apart from the behaviour itself) or intrinsic (engaging in a behaviour because of personal satisfaction and inherent interest in the activity itself). All but one of the identified motivations to practice ecodesign were extrinsically motivating, meaning that a personal interest in practicing ecodesign is not expected. More than half of the identified motivations related to the associated company benefits. The identified motivations and their origin give an important insight into what drives the employees in doing their work. Results of the nudging experiments The experimental interviews intended to test the effect of various behavioural influences and motivators on the behavioural intention to engage in the target behaviour (to practice ecodesign). A first interesting result was the very high declared intention to practice ecodesign that was obtained in the pre-baseline phase, with 80% of the interviewed people, as can be seen in figure 3.

Figure 3: Distribution of pre-baseline scores on the five steps of the Likert scale (26 answers from Marketing and Product Development). As for the experimental sessions, the design of the questionnaire and number of respondents led to very small cells for each combination of influences and motivators to be tested (two to five participants), which led to non-statistically conclusive results. For this reason, the results from the experimental sessions can only be used as an indication of tendencies for the behavioural change effect of the influences and identified motivators.

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While the results are not statistically conclusive, in most instances the measured intention remains either unchanged or increased. Only a few individuals expressed a decrease in intention. Hence the potentially negative effects of conducting the experimental sessions in terms of employees‘ behavioural intention can be considered as relatively faint. Four behavioural influences were tested during the experimental sessions: Messenger influence, Norm influence, Priming influence and Commitment influence. Table 2 summarises the observed tendencies. Table 2: Summary of collective tendencies of the nudging experiments

Influences Messenger

Tendencies  Highest influences among the four tested influences.

3 potential sponsors for the  A strong connection between employees and their directors is ecodesign tools from the top crucial. management were proposed for each public (director, innovation  Combining the messenger influence with motivation had only limited effect. VP or business VP).  Adding motivation had the greatest effect on employees from marketing. Norm

 Limited effect.

The participants were informed  Combining the norm influence with motivation double the effect that a survey had been performed compared to using the influence on its own. at Natura, showing that 86% of development teams intended to  Adding motivation had the greatest effect on employees from marketing. practice ecodesign. Priming

 Limited effect.

Several potential motivating  The only motivation that was successfully primed, and showed an arguments were proposed increased connection to the practice of ecodesign was: ―Adds (selected from the previous competitive advantage to the end-product‖. workshops, for both publics). Commitment

 No effect on its own.

Participants were told that  Combining the commitment influence with priming increased the information about ecodesign effect, for product developers. would be sent to them by e-mail as a follow-up on the interview.  The motivation with the strongest effect was: ―adds innovative quality to the end-product‖. Their intention, if positive, was then captured by having them tick a box on their hand-out material.

Also, it was observed that the participants‘ comprehension of ecodesign was fair and they also stated the relevance of ecodesign for Natura: ―It is very important, it fits with Natura‘s strategy to lower CO2 emissions and water footprint‖ and ―Environment and Natura fit together. Ecodesign is a good tool.‖ (Product developers). Participants from marketing stated: ―Natura wants better products with less CO 2 emissions, more eco-friendly products‖ and ―It is very important to Natura. The business unit directors and the product committee value sustainable products.‖ However, the overall knowledge about ecodesign and the new ecodesign tools proved to be partial, as illustrated by the following statements: ―I would like more knowledge on ecodesign. I intend to practice ecodesign, but cannot really tell as I do not know how it will affect my work‖ and ―I need a better understanding and knowledge of the ecodesign tools‖. One of the participants from Marketing provided the following elaboration on the pre-baseline question: ―It is very easy for marketing people to agree with the intention to practice ecodesign and use the tools as it won‘t affect our work‖. Several interviewees from marketing presumed that ecodesign tools would be mainly used by product developers, just as the Carbon Calculator is. This comment confirms a lack of knowledge about the new tools to be used in the early stages of the PDP by multifunctional teams. The interviewees‘ true intention for practicing ecodesign is difficult to assume. Most participants expressed that practicing ecodesign was important for Natura, both in regard to competitive advantage

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and the environment, which might suggest that the intention they stated related more to the importance for Natura, rather than their actual individual intention.

Discussion and conclusions The experiences described highlighted new kinds of challenges for implementing ecodesign in a real life organisational context and brought additional insights. This is one of the first reported experiences of green nudging in a professional company context to promote more sustainable innovation practices, as a promising change strategy. The nudging experiments revealed a somehow paradoxical situation, where a large majority of people involved in product development declared a very high intention to practice ecodesign but seemed to have a relatively superficial knowledge of the concept and not to be connected with the new tools developed within the last years. This situation, coupled with challenges faced in the application of a complex questionnaire design, led to non-statistically conclusive results. Such risk was assumed by the research team, knowing that this experience on nudging was quite new, with high uncertainty on the applicability of experience patterns, particularly in a company context. Another limitation was the use of the declared intention (to practice ecodesign) as a ―behaviour‖ in the experiments, due to the difficulty to observe such a complex behaviour more effectively. In future research, the questionnaire design should be improved, considering the sample size and number of factors to be tested, as well as the definition of observed behaviour. Nevertheless, such exploratory research brought a series of new insights that have been applied to reinforce ecodesign dissemination at Natura. The observed paradox led to Natura question the chosen bottom-up approach for integrating ecodesign, and to consider the necessity of a more directive top-down support, as commonly recommended (ISO 14062, 2002; ISO 14006, 2011). It was also noticed that Marketing leaders, who have a key role in the current innovation projects, particularly in the early phases, are being evaluated based on many parameters, but the use of ecodesign is not one of them. Hence, one of the actions that emerged stands in seeking for stronger endorsement from top management, both in the Innovation Department and in the Business Units (marketing teams). The results of the nudging experiments have been used in such debate with innovation management teams. Besides the continuation of collective motivation and initiations to ecodesign principles, it appeared as necessary to more clearly formalise the recommended use of ecodesign tools in the formal PDP guidelines. However, in continuity with the previous strategy, the new practices and tools are still presented as recommended and not compulsory. This relatively indulgent form of promoting the evolution of the working process may be surprising, depending on the cultural company context. In the case of Natura, it sounds adequate since the proliferation of formal procedures and norms tends to produce more rejection than adhesion. It is worth relating this perception to observations from new business change management strategies, as proposed by Groysberg & Slind (2012): ―The command-and-control approach to management has in recent years become less and less viable. Globalisation, new technologies, and changes in how companies create value and interact with customers have sharply reduced the efficacy of a purely directive, top-down model of leadership.‖ ―As companies have become flatter and less hierarchical, and frontline employees more pivotally involved in value creating work, lateral and bottom-up communication has achieved the importance of top-down communication.‖

Another potential effective concept that emerged from the nudging experiment and behavioural background was to look at the company organisation from a different perspective, considering each target group (marketing leaders, product development, internal and external designers groups etc.) with the following question: through whom and how could this group be positively influenced to adopt new ecodesign practices?

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A new action plan was designed with this new mind-set, acknowledging the way Groysberg & Slind, (2012) observed how leaders now tend to relate to working communities: ―Employees engage in a bottom-up exchange of ideas‖. This plan includes several channels to reach and engage the target groups of marketing and product development, involving intermediary management and giving priority to direct contacts and participative flexible interactions, which must be compatible with each group‘s priorities and busy agendas. It includes different media such as e-learning, diffusion of video material, face to face and group meetings. Such research, bringing knowledge from social science, tries to consider the real complexity of business and human organisations, and evolving management styles that nowadays give more space to individual and team autonomy, versus directive processes. Nudges and associated strategies can be a response to modern society‘s shift towards a focus on individuals, who are no longer passive to central authority. The diverse specific organisational contexts will certainly modulate how such observations and strategies may apply to different companies, sectors and countries, considering their own cultures. In this sense, this study is limited by the single company context, acknowledging that it is the condition to access a business organisation from inside and to have the possibility to really experiment new solutions. However, a tendency toward ―softer‖ change management approaches seems to be a strong trend, that can adapt to different contexts and that appears quite meaningful for the purpose of more sustainable organisations. As Ehrenfeld argued (2008), the sustainability challenge for business is to adopt a new set of values and beliefs, which has to face inherent firms‘ conservative cultural system. Future research should further explore the possibilities of including behavioural aspects during an organisational change process, considering the involvement of the individual and its complex and systemic interaction with the projects teams and higher level business organisations.

References Blessing, L. & Chakrabarti, A., 2009. DRM, a design research methodology. n.p.: Springer Boks, C., 2006. The soft side of ecodesign. Journal of Cleaner Production, v.14, (15-16), pp.13461356. Brones, F.A.; Carvalho, M.M.; Guelere Filho, A., 2013. Bringing Ecodesign to the front stage of innovation: linking action and research at Natura Brazil. Proceedings of Sustainable Innovation 2013, 18th International conference, University for the Creative Arts, Epsom, UK. November 4 - 5. Brones, F. & Carvalho, M.M., 2014. From 50 to 1: Integrating literature toward a systemic ecodesign model. Journal of Cleaner Production, Available online 8 August 2014. DOI: 10.1016/j.jclepro.2014.07.036 Charter, M. & Tischner, U. Sustainable Solutions: Developing Products and Services for the Future. Sheffield, UK: Greenleaf Publishing, 2001. Cohen-Rosenthal, E., 2000. A walk on the human side of industrial ecology. American Behavior Scientist, v.44, (2), pp.245-264. Ehrenfeld, J. 2008. Sustainability by Design: A Subversive Strategy for Transforming our Consumer Culture. New Haven: Yale University Press. Fiksel, J., 2001. Measuring Sustainability in ecodesign. In: Charter, M., Tischner, U., 2001. Sustainable solutions, developing products and services for the future, Greenleaf Publishing, Sheffield. Groysberg, B. & Slind, M., 2012. Leadership is a conversation, Harvard Business Review v. 90 (6), pp. 76-84. ISO 14006, 2011. Environmental management systems - Guidelines for incorporating ecodesign, Geneva. ISO/TR 14062, 2002. Environmental management - integrating environmental aspects into product design and development.

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Jabbour, C.J.C.; Santos, F.C.A.; Fonseca, S.A.; Nagano, M.S., 2013. Green teams: understanding their roles in the environmental management of companies located in Brazil. Journal of Cleaner Production, v.46, pp.58-66. Kerga, E., Taisch, M., May, G., Terzi, S., 2011. Integration of Sustainability in NPD Process: Italian Experiences. In: The IFIP WG5.18th International Conference on Product Lifecycle Management, Eindhoven, Netherlands, pp.117-126. Lenox, M. & Ehrenfeld, J., 1997. Organizing for effective environmental design, business strategy and the environment, v. 6, (4), pp.187–196. Lofthouse, V., 2003. Designing for designers-ecodesign tools to inform and inspire. Electronics and the Environment, IEEE International Symposium, pp.377-382. Lewin, K. 1946, Action Research and Minority Problems‖, Journal of Social Issues 2(4), pp. 34–46. Lubin, D.A. & Esty, D.C, 2010. The sustainability imperative. Harvard Business Review, v.88, (5), pp.42–50. May, G.; Taisch, M.; Kerga, E. 2012 Assessment of Sustainable Practices in New Product Development, Advances in Production Management Systems. IFIP Advances in Information and Communication Technology, vol. 384, pp.437-447. McAloone, T.C. & Evans, S. Using empirical data to build an advisory tool for eco-design Environmentally Conscious Design and Inverse Manufacturing, 1999. Proceedings. EcoDesign '99, 1999. Oullier, O.; Sauneron, S., 2011.Green nudges: new incentives for ecological behaviour. Department of Social affairs, Centre d‘analyse stratégique, Note d'analyse n°216, pp.1-11. Pigosso, D.C. A.; Rozenfeld, H.; McAloone, T. C., 2013. Ecodesign maturity model: a management framework to support ecodesign implementation into manufacturing companies. Journal of Cleaner Production, v.59, pp.160-173. Selinger, E. & Whyte, K. P. 2010. ―Competence and Trust in Choice Architecture.‖ Knowledge, Technology and Policy, vol. 23, no. 3, pp.461-482 Sterman, J. D., 2012. Sustaining sustainability: creating a systems science in a fragmented academy and polarized world. In m. Weinstein and R.E. Turner (eds), sustainability science: the emerging paradigm and the urban environment. Springer, pp.21-58. Stevels, A. L. N., 2007. Adventures in ecodesign of electronic products - 1993-2007. Delft university of technology, the Netherlands. Szeler, A.C. & Melberg, M. G., 2014. Encouraging voluntary practice of ecodesign in product development at natura. Master thesis, Technical University of Denmark, Department of Mechanical Engineering. Thaler, H. R. & Sunstein, C.R., 2008. 2nd ed. Nudge: Improving decisions about health, wealth and happiness. New York: Penguin Group. Verhulst, E. & Boks, C., 2012. Bringing about Sustainable Change in Product Development: Theory versus Practice. Advances in Production Management Systems. Value Networks: Innovation, Technologies, and Management, IFIP Advances in Information and Communication Technology, v.384, pp.448-457. Zahari, F. & Thurasamy, R., 2012. Linking green product innovation, technological and human resource capabilities: A conceptual model. Innovation Management and Technology Research (ICIMTR, 2012), International Conference on, 21-22 May, 2012. Zhang, F.; Rio, M.; Allais, R.; Zwolinski P.; Reyes Carrillo T.; Roucoules L.; Mercier-Laurent E. ; Buclet N., 2013. Toward an systemic navigation framework to integrate sustainable development into the company. Journal of Cleaner Production, v. 54 (1), pp.199–214.

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Architectural Approach towards Innovative Renewable Energy Infrastructure in Kapisillit, Greenland - Susan Carruth, Peter Gall Krogh Susan Carruth PhD Candidate Aarhus School of Architecture Aarhus Denmark

Peter Gall Krogh Professor Aarhus School of Architecture Aarhus Denmark

Abstract This paper claims that an architectural approach to the planning of renewable energy infrastructures specifically architects‘ ability to closely read and conceptualise the characteristic of a place and community beyond the boundaries of a site - can underwrite development that is more culturally sustainable. Greater cultural sustainability is particularly relevant in peripheral regions where both cultural and economic sustainability is contested. The concept of material practices is introduced to form a conceptual framework for making culturally informed design choices when proposing initiatives on sustainable development. Building upon a research-through-design case situated in Kapisillit in West Greenland, this paper presents selected results from a design workshop with architecture students who were asked to create conceptual strategies, driven by distributed, community-controlled renewable energy, for the future of the village. It culminates in a discussion on how this empirical work contributes towards the construction of a vocabulary of material practices indigenous to communities in Greenland, and how such a vocabulary can play a role in developing culturally sustainable planning.

Introduction Many peripheral, isolated regions face challenges in supplying clean, reliable, affordable renewable energy due to lack of infrastructure, capital and political motivation. Subject to increasing levels of environmental, socio-political and economic volatility, their future is under threat, and energy infrastructure plays a key role in making such places more viable and resilient. How can renewable energy systems be planned in a way that supports the broader sustainability challenges of marginalised regions and, rather than seeing peripherality as problematic, harness the cultural particularities of a place as a means towards innovative, original solutions? This research, supported by workshops with architectural students, suggests that cultural sustainability - the fourth pillar of Sustainable Development (McDonough 2002) - is key, even in a technoeconomically dominated field such as infrastructure planning. The need for cultural sustainability is asserted in two ways - firstly in order to support marginalised, and often previously colonised, places and promote cultural diversity, and secondly, in the belief that it is only through tying new technologies to the existing culture of a specific place that they can be successfully adopted by the local 24


community. In doing so the techno-economics of renewable energy in peripheral regions is in turn reviewed, suggesting a different scheme of value assets. The central thesis of the research is that architects can play a part in the cultural sustainability of renewable energy planning through the disciplinary skills of site analysis, thematic analysis and the construction of conceptual strategies that give as much weight to the aesthetic-cultural as the technoeconomical. Such an architectural approach is not about mimicking styles or beautifying artefacts, but a method of engaging with the specific material practices of places and communities, to push for more innovative approaches to renewable energy planning; a field usually dominated by linear, context-less thinking and engineered quantities. The work presented here has identified 6 particular material practices. The concept of material practices has a rich heritage including in archaeology (Tarlow 1997). In archaeology the concept, and its foundational theories, describes how otherwise hitherto discretely identified human practices connect to domestic activities - farming, dwelling, production etc. - and therefore share central characteristics and similarities. This points to how people and culture are connected beyond the place and domain specific. Furthermore the concept aims to understand the processes and strategies for living, transgressing the limitations of ―Material Culture‖ which is focused on the role of completed artefacts and what they signify. The concept of ―Material practice‖ also aligns with Vygotsky‘s (Vygotsky 1978) thoughts on how thinking and learning are connected to ―communities of practice‖, and can be said to be formed, and transduced, by an intricate web of practices, materials, environments and identities. We claim that understanding and respecting material practices are central for community engagement and that as a discipline dominantly occupied with how things materialise, architects have an advantage in designing for that. Site and site-thinking are central in architectural practice: registering, surveying, measuring, determining orientation and so on, of course, but also understanding the character of a site, beyond the legal boundary, analysing the socio-cultural context of which it is part. While there has been research into the phenomenological understanding of the ‗spirit‘ or essence of a place, (Christian Norberg-Schulz 1980 and Yi-Fu Tuan 1977) this research instead asserts that places are continually constructed through on-going material practices, informed by the socio-culture of both the local and the global, in alignment with Doreen Massey‘s ‗Global Sense of Place‘ (Massey 1994 & 2005). An understanding of the material practices of Kapisillit is based upon fieldwork carried out in the village, st and the broader region, in September 2013. This fieldwork, consisting of 1 person phenomenological observations, or ‗intuitive readings‘ (Violich 1985) and interviews was formed into a ‗thick description‘ of place, employing Clifford Geertz‘s strategy for communicating the rich texture of culture (Geertz 1973). This thick description concentrates on the material practices carried out in every day life that characterise the relationship between people and infrastructure. It is not intended as an objective or exhaustive account of place, rather it is dialogical in nature (Bakhtin 1981) drawing upon the architect/researcher‘s tacit knowledge. This material was then thematically analysed to unearth recurrent material practices of the village and region. In May 2014 a one-month long design workshop nd was carried out by a group of 38 2 year students at the Aarhus Architecture School. The students were asked to construct conceptual planning and architectural strategies for the future of Kapisillit that were driven by transitioning the village to renewable energy technology, and were introduced to the emerging vocabulary of material practices, tasked to draw on them for their design strategies. In turn, the results of the student workshop contributed further notions and nuances to the vocabulary of material practices, a process repeated in subsequent design workshops, working with other sites in the region. This short paper describes the research-through-design case study in the village of Kapisillit in west Greenland, a declining village in a peripheral region of the Arctic. Illustrating this case with two selected student projects, the paper discusses how such creative works contribute to the generation of a vocabulary of material practices native to this region: bricolage; collectivity; coupling; seasonality; wait-and-see; and loose modularity; and how this vocabulary can be employed to shape renewable energy planning.

Kapisillit, Greenland Kapisillit lies approximately 80 km east of Greenland‘s capital city Nuuk. Founded in 1927, located close to the edge of the ice sheet at the Kangersuneq fjord. Like many Greenlandic settlements, the village has over the years experienced a significant decline in population, especially in young people

25


and women, following the collapse of commercial fish stocks in the 1980s and 90s. The village has a shop, a church, a public wash-house, a small community and crafting space, a school that is now closed, and approximately 15 ‗summer‘ cottages. Like all small settlements in Greenland, the village is supplied with electricity from a diesel generator, at a high cost. The diesel is delivered by ship to the generator sitting in the centre of the village. Due to the geology of the region all electrical cabling is laid over-ground, visible on the surface everywhere, protected in brightly coloured insulated plastic tubing. A few houses, especially summer-houses, have installed private solar panels. The village has no water mains; instead there are three tap houses where one collects water by bucket of by connecting a plastic hose between home and the tap house. Grey and black water is disposed of directly into the sea. The settlement is served by boat once a week by a commuter boat from Nuuk and all goods, groceries and materials are imported, the majority of them from overseas. The shop is only intermittently open with a small and unreliable selection of highly priced goods. It takes approximately 2-4 hours to travel to Nuuk, depending on weather conditions. There is no helicopter pad or airstrip, and, like all of Greenland, there are no roads connecting the village to any other settlement. The settlement has mobile phone reception, and internet coverage. Internet is very expensive in Greenland and not wholly reliable. It is rare to have digital infrastructure in a settlement in Greenland, and Kapisillit is the only beneficiary of free internet access and a pilot remote-learning scheme. The village is notable also for having a paved road – most settlements do not have such a luxury. The other roads in the village are very simple gravel tracks The municipality identifies the district demands a comprehensive plan and wishes to encourage tourism through expanding and upgrading the sewing workshop facilities that already exist for local people, with a view to this being accessible to visiting recreational tourists and artists. The municipality also plans to extend the quay and add a heliport, as well as create a snowmobile/hiking connection between the village and Nuuk.

Selected Research-Through-Design Experiment Results The 38 students who took part in the workshop were split into 9 groups and the results from 2 of these groups are sketched below.

Generating a Greenhouse

Visualisation of the proposed interior of the greenhouse Initially interested in simply introducing a bio-gas digestor – a plant that processes organic waste transforming it into energy – these students recognised that to simply jettison a new closed infrastructural ‗box‘ in the village would not have any cultural, civic or aesthetic benefits to the community, beyond the environmental benefits of reducing waste and fossil fuel consumption. Upon investigation they realised that both the existing diesel generator and the proposed bio-gas generator 26


produce waste heat as a by-product. Heating represents a large percentage of energy consumption in Kapisillit, due to the extreme climate. Thermal energy is a lower grade of energy than electricity, and so the transformation of electrical energy into heat is inefficient and wasteful. Despite these facts the waste heat from the diesel generator is not captured in any way. The students responded to this technical side effect and opportunity with a proposal for a bio-gas generator immediately adjacent to the existing diesel generator. They proposed enveloping both structures in a glass skin, constructed of simple, modular components in order to create a community greenhouse. This greenhouse, to be collectively owned and managed, is heated by both generators, allowing residents to grow vegetables, and thereby reducing reliance upon expensive and energyintensive imports. The new bio-gas generator is placed underneath the terraced floor of the greenhouse, visible and legible in its functions. In winter, when plants will not grow, it is suggested that the heated space could be used for communal bathing or other activity that benefits from a thermal buffer zone.

Visualisation of greenhouse exterior, with new bio gas generator visible underneath greenhouse structure and existing diesel generator (blue building) on the left Weaving Energy

Conceptual diagram explaining the coupling of traditional and digital technologies and skills

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Another group focused on the development of the existing fur and skin craft workshop in Kapisillit, and particularly how this cultural practice could be linked to clean energy production. Currently there is a small and unobtrusive workshop used by around 10 local residents to prepare skins, mostly seal, and transform them into clothing and other textiles. This is a very traditional craft in Greenland, seen all over the country, and it is an important skill, usually performed by women and passed down through generations. The municipality wish to extend this workshop, both for community reasons but also in order to make it more visible and accessible for tourists who visit and want to witness this traditional activity, perhaps even taking part themselves. The students recognised this as an opportunity to reframe this cultural activity as a ‗digital cottage industry‘ by exploiting Kapisillit‘s free internet access and building on its existing experience with digital technologies via remote learning. Their scheme proposed the introduction of micro-energy technology woven into the skins to create hybrid textiles. They suggest using Kapisillit‘s remote learning capacities to teach locals about integrating piezoelectric and solar energy production into clothing – anoraks, over-trousers, boots etc. Such clothing could then be sold to tourists and locals both on-site and in Nuuk, slowly building a new brand and skillbase. The electricity generated is not intended to supply homes but would be enough for small devices like mobile phones and lights while out hiking or hunting, as well as potentially recording devices for the monitoring of environmental conditions. They further extrapolated this idea into the future by imagining that these energy-textiles could also be used as part of the urban fabric of Kapisillit, through the creation of woven urban balustrades. These balustrades would define paths without necessitating formal paving, creating a new visual identity for the village. But crucially the woven balustrades would also house and protect the electricity conduits, currently loosely laid over the surface of the village and prone to damage.

Visualisation of woven urban balustrades as blended urban design and energy infrastructure

Reflections and discussion The above design projects aim at reducing fossil fuel energy, introducing new forms of renewable energy, reducing pollution and waste dumping, and conserving transport energy. But they go beyond these measures of sustainability by promoting the cultural habits, qualities and assets of Kapisillit, embedding material practices already in existence, building upon and developing them. While not generating large amounts of renewable energy, the projects instigate new renewable energy typologies and habits, building upon existing knowledge, skills and social meeting places. They upgrade Kapisillit‘s infrastructures in a local and original way, pointing towards high-tech, sophisticated, contemporary development, and in a way that does not just mimic European strategies. They do so by building upon existing materials and skills and exploring how development could be phased, enabling change to happen in incremental steps and allowing for small modular elements to be gradually built. The strategies are particularly notable in the way that they conflate the pragmatic and the poetic, indicating that energy infrastructures are more than utilitarian solutions. The design strategies employed by the students resonate with the material practices we have recorded during fieldwork in Kapisillit and its vicinity. The 6 specific material practices identified are summarised below:

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Sustainable Innovation 2014 For reasons of infrastructure and isolation the community relies upon using what is ‗to hand‘ in terms of both skills and materials, for example outbuildings are constructed from scrap materials, and paths are made passable by patching them with discarding packaging materials. We term such creative reapproriation of existing materials Bricolage. There is no private land ownership – land is regarded as a shared resource, a vestige of hunter-gatherer rather than agricultural society. The principle is embedded beyond the legal; through open-house coffee mornings (cafemik), sharing of the hunt, and lack of fenced in private land, and so on. We term this Collectivity. Due to the geology of the region, transport, energy and water infrastructures are all surface-laid to minimise rock blasting. It is common to find water pipes and electrical cables attached to public stairs traversing rocky terrain. We term this way of thickening and bundling things Coupling. Many structures and equipment native to Greenland have been designed to be repeatable, broken down into smaller units. This cellular approach, for example the simple timber frames used to stretch skins, allows for borrowing, lending, redistributing and moving. It also enables easily replacement of one part, without putting the whole system into disrepair, and gradual growing or shrinking of the system over time. It also allows for the reuse of single pieces over time, as artefacts are only temporarily held together, and their aggregate elements and be reused for radically alternative purposes. This cellular capacity we term Loose Modularity. It is very common to ‗wear different hats‘ as a Greenlander – one might work as a tour operator in summer, but have an office job in winter for example. This shifting with the seasons has always been part of life in Greenland; in the traditional patterns of settlement where hunters move around following the hunt, residing in small residences in winter, but large social camps made of stretched skin tents in summer. We term this practice Seasonality. Patience and not planning too far ahead is crucial due to extreme weather, lack of infrastructure and dependence on imports. This watching and waiting approach is necessary particularly in small settlements, where the community is reliant on infrequent imports to a single shop, and transport is heavily prejudiced by unstable weather patterns, leading to the need for ‗just in time‘ decisions. We term this practice Wait-and-see. These material practices, briefly outlined here, have been identified in the interplay between analysis of current practices and generative architectural strategies that build upon the local in conjunction with broader global knowledge. They are not distinct categories but overlap and it is anticipated that they might grow in number following deeper engagement with the Greenlandic context. The emblematic names given to the material practices do not fully describe cultural richness they represent, however, they provide a means for discussing how to more thoughtfully embed cultural aspects in otherwise mostly technical-economical domains such as energy planning, and how to even position culture and place as the engines for sustainable innovation. As such, the design cases serve as ―what-ifscenarios‖ that highlight cultural habits and qualities for which any proposed energy plan needs to account for, and arguably include in solutions. The architectural strategies illuminate how one might design for increased cultural awareness, straddling the local and the global, building on the specificities of place: ultimately suggesting that the local and the traditional can be progressive, seeing place as a driver of change and new paradigms of modernity.

References Bakhtin, M. M. 1981. The Dialogic Imagination: Four Essays. Ed. Michael Holquist. Trans. Caryl Emerson and Michael Holquist. Austin and London: University of Texas Press. Geertz, C. 1973. The interpretation of cultures: selected essays. New York: Basic Books. Massey, D. 1994. Space, Place and Gender. Minneapolis, University of Minnesota Press. Massey, D. 2005. For Space. London:Sage. McDonough, W and Braungart, M. 2002. Cradle to Cradle: Remaking the Way We Make Things. USA. Norberg-Schulz, C. 1980. Genius Loci, Towards a Phenomenology of Architecture. Rizzoli, New York. Tarlow, S. 1997. An archaeology of remembering: death, bereavement and the First World War. Cambridge Archaeological Journal 7(1): 105-21 Tuan, Y.F. 1977. Space and Place: The Perspective of Experience. Minneapolis, University of Minnesota Press. Violich, F. 1985. Toward Revealing the Sense of Place: An Intuitive "Reading" of Four Dalmatian Towns. In D. Seamon & R. Mugerauer, eds., Dwelling, Place and Environment: Towards a Phenomenology of Person and World. NY: Columbia University Press

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Vygotsky, L. S. 1978. Mind in society: The development of higher psychological processes. Cambridge, MA: Harvard University Press.

Acknowledgements nd

Thank you to the 2 year students of 2013-14 at Aarhus School of Architecture, particularly: Jo Anna Nedergaard, Anne Bea Høgh Mikkelsen, Stine Lebech Schmidt, Nikolaj Emil Svenningsen, Victor Josefsen, Anders Kielsgaard Hansen, Lasse Deichman, Peter Korshøj.

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What Value Do Consumers Really Expect of Product Service Systems? Reflections On How A Different Conception Of Value Could Facilitate The Implementation Of PSS In Consumer Markets Maurizio Catulli, Matthew Cook, Stephen Potter Maurizio Catulli Senior Lecturer Department of Engineering and Innovation Open University Milton Keynes UK

Matthew Cook Senior Lecturer Department of Engineering and Innovation Open University Milton Keynes UK

Stephen Potter Professor Department of Engineering and Innovation Open University Milton Keynes UK

Introduction While tangible products have formed the focus of much research in sustainable design and innovation, today novel configurations of products, services and systems are thought to provide equally valid ways of attaining more sustainable futures. Such product service systems are available in both intermediate and final markets and variously defined (cf. Mont, 2004:139): ―A system of products, services, networks or actors and supporting infrastructure that is developed to be competitive, satisfy customers and be more environmentally sound than traditional business models‖. Case study research reveals quite diverse PSS offerings such as document and integrated crop management services, car clubs and laundry services. In some instances PSS have been deliberately 31


designed to improve environmental performance while in others, they have been developed purely for commercial purposes. Both PSS and PSS like examples available on various markets have been analysed. These show that the full range of PSS characteristics are rarely exhibited in a single example and therefore emphasize various PSS types: Product Orientated PSS: ownership of the product (material artefact) is transferred to customers and services are provided to help ensure product performance over a given period of time. Examples include maintenance contracts and warranties. Use orientated PSS: ownership rights related to the product are retained by the service provider and the customer purchases use of the product over a specified period of time. Examples include, sharing/ pooling, renting and leasing. Result orientated PSS: similar to use orientated PSS, the product required for service delivery is owned by the service provider. However, in contrast to use orientated PSS the customer purchases an outcome/ result of service provision, which is specified in terms of performance not in terms of product use over a period of time. For example, instead of renting a washing machine, households access a laundry service to clean clothes and linen. Founded in the so called factor four discourse, environmental assessments of PSS have been completed which focus on gains in resource productivity that can be attained from the various PSS types when consumed as substitutes for ‗normal‘ product based consumption in various markets. In summary, the assessments suggest that both product and use orientated PSS hold potential to improve resource productivity by factor two, while gains in resource productivity which may be achieved from result orientated PSS are thought to be far higher but difficult to quantify. Clearly, PSS do not provide a pathway to sustainability as perhaps early predictions made in the 1990s suggested (Cook et al., 2012; Cook, 2014; Tukker, 2014). Nonetheless PSS can form the basis of the mix of innovations necessary to move society toward sustainable futures (Cook, 2014). With this in mind, the research community has developed further definitions, typologies, design methods to stimulate and assist PSS implementation in various markets (cf. Boehm and Thomas, 2013; Cook, 2014). Yet despite this research effort there is now growing concern that PSS are not being widely implemented (Vezzoli et al., 2012) and more importantly, that their potential to assist in the attainment of sustainability is unfulfilled (Cook, 2014). Research suggests that PSS implementation is particularly problematic in final markets (Rexfelt and Hiort af Ornäs, 2009) as a shift from normal consumption based on products owned and used by households to one based on PSS is perceived by actors to among other things reduce control, access and performance (Catulli, 2012; Tukker, 2014). Thus crucially, we observe that this implementation challenge in final markets arises in part because PSS do not create sufficient value for consumers. Typically, PSS design strategies involve considering the functionality of products and providing alternate PSS which meet this demand but use far fewer resources (cf. Roy, 2000). However, research suggests that functionality is merely one of many forms of value required by households. Indeed, while the need for PSS to create sufficient value is widely highlighted, there is a paucity of knowledge on how consumers value PSS beyond the narrow focus on functionality and how such broader PSS values may be researched. This gap in knowledge is both surprising and troubling, especially given the PSS implementation gap. In this paper we therefore explore how PSS may create value in consumer markets, situated in urban environments in particular. We present the findings of case study research funded by the UK government which explores a use orientated baby care PSS, including such products as prams, baby car seats and cots.

PSS integration and value in consumer markets There is a paucity of research on PSS and consumer culture (Rexfelt and Hiort af Ornäs, 2009). Few insights are available on how consumers adopt PSS innovations and how they can fit PSS in their everyday life and practices (Heiskanen et al., 2005). Such shortfalls in research mean that there is little understanding of how PSS could survive in unprotected, competitive markets, where success is predicated on an offering‘s ability to meet consumers‘ demands for value and satisfaction – emotional, symbolic, social - as well as functionality. Thus we argue that a more sophisticated and nuanced understanding of PSS and consumer value is required to help overcome implementation challenges in final markets.

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In the PSS field, notions of value have been influenced by service engineering research, which emphasises functional value (cf.Geum and Park, 2011; Manzini and Vezzoli, 2003; Minguez et al., 2012; Mont, 2002). However, PSS researchers and designers need to consider that the value that consumers seek is not only functional, it is multidimensional and includes economic (Babin and James, 2010; Richins, 1994); exchange (relevant to products) (Graeber, 2001; Richins, 1994); hedonic (Babin and James, 2010), symbolic (Allen and Ng, 1999), and semiotic (Baudrillard, 1996, 1998) dimensions (see Appendix 1 for definitions of value and values found the case study). For PSS designers to be able to meet consumer demand for such value they need to be able to unpack it (Arnould, 2008). Often, designers and researchers attempt to capture customer requirements, but they see value as created by suppliers and modelled on presumed representations of value from design and management tools (Bertoni et al., 2013; Minguez et al., 2012; Sakao and Shimomura, 2007). Integration is one of the main mechanisms through which PSS designers attempt to conceptualize consumer value. For example, car club firms such as Zip Car integrate elements such as vehicles, maintenance services, insurance, road tax, a method to pay for fuel (fuel card) and even part of the infrastructure, by providing reserved parking spaces to form a PSS. These may replace or complement the traditional car ownership model, where owner/ drivers integrate various elements which they purchase separately to achieve automobility. Indeed, in the latter, the ownership of specific possessions enables consumers to express their self-identity (Belk, 1988; Dittmar and Bond, 2010; Richins, 1994), and acts as a social marker on ―classifying projects‖ (Douglas and Isherwood, 1996), or identity projects (Arnould and Thompson, 2005). As such this represents a major challenge to PSS provision in final markets. Designers aim to integrate various elements to form a PSS, which create value for customers and support such value for the duration of the PSS life cycle (Shimomura et al., 2013). However, while PSS literature claims that value is created by PSS designers, researchers from other disciplines such as service innovation and management (cf. Vargo and Lusch, 2004) suggest value is created by consumers. Consumers‘ consumption practices enable them to create value independently and in a very personal way (Baron and Harris, 2008). Consumers draw on cultural resources, such as competences, meanings, values, knowledge and activities (Pantzar and Shove, 2010) to integrate various elements provided on markets by suppliers. Here, suppliers may not even understand how consumers integrate these elements. Indeed, Vargo and Lusch (2004) suggest that consumers cocreate value together with suppliers. Consumers may resist suppliers‘ attempts to integrate elements for them (Grönroos, 2008), preferring to do it themselves. In the following section we present a case study of PSS and baby care products. Since baby care products are important goods for identity construction (Thomsen and Sørensen, 2006), this provides an interesting opportunity to explore how providers might integrate elements to form PSS which meet a variety of consumer demands for value. More generally, baby products have been identified as valid area of PSS research (Mont et al., 2006).

The case study: PSS and baby care products The case study investigated consumers‘ decisions of whether to access a baby product PSS or acquire equivalent products through a traditional purchase. Qualitative data were collected via ten ethnographic interviews of current users of a use orientated baby product PSS as part of a pilot involving a major baby car seat and push chair manufacturer together with a parental support charity. Participants were aged between 21 and 44. The PSS offers an opportunity to consumers to rent these products by paying a fee in advance for six months after which they can then either return the product, which will be professionally refurbished by the manufacturer and reissued to another family, or pay an additional fee to retain the product for a further six months. NVIVO 10 was used to code the interview transcripts. A flexible template approach was adopted (Miles and Huberman, 1994). This involved generating a start list of provisional codes from literature which were subsequently refined as data analysis proceeded. Findings Parents of new born babies, whether they are first time or experienced parents, integrate a variety of resources, competences and values in their parenting practices (Catulli et al., 2013). In selecting the right products and the ways they access them (e.g. a baby-care PSS) they integrate the competences 33


of peers (other parents) and experts, as well as institutional players such as the NCT (Catulli et al., 2013). Functional value is certainly important in such processes. We found evidence of economically rational behaviour motivating consumers to select the most effective method of accessing baby products for the least money outlay. In this respect, PSS seems to be a winning formula with products such as baby car seats and cots. Here, participants were concerned with saving space as well as money, and a PSS solution was perceived as efficient because it would enable them to keep physical products as long as needed, to then return them without the need to invest time in reselling it or disposing it in another way. In this respect the case study confirms the attractiveness of functional value including a ―pay for use‖ solution as proposed by Manzini and Vezzoli (2003;2005). However, in some cases participants seem to integrate values in their practices in ways that influence their decision of whether buying or renting products. These include materialistic values, associated with status and a desire to acquire top quality products and brands, ―You want to feel like you‘ve got a nice pram and you knew what you were doing, I think it is important to feel good about when you‘re pushing your baby around.‖ Young parents seem to prefer ownership of a top brand to rent one with a lesser perceived status, in spite of a much larger financial outlay, ―….the one who bought the [a brand], I can‘t imagine her renting one, ever‖, and this is compounded by the emotional desire to provide the best for their child, ―….when you‘ve got a new baby you want everything new.‖ In fact, these participants also respond to other values such as motherly love and a desire to appear as a competent parent. Here these values stimulate a desire to draw symbolic value from the baby products PSS, as this drives these parents‘ identity construction, to the point of causing emotional distress, e.g. for a participant who felt unable to acquire the ―right‖ brand, ―I saw other mums with bigger, better prams, and they were lovely and it just wasn‘t an option for me…‖. This seemed at times to result in self-doubt when comparing notes with peers and experts, ―…when those people were discussing these things, I thought, gosh, maybe I‘m wrong, maybe they are right, I‘m not thinking about everything I should‖. This emotional attitude means that these participants also expect hedonic value associated with positive feelings deriving from their purchasing decisions. This is particularly important for first time parents, who lack the confidence coming from experience, ―It‘s hard enough coping with having a new baby but feeling like you can‘t use the stuff that you bought, it was really emotional…‖ In effect a number of participants showed an emotional attachment to prams. This suggests a need for hedonic value which can be a challenge for PSS, ―…we‘ve got memories and photographs of her in it; oh it was perfect for me‖. Importantly, we found that participants discriminate between different products, e.g. prams and car seats. The former, being highly visible, is seen as a product that needs to deliver symbolic value, unlike the second, with which most participants have a rather utilitarian relationship, ―Prams are much more visible, so everyone can see your pram, not many people get to see your car seat, so that‘s an issue for most mums‖. Some participants seem to have adopted pro-environmental values, and this is important for their identity construction as they want to appear to be responsible parents, ―I don‘t want to have, in the environment, loads and loads of products that are still usable…. there must be a mountain of car seats in this world…‖ Participants seem to care for thriftiness, together with a desire for self-development, here the participant wanted to save not for the sake of saving, but for investing the money in alternative beneficial pursuits for their baby, perhaps sacrificing the present self-image for a future valuable benefit, ―I‘d rather save my money for things that are more important like, giving her opportunities to go to university in the future than have spent £1,000 on the brand new [a brand] system…‖. Freedom is another value held, as some participants felt that adopting baby care PSS involved a commitment including for example an additional responsibility for possible damage to the products, ―I‘d be conscious somehow that I have to give it back and I‘m not as free as I would be if it was mine. What would happen if I dropped it, (causing) accidental damage?‖ We found this interesting as it seems to contrast with the expectation of Roy (2000) and Manzini and Vezzoli (2003) that consumers would be careless of products supplied as part of PSS as they do not own them.

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Furthermore, some participants seemed very interested in the exchange value of their prams, to the point of being very aware of the market value of their used goods, which they had selected on this basis, and having worked out a strategy to sell them through e-bay. This is clearly in opposition with the very concept of PSS. Our case study suggests therefore that consumers integrate resources and in particular values and for this they need to be able to construct multidimensional value from PSS practices. Finally, a number of participants seem to have a nomadic lifestyle as they frequently move between towns for professional reasons.

Discussion and Conclusions As we observed earlier, the approach of PSS researchers to value and integration has been predominantly positivistic (Cook, 2014), e.g. focused on functionality, cf. Bertoni et al. (2013); Sakao et al. (2009); Kimita et al. (2012); Aurich et al. (2006). When they include value created by consumers as a variable they exclude its complexity and construct it in the ―black box‖ of ―intangibles‖ (Bertoni et al., 2013:110). The orientation of PSS researchers is that the process of understanding value and customer requirements is an orderly task, and designers have agency in integrating resources and create value. The rate of failure of new products and the scarce success of PSS suggests otherwise. Our data provides evidence that some of the products are important for consumers‘ identity construction, so that a push-chair can be a signal to other parents and people in their networks that they are good parents, confirming Thomsen and Sørensen (2006)‘s thesis. All products are not created equal however: in the case of a high visible product such as a push-chair, the design of a PSS provision around that product can be problematic, because of the need to fully understand the complex symbolism and hedonic value consumers attribute to that product. Could it perhaps be that a push-chair can be seen as a Veblen Good (Veblen, 1899), where the positional function of the product is so important that ownership is necessary, in line with Douglas and Isherwood (1996)? Or are more complex needs for self-expression at work, in line with Allen and Ng (1999); Baudrillard (1998); Richins (1994)? In the case of products which are not as visible, such as cots and car seats, consumers seem to have a more utilitarian perspective, so that perhaps functional value is all they are after. We also observed that some of the consumers who took part in the research had a ―nomadic‖ life style: they had moved for work reasons and seemed to highly prize the functional value of products, in line with Bardhi et al. (2012). We found evidence that opportunities exist for baby product PSS for consumers that have migrated to a high density urban area from another home town, and therefore ended up isolated from their informal social network, as suggested by Ward (2003) and Van Hulst et al. (2011). In these circumstances these parents would benefit from PSS. The increased proportion of these consumers may mean that there are opportunities to promote PSS. In order for PSS designers and suppliers to be able to create value they need to co-create value with consumers and gain consumers‘ permission to integrate competences, meanings and resources for them. This research shows that the paucity of cultural and institutional resources that arises when consumers migrate away from their home towns might provide an opportunity for such integration through PSS provision. Further research is needed to explore how opportunities for PSS provision might arise in contexts where there is a lack of resources available for consumers for integration.

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Rexfelt, O., and Hiort af Ornäs, V., 2009, "Consumer Acceptance of Product Service Systems designing for relative advantage and uncertainty reductions", Journal of Manufacturing Technology Management, v. 20, no. 5, p. 674-699. Richins, M., 1994, "Valuing Things: The Public and Private Meanings of Possessions", Journal of Consumer Research, v. 21, p. 504-521. Roy, R., 2000, "Sustainable product-service systems", Futures, v. 32, no. 3–4, p. 289-299. Sakao, T., Sandström, G. O., and Matzen, D., 2009, "Framing research for service orientation of manufcaturers through PSS approaches", Journal of Manufacturing Technology Management, v. 20, no. 5, p. 754-778. Sakao, T., and Shimomura, Y., 2007, "Service Engineering: a novel engineering discipline for producers to increase value combining service and product", Journal of Cleaner Production, v. 15, no. 6, p. 590-604. Shimomura, Y., Kimita, K., Tateyama, T., Akasaka, F., and Nemoto, Y., 2013, "A method for human resource evaluation to realise high-quality PSSs", CIRP Annals - Manufacturing Technology, v. 62, no. 1, p. 471-474. Thomsen, T. U., and Sørensen, E. B., 2006, "The First Four-wheeled Status Symbol: Pram Consumption as a Vehicle for the Construction of Motherhood Identity", Journal of Marketing Management, v. 22, p. 907-927. Tukker, A., 2014, "Product services for a resource-efficient and circular economy – a review", Journal of Cleaner Production, v. in press, no. 0. Van Hulst, A., Seguin, L., Zunzunegui, M.-V., Vélez, M. P., and Nikiéma, B., 2011, "The influence of poverty and social support on the perceived health of children born to minority migrant mothers", Ethnicity and health, v. 16, no. 3, p. 185-200. Vargo, S., and Lusch, R., 2004, "Evolving to a New Dominant Logic for Marketing", Journal of Marketing, v. 68, p. 1-17. Veblen, T., 1899, The Theory of the Leisure Class, A Public domain book. Vezzoli, C., Ceschin, F., Diehl, J. C., and Kohtala, C., 2012, "Why have ‗Sustainable Product-Service Systems‘ not been widely implemented? Meeting new design challenges to achieve societal sustainability", Journal of Cleaner Production, v. 35, p. 288-290. Ward, C., 2003, "Migrant mothers and the role of social support when child rearing ", Contemporary Nurse, v. 16, no. 1-2, p. 74-82.

Appendix 1 Values - a value is ―an enduring belief that a specific mode of conduct (i.e. instrumental value) or end state (i.e. terminal value) is personally or socially preferable to an opposite or converse mode of conduct or end state‖ (Rokeach, 1973:5). Examples of values are: Freedom; Love (including motherly love); Security; Cleanness, etc. Comprehensive information on values can be found in many authors, e.g. Rokeach (1973) and Schwartz (1992). The concept of ―values‖ explained above can be contrasted with the concept of value: Value - in the sociological sense: conception of what is ultimately good, proper or desirable in human life; in the economic sense: the degree to which objects are desired, particularly, as measured by how much others are willing to give up to get them‖ (Graeber, 2001:1) Functional Value - the practical benefits that the use of goods and services confer to users, e.g. moving from A to B, quenching one‘s thirst, affixing a picture to the wall; Symbolic Value - the opportunity that possession or use of an object gives one for self-expression or identity construction (e.g. representation of values in which one believes or of which one believes he/she is endowed); the association of an object (or a service) with one‘s personal history (Richins, 1994), which is linked to emotional feelings.

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Hedonic Value - the opportunity that possession or use of an object / services gives one to experience feelings, e.g. pleasure, pride, satisfaction, etc. (Graeber, 2001) Exchange Value - the financial value an object (e.g. a product) can confer the owner / user upon exchange for money with other parties (Graeber, 2001). This can be associated with a value, security (Hohti, 2010), as people may perceive an object, e.g. a house of car, as ―stored‖ wealth that can be converted to financial value if needed. Exchange value is normally associated with artefacts (e.g. products); however it is applicable to services as an exchange between user and user as well as exchange between producer and user. E.g. a musician can perform for money; an individual who bought a ticket for a concert can exchange said ticket for money. Other conceptions of value have been proposed by writers in time, e.g. emotional value, perceived value, etc.

References Graeber, D., 2001, Toward an Anthropological Theory of Value, New York, Palgrave, 337 p.: Hohti, P., 2010, "Conspicuous‘ consumption and popular consumers: material culture and social status in sixteenth-century Siena", Renaissance Studies, v. 24, no. 5, p. 654-669. Richins, M., 1994, "Valuing Things: The Public and Private Meanings of Possessions", Journal of Consumer Research, v. 21, p. 504-521. Rokeach, M., 1973, The Nature of Human Values, New York, Free Press. Schwartz, S. H., 1992, Universals in the content and structure of values: Theoretical advance and empirical tests in 20 countries, in Zanna, M., ed., Advances in Experimental Social Psychology, Volume 25: San Diego , Ca., Academic Press, p. 1-65

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Cities as Drivers for Sustainable Innovation - Martin Charter Professor Martin Charter Director The Centre for Sustainable Design®, University for the Creative Arts Farnham Surrey UK

Background Cities are major hot beds of environmental, social and economic problems but can also be catalysts for the development of new sustainable solutions. Cities are important and in the future are predicted to become even more important: 70% of the global population will be located in cities by 2050 compared to 50% at present (UN World Urbanisation Prospects); at present, 60% of global GDP is from 600 cities (McKinseys); and cities currently account for 70% of greenhouse gas emissions (UN Habitat). The expanding city populations will mean growing environmental impacts and challenges, as well as, potential opportunities related to the development of more sustainable solutions for energy, water and food production/storage/distribution, transportation, housing and waste (or resource) management. However, with the increase in urbanisation, what will this mean for regions, towns, villages and rural areas? what will be the future role and influence of regional and provincial governments (and other local stakeholders) as populations migrate to cities? and what will be the implications for more sustainable economic development?

'Green Growth' Post 2008, the concept of 'green growth' has gained international support amongst policy makers as a means of reconciling the on-going need for economic growth set within environmental limits. Reports in the late 00s from the World Economic Forum (WEF), United Nations Environment Programme (UNEP) and the Organisation of Economic Cooperation and Development (OECD) helped to shape the development of the 'green economy' and 'green growth' policy agendas. This thinking has now filtered down into a range of national, regional and city government initiatives as illustrated in the recent report by the Global Green Growth Institute. To facilitate discussion, the Danish government have established and host the 3GF (Global Green Growth Forum), an annual gathering of policy makers, CEOs and other key decision-makers that debate the evolving 'green growth' agenda whilst acting as a platform for the development of national and international public-private partnership projects. A number of cities are engaging in and taking leadership on the 'green growth' agenda and are embracing the associated change. For example, Copenhagen is the 2015 European Green capital, was voted no. 1 in the European green city index and hosts the 3GF.

Climate Change and Resource Efficiency Cities face major climate change impacts and will increasingly need to implement climate change mitigation and adaptation strategies. In 2013, the Intergovernmental Panel on Climate Change (IPCC) reported that the evidence for global climate change is unequivocal and there are likely to be an increased number of extreme and unpredictable weather events. Climate change is moving back into the spotlight. In September 2014, there were major demonstrations in New York and London over the need for action over climate change in parallel to United Nations Climate Change Summit in New York. Coupled to this the Hollywood actor and environmental activist, Leonardo DiCaprio, was 39


appointed the United Nations (UN) Messenger of Peace and delivered a keynote speech on the climate change imperative as part of a strategy of raising the media profile in advance of the 2015 United Nations Framework Convention on Climate Change (UNFCCC) in Paris. November 2015 will be a pivotal date in the climate change agenda as UNFCCC will aim to decide on a legally binding agreement on greenhouse gas emission targets linked to the 1997 Kyoto Protocol. City leaders are likely to play a prominent role in discussions drawing on lessons from initiatives such as C40 and the Mayors Covenant that have developed city based learning networks focused on reducing carbon emissions and developing low carbon innovation. Alongside climate change, cities need to tackle many other environmental challenges such as access to water and food, and health issues associated with air and water pollution. For example, over the last 12 months, Beijing has faced significant air pollution problems where on a significant number of days emissions have far exceeded World Health Organisation (WHO) safety levels. Whilst not achieving the public visibility of climate change, there is growing recognition amongst policy makers, business, civil society and a number of innovative cities of the need to move away from the linear 'take-make-waste' economy to a Circular Economy model that aims to stimulate improved resource efficiency and innovation through, for example, remanufacturing, reconditioning, refurbishment and repair whilst at the same time creating jobs. Despite, the financial cut backs that many Western cities have faced post 2008, there is a sense that sustainability has moved back onto the agenda for many mayors.

'Turning point'? Despite the financial challenges imposed by the 'austerity age', are we now moving towards a turning point in relation to the sustainability of our cities? Are we now in a time of major change driven by a range of environmental, social and economic issues? How significant will that change be? Some cities may embrace the change and transform e.g. Copenhagen and some may react or rebel against it. Will responses to the change be driven 'top down' (by policy makers) or emerge 'bottom up' (by civil society and citizens)? If we are to achieve more resilient, resource efficient, low carbon economies and societies, we will need to break away from the conventional 'ways of doing things' to the creation of new models of, for example, consumption and production. Managing that change won't be easy. Cities are large and complex 'living organisms' and include many subsystems and networks that are often unconnected. To enable change, those subsystems and networks will need to be connected up more effectively and this may mean re-designing city systems to bring together those groups in different ways. For example, building new platforms to connect up policy makers with inventors, thinkers, designers, financiers, entrepreneurs and researchers to accelerate the creation, development and commercialisation of sustainable solutions through labs, incubators, clusters and new 'places and spaces'.

Smarter Cities Cities need to get smarter. There has been a growing discussion over smart cities and significant interest being expressed in the concept by some. However, are smart cities purely large scale strategic experiments created by a small number of transnational corporations rather than being real catalysts for smarter, more sustainable urban regeneration? At present much of the smart city development is being driven by a few key players such as IBM, Cisco, Schneider and Siemens in cooperation with a number of major cities. For example, Songdo in Korea, is a smart city that has been built from scratch in partnership with companies including Cisco. To develop smarter, more sustainable cities will require partnerships between a range of stakeholders including government, business, finance and civil society. Smart city, smart grid and and 'big data' discussions should dovetail and a key part of the focus should be on how we establish secure and effective systems to collect, analyse and present environmental, social and economic data to enable improved decisionmaking. The 'Internet of Things' (the network of physical objects accessed through the Internet) linking up data from vehicles, buildings, smart meters, lighting systems, etc will expand the available pool of 'big data'. For example, in a number of cities e.g. Barcelona, major networks of sensors have been installed throughout the city to monitor, for example, recycling rates and levels of air pollution. Smart cities are a techno-centric concept and a key issue will be how we move beyond technological discussions to explore how civil society and citizens can engage and involve themselves in the process of making cities smarter, more sustainable and importantly, liveable. How cities democratise

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smart city development to engender and motivate citizen feedback (in terms of ideas and information through online polls, observations and sharing pictures through social networks and mobile devices) will be key to helping to develop new behavioural, as well as, technological solutions to environmental, social and economic problems.

Open and Grassroots Innovation As part of the 'big data' revolution, many companies are starting to explore the use of open innovation competitions to source ideas and funding from the crowd. A number of major companies have started to utilise crowd sourcing strategies related to the development of more sustainable solutions e.g. Unilever and GE. In parallel, a range of new initiatives are starting to emerge from city governments and civil society. These include hackathons and jams focused on environmental or broader sustainability issues. Hackathons - bringing together coders, programmers and creatives in intensive sessions - have been established by some cities to hack 'big data' to produce apps to improve, for example, recycling. At the leading-edge of this are New York and Singapore. Sustainability focused hackathons and jams - intensive 'open' innovation collaborative workshops - have also been organised by civil society groups bottom-up, for example, last year the Global Sustainability Jam documented around 80 simultaneous events worldwide in late November. There are indications that traditional boundaries of innovation are starting to melt with the potential means to innovate increasing from civil society and citizens. So are we moving into (or have already entered) a new age of Industrialisation 4.0 that is based on information, collaboration and decentralisation. The advent of this new Industrial Age appears to be driven by a new spirit of doing and making, increased access to information through Internet, increased sharing of ideas and information through social networking technologies, increased access to open source designs, availability of new 'making' tools such as additive manufacturing (or 3D printing) and new 'places and spaces' to enable individuals to 'make, modify and fix'.

'Places and Spaces' We may be starting to see the emergence of a new Industrial Renaissance. New 'places and spaces' are starting to pop up in many cities where individuals are coming together physically, face to face to discuss, collaborate, experiment and share information and ideas to make, modify and/or repair products. As indicated above these new 'places and places' are part of a process of democratising innovation by providing access to the knowledge and equipment for prototype development and job production outside of corporate R&D laboratories and factories. Is this a threat or opportunity in relation to the established order? At present, this democratisation appears to be primarily in the spirit of experimentation but there some indications that some of these new 'places and spaces' may start to incubate the development of new products and businesses. Perhaps the most well known example of these new 'places and spaces' are the Fab Labs that emerged from MIT in 2001 by providing organised facilities to enable individuals to fabricate products from digital images utilising a portfolio of manufacturing equipment including 3D printers and lazer cutters. As of 2013, there were 125 Fab Labs in 34 countries. Alongside, Fab Labs, there has been the explosion of Makerspaces around the world, where organised facilities are being created or 'opened up' for individuals to network, design and make products. For example, the RDM campus in Rotterdam in the Netherlands has established the RDM Makerspace where citizens can rent the use of equipment from the technical school for a fee during certain time periods. More informally, Hackerspaces have also seen significant growth from around 20 in 2005 to 1035 in 2014 (Hackerspaces, 2014). Recent research (Charter & Keiller) has indicated that individuals participating in Hackerspaces are not just making and/or hacking or modifying products but are also fixing or repairing products. For example, members of the Reading Hackspace in the UK reported that they repaired (and therefore extended the product life) of broken baby stroller by downloading an open source design and 3D printing a missing component (Charter, 2014). Repair Cafes - informal groups that get together to repair and modify products - have also seen significant growth. Since the inception of the Repair Cafe Foundation in 2010, numbers have grown to 500+ worldwide with the Netherlands accounting for 200+ and Amsterdam around 15 (Repair Cafe Foundation, 2014). A new group that may start to emerge are hybrid community businesses that combine facets of the above, cafes for networking with repair workshops for learning, incubators for making upcycled products with in-house retail outlets to sell the products. An interesting example of this is The Goldfinger Factory in London, UK.

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The Future The world is a very different place, in many senses, compared to 5-10 years ago. Change is the constant and predicting the future is an increasingly difficult exercise. However, it is likely that cities will become significantly more important and powerful globally. But will cities become smarter, more sustainable and liveable? As we see more urbanisation, what will this process mean outside of cities, in regions, in provinces, in towns and rural areas? The process is likely to mean that knowledge, finance and other resources may get more concentrated in major cities. Cities may increasingly be designed to be the 'hubs of innovation'. However, we may increasingly see innovation arise bottom-up from civil society and citizens in a new age of experimentation driven by a new 'do it' mindset of Generation Z, increased access and sharing of information and ideas, availability of new tools and new, decentralised 'places and spaces' that enable collaboration, making, modifying and fixing. However, will these trends be truly transformative or just be a peripheral grassroots innovation movement that does not enter the mainstream? Will cities become the nexus for new developments or will innovators increasingly feel that cities stifle creativity with 'innovation hubs' breaking out of cities? Will this new age of experimentation lead to a more sustainable path (environmentally, socially or economically)? Or not? Tghere are many open questions and the book is still, very much, open.

References Charter (2014), Makers & Fixers: Circular Economy & Grassroots Innovation: 10 Lessons Learnt [online]. Available from www.cfsd.org.uk/news/circular-economy-innovation [Accessed on 27th October 2014] Charter & Keiller (2014), Grassroots Innovation & Circular Economy: A Global Survey of Repair Cafes and Hackerspaces [online]. Available from www.cfsd.org.uk/news/circular-economy-innovation [Accessed on 27th October 2014] Hackerspaces (2014), List if Active Hackerspaces [online]. Available from http://hackerspace.org/wiki/List_of_Hacker_Spaces [Accessed on 20th May 2014] Repair Cafe Foundation (2014), Repair Cafe Locations [online]. Available from http://repaircafe.org/locations [Accessed on 27th October 2014]

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Implementing Product/ Service-Systems in Urban Environments: Toward the Co-evolution of the Universal and Contingent - Matthew Cook, Tim McAloone Matthew Cook Senior Lecturer in Innovation and Sustainability Department of Engineering and Innovation Faculty of Mathematics Computing and Technology The Open University Milton Keynes UK

Tim McAloone Professor of Product/Service-Systems Department of Mechanical Engineering Technical University of Denmark Lyngby Denmark

Abstract Product/service-systems (PSS) are frequently anticipated as being the potential providers of significant environmental improvements in complex, multi-actor value exchanges. PSS can be found in both industry and broader society. This paper explores the new Copenhagen city bike service: a use orientated PSS embedded in an urban environment, which is receiving increasing attention across many cities worldwide. This case is of particular interest, due to the city‘s bicycling history, its current level of achievement and ambition regarding cycling and sustainability, and the complexity and contingency of this PSS, in regards to the overall urban development of the city. The paper highlights a tension in the PSS discourse, where universal PSS concepts, typologies and methods are prescribed on the one hand, whereas complexity and contingency, on the other hand, are prevalent in the implementation and evolution of PSS.

Introduction In recent years the analytical focus of sustainable design and innovation has broadened to include not only products but also novel configurations of products, services and systems. Such product/servicesystems (PSS) have been found in various sectors including agriculture, utility and transport and include offerings such as integrated crop management, thermal comfort and car clubs, respectively. In some cases PSS have been developed by manufacturing firms, in order to gain additional value from their products and maintain competitive advantage. In others, PSS have been intentionally developed to improve environmental performance. 43


Over the past 20 years, various terms have been developed to define product/ service-systems: ecoefficient producer services (Zaring et al., 2001); eco-efficient services (Hockerts, 1999; Meijkamp, 2000; Brezet et al., 2001); eco-services (Beherendt et al., 2003). However, the definition developed by Mont (2004) is perhaps the most widely used: ―A system of products, services, networks or actors and supporting infrastructure that is developed to be competitive, satisfy customers and be more environmentally sound than traditional business models‖. Founded in the factor four discourse, which argues that gains in resource productivity of between factor 4 and 20 are necessary to put society on a sustainable development pathway, early research predicted that PSS held significant potential to help realize such goals. A common categorisation of PSS types is often used in literature to demonstrate in theory the potential of PSS to improve resource efficiency in both intermediate and final markets (cf. Hockerts, 2002; Tukker, 2004; Mont, 2004; Cook et al., 2006; Baines et al., 2007; Cook et al., 2012; Ceschin, 2012; Armstrong et al., 2014): Product orientated PSS: ownership of the product (material artefact) is transferred to customers and services are provided to help ensure product performance over a given period of time. Examples include maintenance contracts and warranties. Use orientated PSS: ownership rights related to the product are retained by the service provider (who may or may not have manufactured it) and the customer purchases use of the product over a specified period of time. Examples include, sharing/ pooling, renting and leasing. Result orientated PSS: similar to use orientated PSS, the product required for service delivery is owned by the service provider (who may or may not have manufactured it). However, in contrast to use orientated PSS the customer purchases an outcome/ result of service provision, which is specified in terms of performance not in terms of product use over a period of time. For example, instead of renting a washing machine, households access a laundry service to clean clothes and linen. A synthetic review of case study research published in 2006 suggested that gains in resource productivity from PSS implementation are likely to be more limited than early predictions suggested (Tukker and Tischner, 2006). The review showed that product and use orientated PSS were unlikely to yield improvements in resource productivity commensurate with initial predictions but that result orientated PSS still held significant potential in this regard ibid. However, while PSS are clearly not inherently sustainable, they may usefully form part of the mix of innovations required to move society toward more sustainable futures (Cook, 2013). Indeed, PSS continue to be the subject of a growing literature. PSS concepts have been further defined (cf. Berkovich et al., 2011; Zhang et al., 2012; Boehm and Thomas, 2013), new typologies set out (cf. Tan et al., 2010; Ostaeyen et al., 2013; Gaiardelli et al., 2014) and design methodologies formulated (cf. Sakao and Shimomura, 2007; McAloone, 2011). Despite such investments in research, there is growing concern that PSS have not been widely implemented in either intermediate or final markets (Vezzoli et al., 2012). Research suggests that little attention has been given to understanding how the process of PSS introduction and diffusion takes place and how it may be managed and orientated (Tukker and Tischner, 2006; Baines et al., 2007; Ceschin, 2012). In this regard, a useful contribution has been made by Ceschin (2012) who draws on notions of transition management and strategic niche management from innovation studies, to formulate a conceptual framework that accounts for PSS implementation. More generally, insights generated by disciplines, such as design, marketing, business studies, and manufacturing management continue to guide research activity. Yet, broader contextual factors associated with geography, such as urban developments that vary across spaces and places and influence PSS implementation, are somewhat overlooked. This is both surprising and troubling, as PSS are frequently implemented in urban environments such as towns and cities (e.g. car clubs) and ways to resolve implementation challenges may be partly found in understanding how PSS are developed and embedded in such spaces and places. Thus we present a reparative engagement here based on a case study of the new Copenhagen city bike service (a use orientated PSS) launched in 2013. The case study is presented in the next section. Data were collected from multiple sources, including key informants associated with this new PSS and cycling in Copenhagen more generally, documents (e.g. policy and strategy) and observations undertaken by the researchers. Data generated were analysed in order to identify key themes associated with PSS implementation in Copenhagen. Conclusions from the case study on PSS implementation in urban environments and recommendations for further research are made in the final section of the paper.

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Case Study: Copenhagen City Bike Service Voted UCI cycling capital in 2008-2011, Copenhagen has a well-established bicycle system. Developed from traffic calming measures in the 1970s, the city has a network of cycle paths that enable cycling within and between all major parts of the city. Safety and comfort are paramount. With this in mind, Copenhagen cycle paths generally conform to a particular design: cycle paths are physically divided from other lanes by kerbstones and are often situated behind buffer zones (e.g. parked cars) that separate them from motorized lanes. A strong cycling culture is now established in Copenhagen. Some 36% of Copenhageners cycle to work and/ or school (Copenhagen City Council, 2012). Launched in 2013, the new Copenhagen City Bike Service, ―Bycyklen‖, forms a key part of the overall Copenhagen cycle system and indeed, the city‘s integrated transport system. It replaces a Copenhagen city bike service which had run for 18 years. The previous scheme was based on 2,500 bikes and over 100 coin-operated bike stands. Bicycle hire was basically free; a coin deposit (similar to a supermarket trolley) was paid to secure the return of the bike. The previous city bike scheme was used by visitors to the city (tourists) and Copenhageners (citizens). However, commuters rarely used the service. Here the tendency is to use one‘s own bike, or to use a cargo bike, which carries luggage and/ or children. In response the new Copenhagen City Bike Service was developed to appeal to a variety of user groups, but most notably commuters. In other words, the previous PSS informed development of the newly launched one. The user groups that have been targeted are primarily commuters, secondarily citizens and finally tourists, which is something of a change in relation to the previous city bike system. The new city bike service follows a well-established city bike service design in that it comprises a number of bicycles and docking stations; users pay a fee to hire a bike for a given (usually quite short) period of time. Drawing on the typology of PSS presented above, we can classify this service as a use orientated PSS. However, in contrast to many city bike services which use very simple bicycles, the bicycle element of the new Copenhagen service is technologically advanced and includes several unique design features. For example, it is electrically assisted, it has a belt drive for easy maintenance, it is made of non-standard components that are difficult to steal, it includes a Global Positioning System (GPS) which sends a signal if the bicycle travels over 60kph (i.e. if it is the back of a motorized vehicle after been stolen) and a handle bar mounted tablet. The latter is particularly important, as it enables payments for service to be made (e.g. via a Copenhagen travel-card), journeys to be planned and tickets (e.g. rail) to be bought. In other words, it is an important piece of technology which embeds the city bike service within Copenhagen‘s integrated transport system, comprises not only of bicycles but also trains, the metro system, buses, and taxis. In general a well-established network of actors is involved in the further development of cycling in Copenhagen and promotion of cycling innovations developed in Copenhagen to other cities. In addition to the ―Cycling Embassy of Denmark‖ (a unique organizational actor), key players include Jan Gehl (of Gehl architects) and Mikel Colville Andersen – cycle chic, culture, and aesthetics. Specifically, the new city bike service was developed by a network of actors including the city municipality and a commercial firm that delivers the service – and heavily influenced by actors such as the Cycling Embassy. To ensure that the new city bike service forms part of Copenhagen‘s integrated transport system, a key partner is the national railway operator, which extends the network of actors involved beyond the traditional nexus for city bike services. Ideas for cycling innovations such as the new city bike service flow into, through and out of the Copenhagen cycle actor network. For example, adoption and diffusion of cycling innovations proceeds under the banner of Copenhagenisation. Cities such as Portland, Mexico City and New York City have adopted a number of Copenhagen‘s cycling innovations. These include Copenhagen style cycle lanes that use kerbstones and buffer zones to separate traffic. However, Copenhagen actors suggest that such innovations cannot be simply extracted and transferred to other cities in blueprint form, even though the city council provides consultancy to other cities around the world on the inclusion of cycling in city commuting cultures. Rather, actors argue that Copenhagen‘s cycling innovations may inspire, motivate and guide innovation elsewhere, which is undertaken by local actors to meet local challenges. Here then, designs are not transferred and simply applied elsewhere. Rather the concepts and design principles travel, stimulate and shape innovation in various locales. For example, Gehl Architects argue that the Copenhagen bicycle system is based on five design principles, which are known as the Five Cs:

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Consistent - within Copenhagen the bicycle system is the same everywhere. For example, cycle paths are always on the right hand side of roads, which means both cyclists and other road users such as car drivers, know where cyclists are positioned on the road. Connected – as people do not necessarily want to cycle everywhere, the Copenhagen bicycle system is integrated with public transport so journeys can be undertaken using a variety of forms of transport. Continuous - Copenhagen‘s bicycle system has developed over forty years. continuous effort over long periods to develop effective bicycle systems in cities.

It often takes a

Comfortable – cycle systems should provide a sense of security for cyclists and it should be easy for cyclists access to other forms of transport such as trains, via for example, ramps. Convenient - cycle systems should send a compelling invitation to cyclists, which often means that cycling has to be convenient. Even taxis carry bikes in Copenhagen making cycling a convenient way to get around the city. Here Gehl Architects do not argue that the five Cs should be simply applied in other cities but rather used to provide a basis for stimulating, suggesting and guiding cycling developments elsewhere. Seen in this way, such principles embody a set of universal ideas, which then may effect urban innovation processes elsewhere and enable the development of locally contingent outcomes.

Summary and Conclusions In this paper we explored a use orientated product service embedded in an urban environment: the new Copenhagen City Bike Service. This provides additional insights to those generated from disciplinary perspectives to resolve challenges associated with PSS implementation in intermediate and final markets. In summary, key insights from this case study suggest that PSS implementation in urban environments: 





Is complex, contingent and cannot be easily isolated from urban development processes. Indeed, development and delivery of the city bicycle service forms part of overall urban development processes, e.g. it forms a part of Copenhagen‘s cycle system as well as its integrated transport system. Here ICT plays a key role in mediating integration. The new city bike service, with its sophisticated tablet, makes little sense in isolation. Is subject to and considerably affected by PSS solutions developed in other times and places, e.g. other towns and cities. For example, insufficient uptake of the previous city bike service among commuters, informed development of the new city bike service which is designed specifically to meet the needs of this group. Knowledge of city bike service designs elsewhere influenced the development of the new city bike service. However, actors involved argued that urban innovations do not provide blueprints that can be simply extracted, transferred to and applied in another place at another time. Rather concepts, design principles which embody ideas associated with successful innovations can be transferred to stimulate and guide urban cycling innovation elsewhere. Involves various actor constituencies engaged in the (re)imagining and (re)shaping of urban futures. Various actors have been involved in the development of the Copenhagen city bicycle service. These are not just interested in cycling but involved in other aspects of urban development. For example, Jan Gehl, sees cycling as an important component of an overarching vision for urban development entitled: Cities for People.

In conclusion, we highlight a hitherto largely unexplored tension in PSS literature. On the one hand, our research emphasizes the complex and contingent nature of PSS development and implementation, as well as the role of context in such processes. On the other, PSS research (cf. Tukker, 2014) emphasizes the need for concepts, typologies and methods which may be universally applied. In their purest form these two views respectively suggest: 1) Extreme localism and thus a need to reinvent the PSS in every time and place where it is applied. 2) Context (time and place) has little impact on PSS development. However, rather than resolve this tension we argue that a productive way forward lies in the coevolution of universal concepts, typologies and methods and locally contingent processes and geographical contexts through which they are implemented. Seen this way, PSS implementation can be understood as a form of messo level praxis in which the meaning of PSS and pathways to

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implementation are made by various groups of actors in particular situations. Universal concepts are needed to prompt and assist in such endeavors. However, narratives of the origins of PSS concepts, their typologies and their methods are needed to enable actors (at other times, in other places) to determine their applicability. Such co-evolutionary dynamics have been extensively explored in design studies. Dorst and Cross (2001) show that creative design concepts (innovations) are developed through an iterative process, in which design problems and solutions co-evolve. Seen in this way, innovation involves exploring two conceptual spaces: a problem space and a decision space, with developments in each one informing the other. Such co-evolutionary dynamics has been observed in design meetings (Wiltschnig et al., 2013). Design solutions are posited by participants in response to requirements that define the design problem. Following evaluation in light of requirements, design solutions are modified. But interesting, so too are the requirements, in light of a novel solution attempt. Empirical evidence suggests that in commercial settings team leaders guide this process. As design ideas are generated, team leaders modify requirements and thus the problem space. This then stimulates other team members to generate further design ideas. Thus design does not necessarily involve creative leaps between problem and solution in the mind of leading designers. Multiple participants engaged in the iterative construction of a bridge between design problem and solutions. Ibid. However, such so-evolutionary dynamics do not proceed in a vacuum (Stacey, Eckert and Earl, 2009). In design, object references are drawn from diverse fields for diverse purposes. For example, to identify problems, generate solutions and explain some aspect of the design. In design, problem identification, solution generation and explanation. Thus a clear role in co-evolutionary PSS design and innovation can be assigned to knowledge of these and other urban innovations developed in other times and places. However, relatively little is known about such dynamics in the PSS field. While such processes may be complex and a capacity for control absent, there is likely to be a capacity to act in pursuit of better outcomes. Thus further research is needed to address this issue, including:  



To identify arenas in city governance institutional landscapes, both formal and informal, in which multiple actors can come together to develop PSS for their city to meet among others, locally articulated needs and requirements. To identify ways in which PSS concepts and methods extracted from PSS innovations elsewhere can be effectively and efficiently introduced to this process to enable legitimate decision making. This may involve the development of narratives which articulate how PSS concepts were extracted and transferred to the meeting; understanding the context in which a PSS was successfully developed elsewhere. To identify ways to purposively mediate co-evolutionary PSS development processes. In commercial settings the role of the team leader in modifying the design problem is crucial. A similar role needs to be assigned in PSS processes involving multiple actors from both the private and public sectors. Urban planners may be well placed to manage such collective sense making and build bridges between both problems and solutions in particular.

Such purposive management is necessary to promote effectiveness and efficiency. modernity. But also to promote legitimacy of decisions made.

Bywords of

References Armstrong, C., Niinimaki, K., Kujala, S., Karell, E., Chunmin, Lamng., 2014, ―Sustainable productservice systems for clothing: exploring consumer perceptions of consumption alternatives in Finland‖,, Journal of Cleaner Production, (In press, Corrected Proof) Baines, T., Lightfoot, H., Peppard, J., Johnson, M., Tiwari, A., Shehab, E., Swink, M., 2009, ―Towards an operations strategy for product centric servitisation International‖, Journal of Operational Production Management vol. 29, pp.494 – 519. Behrendt, S., Jasch, C., Kortman, J., Hrauda, G., Firzner, R., Velte, D., 2003., Eco-service Development: Reinventing Supply and Demand in the European Union, Greenleaf Publishing. Ltd, Sheffield. Berkovich, M., Leimeister, J. M., Krcmar, H., 2011, ―Requirements engineering for product service systems: a state of the art analysis‖, Business Information Systems Engineering, vol. 2, pp. 369-380.

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Sustainable Innovation 2014 Boehm, M., Thomas, O., 2013, ―Looking beyond the rim of one‘s teacup: a multidisciplinary literature review of product-service systems in information systems, business management, and engineering & design‖, Journal of Cleaner Production, vol. 51, pp. 245 – 260. Brezet, J. C., Bijma, A. S., Ehrenfeld, J., Silvester, S., 2001. The design of eco-efficient services, a report by TU Delft for the Dutch Ministry of the Environment. Ceschin, F., 2012, ― Critical factors for implementing and diffusing product-service systems: insights from innovation studies and companies‘ experiences‖, Journal of Cleaner Production, vol. 45, pp. 7488. Cook, M., 2014, ―Fluid transitions to more sustainable product service systems‖, Environmental Innovation and Societal Transitions, vol. 12, pp 1-13 Cook, M., Gottberg, A., Angus, A., Longhurst, P., 2012, ―Receptivity to the Production of Product Service Systems in the UK Construction and Manufacturing Sectors: A Comparative Analysis‖, Journal of Cleaner Production vol. 32, pp 61-70. Cook, M. B., Lemon, M. & Bhamra, T. A., 2006, ―Transfer and Application of Product Service Systems: From Academia to UK Manufacturing Firms‖, Journal of Cleaner Production, vol. 14, issue 17, pp 1455-1465. Copenhagen City Council, 2012. Cykelregnskab 2012. Teknik- og Miljøforvaltningen, Københavns Kommune. Dorst, K., Cross, N. 2001, ―Creativity in the design process: co-evolution of problem-solution‖, Design Studies, vol. 22, issue 5, pp 425-437. Gaiardelli, P., Resta, B., Martinez, V., Pinto, R., Alboresm P., 2014, ―A Classification model for product-service offerings‖, Journal of Cleaner Production, vol. 66, pp 507-519. Hockerts K., 1999, ― Innovation of eco-efficient service: increasing the efficiency of products and services in Greener Marketing: a global perspective on greener marketing practice, ed. M. Charter, M. Polonsky, Greenleaf Publishing Ltd, Sheffield. . Hockerts, , K., Weaver, N., 2002. Are service systems worth our interest? Assessing the ecoefficiency of sustainable service systems. Working document, INSEAD, Fontainebleau, France. McAloone, T. C., 2011, Boundary Conditions for a New Type of Design Task: Understanding Product/Service-Systems in The Future of Design Methodology, ed. H. Birkhofer, Springer, London, UK, pp. 113-124. Meijkamp, R., 2000, Changing consumer behaviour through 'eco-efficient services: an empirical study on car sharing in the Netherlands, Delft University of Technology, Delft. Mont, O., 2004, ―Institutionalisation of sustainable consumption patterns based on shared use‖, Ecological Economics, vol. 50, pp. 135-153. Ostaeyen, J., Van Horenbeek, A., Pintleton, L., Duflou, J., 2013, ― A refined typology of productservice systems based on functional hierarchy modelling‖, Journal of cleaner Product, vol. 51, pp. 261276. Sakao, T., Shimomura, Y., 2007, ― Service Engineering: a Novel Engineering Discipline for Producers to Increase Value Combining Service and Product‖, Journal of Cleaner Production, vol. 15, pp. 590604. Stacey, D., Eckert, C., Earl, C., 2009, From Ronchamp by sledge: On the pragmatics of Object References in About Design: Analysing Design Meetings, J. McDonell, P. Lloyd, eds, CRC Press, Taylor and Francis, London, UK. Tan, A. R., Matzen, D., McAloone, T. C., Evans S., 2010. 'Strategies for Designing and Developing Services for Manufacturing Firms' C I R P - Journal of Manufacturing Science and Technology, vol. 3, no. 2, pp. 90-97. Tukker, A., 2004, ―Eight types of product-service system: eight ways to sustainability?‖, Strategy and Environment, vol. 13, pp. 246 – 260.

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Business

Sustainable Innovation 2014 Tukker, A., Tischner, U., 2006, ―Product-services as a research field: part, present and future. Reflections from a decade of research‖, A note from the field, Journal of Cleaner Production, vol. 14, pp. 1552-1556. Tukker, A., 2014, ―Product services for a resource-efficient and circular economy - a review‖, Journal of Cleaner Production (In press, corrected Proof). Vezzoli, C., Ceschin, F., Carel Diehl, J., Kohtala, C ., 2012, ―Why have ‗Sustainable Product-Service Systems Not Been Widely Implemented? Meeting New Design challenges to Achieve Social Sustainability‖, Journal of Cleaner Production , vol. 35, pp. 288-290. Wiltschnig, S., Christensen, B., Ball, L., 2013, ―Collaborative problem-solution co-evolution in creative design‖, Design Studies, vol. 34, pp. 515-542. Zaring, O., Bartolomeo, M., Eder, P., Hopkinson, P., Groenwegen, P., James, P., de Jong, P., Nijhuis, L., Scholl, G., Slob, A., Orringe, M., 2001, Creating eco-efficient producer services, Gothenburg Research Institute, Sweden. Zhang, F., Jiang, P., Zhu, Q., Cao, W., 2012, Modelling and analyzing of an enterprise collaboration network supported by service-orientated manufacturing, Proceedings of the Institute of Mechanical Engineering Manufacturing, vol. 226, pp. 1579-1593.

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Do Smart Solutions Help Create Sustainable Cities? - Matthew Cook, Stephen Potter, Per-Anders Langendahl Matthew Cook Senior Lecturer in Innovation and Sustainability, The Open University, Department of Engineering and Innovation Faculty of Mathematics Computing and Technology Milton Keynes UK

Stephen Potter Emeritus Professor of Transport Strategy, The Open University Department of Engineering and Innovation Faculty of Mathematics Computing and Technology Milton Keynes UK

Per-Anders Langendahl Research Consultant, The Open University Department of Engineering and Innovation Faculty of Mathematics Computing and Technology Milton Keynes UK

Introduction Since the year 2000 there has been a proliferation of sustainable city initiatives. These include entirely new cities such as Masdar, infill developments within existing urban areas such as the Stockholm Royal Seaport, and retrofit developments such as Hackbridge, Low Carbon Zone, London. 50


Yet a definition of what constitutes sustainable cities has not emerged and been widely applied. Instead, there are a multiplicity of sustainable city developments which exhibit a striking diversity of concepts, forms and practices (Joss et al., 2014). In a number of instances, so-called smart solutions have been developed as part of such initiatives (Vitanen and Kingston, 2014). For example, smart grids have been developed in a number of cities to better manage electricity production and consumption using information and communication technologies to integrate distributed low carbon electricity generation sources such as photovoltaic panels and combined heat and power units. However, while smart solutions have been developed as part of sustainable city initiatives, their contribution is unclear. Similar to sustainable city developments, smart solutions do not accord with a universal definition. Instead, research suggests there is a multiplicity of smart solutions (Hollands, 2008; Vitanen and Kingston, 2014). One reaction to the vagueness of the term has resulted in claims that the ‗smart city‘ label is an empty signifier (Wolfram, 2012). There may be something in this, but the multiplicity of understandings reveals something more than just the overuse of a fashionable term. Indeed, since there exists both a multiplicity of sustainable city initiatives and smart solutions an appropriate way to understand the contribution of smart solutions to sustainable city initiatives does not lie in reviewing the former against a true or incontestable definition of the sustainable city and vice versa. Rather the contribution of smart solutions to sustainable city initiatives must be treated in a relative rather than absolute sense. Adopting this position draws attention to the notion that sustainability does not fall evenly across space (Castree, 2005) and is therefore subject to local interpretations and development priorities. Equally, it does not imply that claims underpinning logics for sustainable city initiatives and associated smart solutions are invalid. Rather, the relations between sustainable city developments and smart solutions must be explored, unpacked and reviewed. Thus below we consider a range of smart solutions developed in various European city regions as part of sustainable city initiatives: Milton Keynes (UK), Aarhus (Denmark), Stockholm (Sweden).

Smart solutions and sustainable city initiatives Since context cannot be ignored in this analysis, case study research was conducted to generate three mini cases of smart solutions which form part of sustainable city initiatives. Consistent with the canon of case study research, data were collected from multiple sources using multiple methods. Data were analysed to identify key themes associated with the relations between sustainable city initiatives and smart solutions. Below we present a short description of each case study, then draw out key themes that emerge from them in the following section. Aarhus Aarhus is the second largest city in Denmark with a population of 320 000 inhabitants. Key goals of urban planning stated by the city of Aarhus are to enable growth in population, jobs and businesses while becoming CO2-neutral by 2030 (Aarhus Kommune, 2013; State of Green, 2014). The Department of Urban Planning and Building plays a key role in achieving these goals and as such has sought to encourage the following developments: 1) replacing industrial estates with housing and business development, 2) transforming rural areas into new suburbs; and 3) encouraging transition to public transport and cycling. Replacing industrial estates and transforming rural areas are largely based on constructions such as buildings. While encouraging cycling and public transport is largely sought through retrofit developments, such as new cycling routes and light railway, it requires changes in how citizens move around in the city. Here, smart solutions are being sought and developed to help citizens find the fastest, most safe and environmentally friendly way of getting to work. For example, cycling is an important practice which helps resolve urban challenges in Aarhus such as traffic congestion, public health and CO2 emissions (Smart Aarhus, 2014). Smart Aarhus is a collaborative project involving the public and private sector, citizens and the business community and proposes an alternative way to create solutions. Here, digital applications that can be used via smart phones have been developed to provide information to citizens about more sustainable modes of travelling in the city. Development of digital applications (e.g. smart phone apps) commenced in 2012 as a partnership between the City of Aarhus and a range of public and private actors such as the Central Denmark Region (regional authority), Aarhus University, the Danish Technological Institute and the Company 51


Systematic. Smart Aarhus is in many ways a vehicle for creating sustainable urban innovations through partnerships. Indeed, Smart Aarhus includes a digital market place which has been created to provide an opportunity for actors to engage who wish to contribute to digital value creation. Stockholm: Royal Seaport As part of their smart city strategy, Stockholm city authority has launched the Stockholm Royal Seaport (SRS) project (SRS, 2014a). This infill sustainable city initiative is one of 18 large-scale sustainable urban district project across the world taking part in the Climate Positive Development Programme (C40 Cities, 2014; USGBC, 2014). This programme was initiated by the Clinton Climate Initiative in collaboration with the US Green Building Council, and is now a part of the C40 group. The purpose of this programme is to demonstrate that cities can grow in ways they are positive to the climate, i.e. below zero carbon emissions. Key challenges to which the SRS development provides a response include accommodating a growing urban population and demonstrating climate positive projects to mitigate climate change. The SRS is an industrial site near the Stockholm city centre. The development includes 10,000 households and aims to create 30,000 jobs, while becoming fossil free by 2030. SRS presents urban planners with an opportunity to develop smart solutions for energy use, waste handling and transportation. It comprises a number of projects involving multiple actors from various sectors, e.g. companies, municipal, authorities and universities. An urban smart grid is being developed as part of the SRS (SRS, 2014b). This project is led by an energy company (Fortum). Fortum collaborates with a number of partners, including Ericsson (ICT firm), ABB (technology provider), NCC (construction and property developer), Electrolux (white good manufacturer) and KTH (university). Overall, the purpose of developing an urban smart grid is to link electricity production with consumption in new ways. Specific aspects of this urban smart grid include: 

local energy production to avoid transmission loss,



provision for consumers to sell electricity back to the grid,



connecting residential homes to smart grids to promote energy efficient adaptations

The active house concept forms part of the smart grid. This enables a smart and flexible power grid capable of steering energy consumption (use of electric appliances in households and charging of electric vehicles) toward times during which renewable, locally produced energy is available and at low cost for the consumer. This project aims to create a smart grid model within an urban district that has low emissions, is resource efficient without compromising energy security. Milton Keynes (MK) Milton Keynes (MK) is one of the fastest growing cities in the UK. The city is developing its water, energy and transport systems (MK:Smart, 2010). Here, to among other things, avoid costly investment in infrastructure, such as for electricity supply, MK is seeking to become a more energy efficient city with low carbon emissions. Led by the Open University, MK:Smart is a collaborative initiative partly funded by HEFCE (the Higher Education Funding Council for England). A key focus of this project is the creation of the MK Data Hub to support the acquisition and management of data about energy and water consumption as well as transport movement in the city. The purpose of the data hub is to develop smart solutions to address demand related issues. For example, transport infrastructure in MK is largely built around the use of the car. MK:Smart includes a transport initiative to support the development of more sustainable travel and to enable citizens to make more informed choices. The Cloud Enabled Mobility concept includes a live and interactive Motion Map to provide citizens with real-time information about movement of people and vehicles in the city, including routing, timetables, delays, estimation of congestions and crowd density. In doing so, MK:Smart is seeking to support a transformation to low carbon mobility, including public transport services, improve travel by foot and bike and allow car users to travel more efficiently. Other smart solutions being promoted as part of the MK:Smart project are related to energy. Aspects of energy demand are explored to develop (1) services for citizens, and (2) demonstrate the business value of the MK Data Hub for the energy sector. For example, an Open Energy Map is being created to visualise energy trends for local communities and business so that they can better understand energy consumption in their areas. In visualising local energy use, it is believed that citizens and businesses will become more aware of their energy use and take actions to reduce their energy

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consumption. In relation to this, Smart Grid Dynamic Demand Response is also being developed to enable citizens in MK to manage their energy consumption during peak demand periods. In helping to reduce peak electricity demand and overall growth in energy demand, MK:Smart will contribute to the stability of electric grid in current infrastructure. This builds on another electricity network project in Milton Keynes, Project Falcon which concerns the management of the local 11KV network to accommodate changing patterns of electricity use and generation. Overall, the MK:Smart project is to create a more sustainable MK by engaging citizens and businesses in reducing or shifting energy demand and moving towards low carbon mobility. Key Findings In the preceding section we presented three mini cases of smart solutions developed as part of sustainable city developments. In this section we present and discuss key findings about the relations between smart solutions and sustainable cities that emerged from the cases under the sub headings: Carbon Reduction, Ecological Modernisation, Collaboration and Partnership, Large Scale Capital Investment. Carbon Reduction Reductions in carbon emissions formed the ‗environmental rationale‘ for the smart solutions reviewed in the mini cases. The logic of such claims is rooted in the need to develop mitigation measures necessary to tackle climate change. For example, extending cycling initiatives in Aarhus is viewed as a carbon reduction measure. Similarly, MK:Smart contributes to the Milton Keynes Low carbon living programme; and low carbon building concepts, including links between households and urban smart grids are developed as part of the Stockholm Royal Seaport. Ecological Modernisation The cases show that smart solutions were developed to contribute to ecological modernisation. Ecological modernisation (cf. Hajer, 1995; Mol and Sonnenfeld, 2000) advocates development of green economies through innovative regulations, producer and consumer behaviour and technological change. By and large, it is a conservative approach to development that seeks to modernise markets, associated actors and institutions in order to improve economic, social and crucially, environmental performance. Ecological modernisation is not only an urban development strategy. It has been applied in various sectors and industries as well as provides a logic for economic development at various scales, e.g. local, regional and national. However, while ecological modernisation may provide a logic for sustainable city initiatives that include smart solutions, local interpretations of sustainability also shape these. For example, cycling is promoted as a sustainable city initiative in Aarhus and smart solutions have been incorporated into new cycling initiatives to extend this approach. Similarly, the Stockholm Royal Seaport project extends Stockholm‘s approach to use former industrial sites for housing in the urban core instead of pursuing greenfield developments at the fringe. In this way, smart solutions may be developed in response to environment-economy-society constructs shared by a number of locales (such as ecological modernisation) but at the same vary as a result of local interpretations and stories. Collaboration and Partnership The smart city solutions reviewed were developed through private/ public sector collaborations. Local authorities (municipalities) typically took the lead in creating institutional spaces in which collaborations were developed. Actors involved included research institutions, businesses, local authority officials, politicians as well as citizens who for example, tested smart solutions. Firms also played a part in developing smart solutions. Since smart solutions generally include some sort of ICT, technology providers are often involved in the development of these. While actor collaborations/ partnerships were found in all of the case studies, the composition and nature of these varied between the case study cities. For example, Stockholm Royal Seaport (SRS): The SRS urban development project is led by the City of Stockholm in collaboration with companies and academia. The project serves as an arena to develop and test smart solutions. Collaborations are developed around particular tasks or challenges identified as part of the SRS project. For example, the development of an urban smart grid is a program led by a Swedish energy company (Fortum), and is being implemented together with a number of project partners including an ICT firm (Ericsson); ABB; Electrolux (white goods manufacturer); NCC (building company) and the Royal Institute of Technology

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(KTH). Similarly, involving actors (e.g. public and private) through partnership is an important aspect of the Smart Aarhus project which challenges traditional approaches to decision making in the city. It may also be noted that in Milton Keynes the local authority views its role more as an enabler of initiatives rather than a leader of these. For example the Milton Keynes Electric Bus project, although under the MK Council‘s Low Carbon Living programme, was based on a collaboration agreement between six private organisations and MK Council managed by Arup and Mitsui subsidiary eFleet Integrated Service Ltd (Milton Keynes Council, 2014). This company manages the inputs from the technical partners, making it possible for the bus operator (Arriva) to commit to providing the eBus service on a commercial urban route. In other cities, the introduction of electric buses have required large public subsidies; in Milton Keynes the partnership approach has resulted in a rapidlyimplemented commercial operation. Large Scale Capital Investment The smart solutions reviewed also often involved some sort of large scale capital investment. This took the form of infrastructure such as charging points for electric vehicles and new cycling routes. For example, the municipality of Aarhus has developed a cycle action plan for cycle traffic projects with a 34 million Euro budget (Cycling Embassy of Denmark, 2010). Projects include new cycle routes and streets, improving cyclist safety, parking facilities, electronic info displays including path and signage. Also, as part of the Stockholm Royal Seaport project, the City of Stockholm and Envac AB has developed an automated waste collection system for litter and household waste (SRS, 2014c). This system provides a centralised (end-of-pipe) solution for waste generated in the city district. It comprises over-ground disposal points that are linked to an underground vacuum system that transport waste to a central waste collection station. In this way, fewer vehicles are needed to remove waste within the district. Other advantages include reduced noise, fewer emissions, cleaner area and increased recycling levels. Similarly, Milton Keynes received match funding from the government‘s Office for Low Emission Vehicles (OLEV) against the capital cost of developing infrastructure (e.g. charging points) for electric vehicles (EV). This included, among other things, the building of 168 EV enables parking bays in the city.

Discussion and Conclusions This paper explores the contribution of smart solutions to sustainable city initiatives. It begun with research that suggested the presence of diverse sustainable city initiatives and sustainable solutions. This meant that sustainability and associated performances cannot be simply determined in light of universal definitions, concepts and specifications. Rather, sustainable city initiatives and smart solutions have to be treated in a relative sense, with an emphasis on the relations which locally constitute these. In most instances, sustainable city developments and associated smart solutions are not simply built. Rather, their development is partly guided by spatial strategies, which co-ordinate and guide city region developments in general (Healey 2007). Spatial strategies are developed by actors working in various arenas situated in formal and informal governance landscapes. Seen in this way, actors such as those identified in the case studies make sense of the city and propose ways in which it might develop. This process does not proceed in a vacuum. Actors draw on various sources and bring various bits of information and meaning into the process. These might include city planning concepts such as the competitive city, the global city and the liveable city. These flow into and out of strategy making episodes, shape debate among actors and ultimately effect urban development practices and outcomes. Thus concepts, forms and practices associated with sustainable city initiatives and smart solutions are likely to flow from other places and into strategy making episodes in a particular locale. These concepts, forms and practices shape debate and play a key role in constructing the relations that constitute sustainable city initiatives and smart solutions. Here the case studies showed that low carbon and ecological modernisation discourses had shaped sustainable city initiatives and smart solutions. It is likely that such discourses will have resonated with local interpretations of sustainability and development priorities. Thus it is in the arenas in which spatial strategies are made that sustainable city initiatives and smart solutions co-evolve. Since this process is undertaken by multiple actors, such processes are not blind. Rather they are socially constructed and mediated by concepts and discourses that flow into strategy making episodes, such as local carbon and ecological modernisation.

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Sustainable Innovation 2014 Practically, this research suggests that ‗fixing‘ smart solutions in best practice narratives that highlight universal definitions, designs and methods as well as the problems that such solutions may resolve, should be avoided. Instead a fluid interpretation of smart solutions is needed. One which recognises that meanings and characteristics of smart solutions are locally constructed along with sustainable city initiatives and other constructs, such as the competitive city. Appropriate institutional spaces are needed to enable actors to consider the meaning of smart solutions and sustainable city initiatives, their nature and characteristics and to identify plans for implementation in a particular locale. In no way should this mean that anything goes. Rather, knowledge needs to be sought from multiple sources to explore the mutli-scalar environmental and social impacts of smart solutions. For example, smart solutions may increase demand for Information Communication Technologies (ICT) with significant upstream and downstream environmental and social impacts. The ecological modernization discourse which often frames sustainable city initiatives and smart solutions should be questioned, given its emphasis on efficiency, technological solutions and problems with rebound effects (Herring and Roy, 2007). Alternate frames might include notions of the resilient city which has provided the logic for smart solutions that provide information on flood events in various locales. Crucially though, institutional spaces should promote democratically legitimate decision making – ones in which diverse stories can be told and the voices of a wide range of actors, including those beyond the traditional nexus, can be heard and make a difference. A workable toolbox needs to be created to support such activity. Rich descriptions of how smart solutions and sustainable cities have been constructed in previous episodes elsewhere should be included to help enable effective deliberation.

References Aarhus Kommune, 2013, 7 August 2013- last update, ―Urban and Business Development – Planning and Building‖ [Homepage of Aarhus Kommune], [Online]. Available:http://www.aarhus.dk/sitecore/content/Subsites/CityOfAarhus/Home/activityareas/Urbanand-Business-Development.aspx?sc_lang=da [13 August 2014]. C40 Cities, 2014, ―Climate Positive Development: Sustainable Communities Initiative‖ [Homepage of C40 Cities], [Online]. Available: http://c40production.herokuapp.com/networks/climate_positive_development [25 September 2014]. Castree, N. 2005, Nature, London, Routledge. Cycling Embassy of Denmark. 2010, 2 March 2010- last update, ―Municipality of Aarhus: Cycle Action Plan Sets High Ambitions‖ ‖ [Homepage of Cycling Embassy of Denmark], [Online]. Available: http://www.cycling-embassy.dk/2010/03/02/municipality-of-aarhus/ [25 September 2014]. Hajer, M. 1995, The Politics of Environmental Discourse: Ecological Modernisation and the Policy Process, Oxford University Press, Oxford, UK. Healey, P. 2007, Urban complexity and Spatial Strategies: Towards a relational planning for our times, The RTPI Library Series, Routledge, Oxford, UK. Herring, H., Roy, R. 2007, ―Technological innovation, energy efficient design and the rebound effect‖, in Technovation, vol. 27:4, pp. 194-203. Holland, R. 2008, ―Will the real smart city please stand up?‖, in City: analysis of urban trends, culture, theory, policy, action, vol. 12:3, pp. 303-302. Joss, S., Cowley, R., Tomozeiu, D. 2013, ―Towards the ‗ubiquitous eco-city‘: An analysis of the internationalisation of eco-city policy and practice‖, in Urban Research and Practice, vol. 6:1, pp. 5474. Milton Keynes Council. 2014, ―Electric bus‖ [Homepage of Milton Keynes Council], [Online]. Available: http://www.milton-keynes.gov.uk/streets-transport-and-parking/bus-travel/bus-projects/electric-bus [10 September 2014]. MK:Smart. 2014, ―MK:Smart: About‖ [Homepage of MK:Smart], [Online]. Available: http://www.mksmart.org/about/ [10 September 2014].

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Sustainable Innovation 2014 Mol, A. & Sonnenfeld, D. 2000, ―Ecological modernisation around the world: an introduction‖, in Ecological Modernisation Around the World: Perspectives and critical Debates, eds. Mol, A. & Sonnenfeld,, D, special edition, Environmental Politics, vol 9, issue 1, pp 3-4. Smart Aarhus. 2014, ‖About Smart Aarhus‖ [Homepage of Smart Aarhus], [Online]. Available: http://www.smartaarhus.eu/about-smart-aarhus/ [25 August 2014]. State of Green. 2014. ―Profile: City of Aarhus‖ [Homepage of State of Green], [Online]. Available: http://stateofgreen.com/en/profiles/city-of-aarhus/ [25 August 2014]. Stockholm Royal Seaport (SRS). 2014a, ―Stockholm Royal Seaport: Innovation Arena‖ [Homepage of Stockholm Royal Seaport], [Online]. Available: http://www.stockholmroyalseaport.com/en/rd-projects/ [8 August 2014]. Stockholm Royal Seaport (SRS). 2014b, ―Stockholm Royal Seaport: Urban Smart Grid‖ [Homepage of Stockholm Royal Seaport], [Online]. Available: http://www.stockholmroyalseaport.com/en/rdprojects/urban-smart-grid/#.VCRJ6u8tDIU [8 August 2014]. Stockholm Royal Seaport (SRS). 2014c, ―Stockholm Royal Seaport: Smart Waste Collection‖ [Homepage of Stockholm Royal Seaport], [Online]. Available: http://www.stockholmroyalseaport.com/en/rd-projects/smart-waste-collection/#.VBbele8tDIU [8 August 2014]. US Green Building Council (USGBC). 2014, ―Climate Positive Development Programme‖ [Homepage of US Green Building Council], [Online]. Available: http://www.usgbc.org/resources/climate-positivedevelopment-program [8 August 2014]. Vitanen, J., Kingston, R. 2014, ―Smart cities and green growth: outsourcing democratic and environmental resilience to the global technology sector‖, Environment and Planning A, vol. 46, pp. 803-819. Wolfram, M. 2012, ―Deconstructing smart cities: An intertextual reading of concepts and practices for integrated urban and ICT development‖, REAL CORP 2012, 14teg May 2012 Schwechat

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Smart & Sustainable Cities Driving Innovation - Trevor Davis Dr Trevor Davis Distinguished Engineer and Consumer Products Futurist IBM UK Ltd Upper Ground London UK

Abstract This paper describes how smarter cities provide a platform for more open and participatory forms of innovation. Open data, cloud-based information and communication technologies, such as easy composition of services for business and society, are empowering citizens, social entrepreneurs and business people at a new level of intensity. The comparison is made with the effectiveness of democratic Athens in the late classical period. Since this innovation is driven from society up (rather than government or boardroom down) it has the potential for greater sustainability in the broadest sense in the long term.

Introduction IBM consider a city to be ‗smart‘ if strategic investments have been made in information and communication technologies as a means to create sustainable economic growth through innovation and participation of citizens. Smart cities facilitate involvement in the day to day governance of cities, or in solving specific problems associated with environmental factors, natural resources, transport and quality of life etc. An example of a smart city is Rio de Janeiro in Brazil where an infrastructure has been installed to monitor citywide operations and respond to events and incidents based on inputs received across local agencies. This in turn allows for citizens and businesses to be involved in incident reporting and resolution, and for feedback to be gathered over social media. A collateral effect in Rio (and other smart cities) has been an increase in openness and transparency of government data, and this supports effective bottom-up learning, knowledge creation and 1 innovation practices. An example is a hackathon event which gave more than 80 computer programmers open access to the main call centre logs for the city (i.e. the 1746 Service where citizens complain about the service and conditions of the city). The outcome of this event was a new approach to obtaining parking spots throughout the city in real-time using a smartphone [Open Data Research Network 2014]. Smarter cities are already capitalising on new technologies and data-driven insights to transform their systems, operations and service delivery. The more mature examples are already opening up their infrastructure and data for their citizens (and other parties) as a means for high-technology yet frugal innovation [Nesta 2014]. The strategic investments made by the city underwrite the fixed costs associated with deployment of sophisticated applications and services so individual citizens, social entrepreneurs and business people are not constrained by the initial cost and complexity of buying and managing hardware and software.

1

. Creative events, where people from diverse backgrounds (coders, business people, designers, social entrepreneurs, artists, etc.) work intensively together over a short time-frame. The aim is to take an idea through to a solution, whether that is a software app or a non-app innovation.

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The democratic factor More than just opening up their infrastructure and data to create markets for ideas (via crowdsourcing for example), smart cities provide creative spaces, opportunities for peer to peer working, games and competitions with serious intent, and access to capital (from city budgets or through access to angel investors or crowd-funded sources). In this sense, smarter cities further lower the cost of participation in democratic and economic processes and institutions. Perhaps the most striking parallel is with the rise of Athens as the pre-eminent city-state in the late classical period (ca. 600-300BC). In this case, a sustained period of economic performance was obtained through participatory democratic public assemblies, often involving thousands of non-expert decision-makers [Ober 2008]. In a 21st Century smart city, hackathons, maker faires and other grassroot movements are combining with access to data through cloud-based services to create new social hubs and marketplaces that mimic the Athenian Agora. However, to fully exploit the possibilities for direct participation, it is important to escape the legacy 2 systems of record that were never designed to offer open access to data. Geoffrey Moore [Moore 2011] refers to the importance of systems of engagement: typically web-tools that complement legacy investments in systems of record by providing open access, cross-platform usability and peer to peer collaboration across organisational boundaries. It is the insights from these systems of engagement that provide the basis for deeper direct involvement in innovation and decision-making (a contemporary Ekklesia).

The impact of smart cities on sustainability and innovation The Stanford Program on Regions of Innovation and Entrepreneurship [Lee & Hancock 2011] identified 143 smart city projects worldwide with a ‗green‘ focus. The IBM perspective is that a smart city provides new tools for citizens, social entrepreneurs and business people that they can use to innovate and directly address sustainability in the widest sense (including quality of life and economic climate). Examples include FLOAT in Beijing (a mapping and open source data visualisation project using air quality sensing kites). Through participation in local kite flying networks, this crowd funded project helps residents to monitor and act on air quality [BBC 2012]. Another example is ‗ReRouteAVL Hackathon‘ in Asheville North Carolina [Citizen-Times 2014] where coders and activists brainstormed ideas for improving local transport options and then quickly turned them into technology solutions that made use of public data on bikeways, greenways and real-time bus data (a previous hackathon had focused on resolving local hunger through identification and resolution of food deserts). At present, these grass-root initiatives often require a kick-start in terms of funds or skills such as 3 coding and design. For example, the FLOAT project was driven initially by two US students . The IBM Smarter Cities Challenge also addresses this need by contributing the skills and expertise of IBM's top talent to address critical issues facing cities around the world. Over the past 3 years, 100 cities have been selected to receive grants and projects have addressed major sustainability issues such as protecting drinking water supplies, tackling food deserts, and reducing traffic congestion. Two key technological trends can further democratise innovation in cities: ownership of 3D printing and the rise of participatory service composition. The first will accelerate physical innovation (there are already example of making components for use in repair cafes) and the second by simplifying the way that software solutions are created. Service composition is an approach to creating working technology solutions for the web and mobile devices by giving people access to re-usable services built by others (a service can be something such as reporting an incident, obtaining GPS co-ordinates, or performing a financial transaction). These services are typically accessed from a cloud environment via straightforward interfaces. Once built, these services can be composed in many and varied ways to create complete solutions (it is more like writing music, than coding). For sustainable innovation in cities this approach is particularly important as it democratises the creation process and

2

. Systems of record are typically computer systems designed for transactional, command and control processes where data is mastered as a single source of truth. 3.

Deren Guler, who has a Masters in tangible interaction design from Carnegie Mellon University, and Xiaowei Wang, who has a Masters in landscape architecture from the Harvard Graduate School of Design.

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provides libraries of context-aware services i.e. they know about the city through the data available from sensors, mobile devices etc.

Conclusions Smart cities will continue to get smarter as the Internet of Things evolves and more intelligent objects are able to interact with other objects, systems and people. New cloud-based technologies have already emerged from companies such as IBM that help non-experts to connect and use the data coming from these devices [Baxter 2014]. For example, smart energy management devices (meters and appliances) are becoming more commonplace and their data creates new opportunities for reducing carbon emissions. While it typically needs businesses and government to make the upfront investments in this example, the innovation will most likely flow from grass-roots and sponsored creative movements and individual innovators. More than ever, leaders in cities (civic and other) recognise that involving the latent talent pool through new information and communication technologies males it possible to turn sustainability challenges into opportunities [IBM 2014]. Frugal approaches to innovation, facilitated by technology, make progress achievable even in the face of barriers caused by restricted budgets, resource shortages and inflexible bureaucracies and systems. IBM CEO Ginni Rometty has stated that data ―will decide the winners and the losers‖ of the future [Forbes 2013]. Extracting sustainability insights from data is where wisdom of crowds approaches can be highly effective, and IBM anticipate an exponential growth in low-cost, cloud-enabled analytics and machine learning technologies for non-specialists. The acceleration of insight, as well as working smarter (e.g. using mobile and social technologies to work in real-time and across the silos between citizens, agencies and business) can help deliver on the full potential of cities for sustainable innovation.

References Baxter, RJ. 2014, ―Bluemix and the Internet of Things‖, http://ryanjbaxter.com/2014/07/16/bluemixand-the-internet-of-things/ BBC 2012,―Beijing pollution monitored with kite-mounted sensors‖, http://www.bbc.co.uk/news/worldasia-19355949 Citizen-Times 2014, ―Hackathon could help Asheville cyclists‖, http://www.citizen-times.com/story/news/local/2014/05/28/hackathon-help-asheville-cyclists/9683031/ Forbes 2013, ―IBM CEO Ginni Rometty Crowns Data As The Globe's Next Natural Resource‖, http://www.forbes.com/sites/robertlenzner/2013/03/07/ibm-ceo-ginni-rometty-crowns-data-as-theglobes-new-natural-resource/ IBM 2014, ―Analyzing the future of cities‖, http://www.ibm.com/smarterplanet/us/en/smarter_cities/overview/ Lee, J-H & Hancock, MG. 2011, Toward a framework for Smart Cities: A Comparison of Seoul, San Francisco & Amsterdam, Stanford, Stanford Business School Moore, G. 2011, Systems of Engagement and The Future of Enterprise IT, Worcester: AIIM, 2011 Nesta, ―Frugal Innovations‖, http://www.nesta.org.uk/news/frugal-innovations, 2014 Ober, J. 2008, Democracy and Knowledge: Innovation and Learning in Classical Athens, Princeton: Princeton University Press Open Data Research Network 2014, ―Transparency and Open Government Data in Rio de Janeiro: The Collateral Effect of the Smart City‖, http://www.opendataresearch.org/content/2014/576/transparency-and-open-government-data-rio-dejaneiro-collateral-effect-smart-city

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Transgressing Plastic Waste: Designedisposal Strategic Scenarios - Katarina Dimitrijevic Katarina Dimitrijevic Subject Leader PG Craft & Design University for the Creative Arts Rochester UK

Introduction This research practice based paper proposes that London's current urban entanglement presents a unique opportunity to co- design collectively with plastic waste, creating new opportunities through the Designedisposal activist platform. As the strategic global node for organization of production, London‘s meta-rubbish poses a particular challenge in managing 20 million tons per year. Although top-down Municipal Waste Management Strategies (MWMS 2011) are gathering a momentum, only 48.5% of London's plastic bottle trash is recycled, and this proudly delivered statistic is a devastating reflection of Western society's present and future landfill contribution. Over one million tons of mixed household plastic packaging is disposed of in the UK per annum, so the drive to develop socially, culturally and environmentally sustainable scenarios for London‘s mature waste management service is gaining a momentum. KraalD is a self-led micro design narrative that revolves around the designedisposal manifesto, and aims to promote minimization of future landfill and plastic pollution awareness. The designedisposal asterism strives to incorporate joyful activism, trash aesthetics, craft making, exposition, and coworkshop engagement; to facilitate rather than dictate, using the exhibition and installation as the participatory platform. It argues that a changing relation to disposal is a changing relation to oneself. The future aim of this ongoing research is to co-design new discard values and induce community relation towards urban plastic waste on a small scale. Thus, the core purpose of this paper is to present and reflect upon KraalD‘s previous two design action research outcomes and ideas. The case study to be posed, focuses on the research design vision and collaborative engagement outcomes with the London‘s rapidly growing contemporary discard art/design community, and creative environmental organisations, visually narrating four London-based sustainable group events and exhibitions in 2012-2013. Conclusively, this ongoing research strives to journey beyond the product design vocabulary, exploding the design advocacy framework within socio-cultural, environmental, ethical and critical discard practices and theories. This research paper is an abductive summative of the Transformation by Designedisposal MRes theses at Goldsmiths University, London. Continuing with MPhil/PhD, my research practice will investigate the notion of transgression, as a flip-flop approach, continually crossing of boundaries for formulating everyday disposal of waste alternatives. Thus, a future research will question and explore: How can design practice advocacy lead to social partnership opportunities, reconnecting London‘s presently fragmented waste management services with the local community?

London's Municipal Waste Management Strategies ―Rethinking waste means rethinking all the practices that blind us to the reality and possibilities of what remains. This is the ethico-political challenge of waste: imagining a new materialism that would transform our relations with the things that we pretend not to see" (Hawkins 2006). We are living in the age of waste, and consumption statistics for plastic packaging is rising. Over one and half million tons of mixed household plastic packaging is disposed of in landfill each year in the UK. The drive to develop socially, culturally and environmentally sustainable scenarios for London‘s mature waste management service is gaining momentum. As the strategic global node for 60

Sustainable Innovation 2014 organization of production, London‘s meta-rubbish poses a particular challenge in managing 20 million tons per annum. Only 48.5% of London's plastic bottle trash is recycled, and this proudly delivered statistic is a devastating reflection of London's future landfill contribution. These infrastructural and logistical issues, along with the environmental side effects associated with waste-management systems, means that waste is a hot debate in London. Addressing waste, Boris Johnson, the Mayor of London published Municipal and Business Waste management Strategies paper in 2011. Although the suggested down to top Municipal Waste Management Strategies (MWMS 2011) are gathering a momentum, London's urban dweller has little if any association with the disposing process. Thus, this distance from an object's materiality, in this case the context of landfill, results in the urban society lacking any interest or association towards post consumed commodities. This automated urban behaviour is to be revitalised by Boris‘s personally owned ‗‘Reuse Network‘‘, which is to tap into established social networks such as Freegle and Freecycle and place Londoners in touch with charities and DYI repair groups (Crerar 2010). Current waste entanglement presents various polarized conflicts of interest between the stakeholders in the London context. At present, GLA, LDA, DEFRA, NLWA, and LROG have been engaged to research ways which could assist development of reprocessing infrastructure within London.The plans, set out in the Mayor's waste strategy, also include giving boroughs incentives to use re-cycling methods with lower greenhouse gas emissions, rather than basing them on weight, aiming to encourage an increase in recycling data. Gareth Bacon, a member of the London Assembly's environment committee, questions London‘s poor recycling record and the fact that the majority of the capital's boroughs still fail to fulfill the average rate of recycling across the UK. In 2011, independently conducted investigation by the Assembly shared that ‗‘Landfill capacity is due to expire within London by 2021 and, outside the capital, space is expected to run out just four years later… A number of boroughs, including Bexley and the Royal Borough of Richmond, are doing very well. However London, more than most regions, faces significant challenges, given its high density and deprivation levels… Times have changed and demand more flexible and innovative approaches to managing waste‘‘ states Bacon in The Guardian 2011 article. By 2015, the Mayor demands of the capital to be recycling at least 45% of its municipal waste, rapidly progressing to 60%, sending 0% urban waste to landfill by 2025. Although the Mayor‘s vision on how to manage London's waste disposal by 2025 is alarmingly aligned with current landfill infrastructure capacity deadline, it still sets out a wide and encouraging framework to demonstrate green economy innovation, creating opportunities for future social enterprise and community-based plastic re-use integration into solid WMS of London.

Designedisposal asterism ‗‘Asterism is a pattern of stars recognized on Earth's night sky. It may form part of an official constellation, or be composed of stars from more than one‘‘ (Wikipedia 2014). KraalD is a self-led small design practice that revolves around the designedisposal manifesto and aims to promote minimization of future landfill and plastic pollution awareness. My design approach is a ubiquitous social narrative. Urban plastic trash is my study, object of desire and production material. I am engaged in exploring re: used and up: cycle design disposal strategies. Firstly, I would like to bring clarity to an audience referring to terminology derived from the practice of designing from disposal. Asterism, the astronomy term, has been introduced referring to a diverse group of waste spectators with strongly polarised relational connections e.g. political, social, economic, cultural, material, ethical and aesthetical. The practice designedisposal manifest is grounded on the four pillars of Bhutan‘s GNH (Gross National Happiness) policy, which are the promotion of sustainable development, preservation of cultural values, conservation of the natural environment, and establishment of good governance. It is a noble policy which attempts to define and indicate what measures quality of life or social progress in more holistic terms than only the economic indicator of GDP (Gross Domestic Product). Thus Designedisposal asterism strives to incorporate joyful activism, trash aesthetics, craft making, exposition, and workshop engagement. To facilitate rather than dictate, using the exhibition and installation as a platform to initiate critical material discard debate with public. KraalD questions less about the material effects of ideas and more about the ideological and ideational effects of the material world.

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To ask not whether or not things exist but what they can relate to. In fact, this research is not about things themselves, but about the subject/object transformative relation in London's temporal and spatial contexts to rubbish. It argues that a changing relation to disposal is a changing relation to oneself. The on-going aim of this research is to co-design new discard values and induce community relation towards urban plastic waste.

Exhibition as a collaborative engagement ‗'For many researchers, exhibiting objects such as prototypes, photographs, and video is as important as writing books and articles. The exhibition format encourages high quality finishing of designs over theory and explanation. Exhibiting in a variety of places also connects critical work to everyday life. As the research entangles with everyday life, however, the idea is to use people‘s stories to create a rich understanding of the prototypes, rather than to gather detailed data for scientific research‘' (Koskinen et al 2011). As a society, we confront the thingness of objects only when they stop functioning for us. For example, when things break down, like when the looting invaded the streets of London during 2011's Riot, disrupting the linear flow of production, distribution, consumption and disposal. As a designer I work within a society and culture. These two aspects are interconnected and used interchangeably. Glocaly, we all share the common phenomenon of quotidian and group behavioural characteristics adjoined to objects, materials, values and practices. When we transgress the surplus-driven consumer culture, taking the seemingly useless and transforming it into design objects and art installations, we reveal how disposed materiality can contain a dimension for spaces of possibility, creating new values and even hope. Thus, the core purpose of this paper is to communicate and reflect upon KraalD‘s 2012-13 generated design action research outcomes and ideas. The posed case study will visually narrate four collaborative and solo engagement projects (Fig 1), with the London‘s rapidly growing contemporary discard art, design community and creative environmental organisations. Starting in research themed order with the Thirst installation at the EcoTales Event at Twickenham Riverside, Orleans House Gallery and followed by a group exhibit under Sitespecific at Kingston Sculpture Park, July 2013, London. Further, we will revisit Cityself Anima installation at the How Come? Goldsmiths MA Design Exhibition, at Rug Factory, Shoreditch, September 2012. Closing with the initial Cityself Anima pilot exhibit-pop-up store at Jeannie Avent Gallery, East Dulwich, July, 2012.The KraalD‘s research utilized exhibitions as the experimental vehicle to illuminate and validate the trustworthiness of a presently shifting conscience of value to disposal in the quotidian context of London.

Figure. 1 KraalD, 2012-13, Bricolage: Four Events, London, UK

Thirst 2013 ''Take some more tea,' the March Hare said to Alice, very earnestly.

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`I've had nothing yet,' Alice replied in an offended tone, `so I can't take more.' `You mean you can't take LESS,' said the Hatter: `it's very easy to take MORE than nothing‘‘ (Carroll 1865). The EcoTales festival was a truly memorable day, held on the beautiful grounds of Twickenham Riverside at Orleans House Gallery. It brought together Eco activists‘, re-use muse inspired primary schools from the Borough of Richmond and recycled artists and design activists under one umbrella. Sir David Attenborough presented the winning awards for the short film competition. EcoTales launched this competition as an educational platform, raising awareness of plastic ocean pollution issues, by running an inspiring film & arts festival for families, providing interactive resources and workshops for young people. Thirst is a prosumer installation, initially created for the Underwater Sculpture Trail for the EcoTales Festival. Designed to interact and invoke, this installation reminds us of side effects of our daily desires. This self-made (2.2mL x 0.9mD x 1.7mH) prosumer mixed media installation strongly embodies some of the research concepts and theoretical beliefs (Fig 2). Thirst was further re: used for the Sitespecific project, which aims to transform London‘s underused public sites and stimulate collaborative projects, in order to excite public participation and enliven everyday urban spaces through creative action The ocean wave of self-collected, post consumption plastic bottles and bottle tops is a reminder of the constant stream of plastic objects that are manufactured, to be discarded instantly and thrown away into landfill or distributed for export. They are a representation of our disposable culture of 21st Century urban entanglement. It makes us revalue our lifestyle, which revolves around things we just throw away (Fig 3). Psychologists classify thirst as a drive, a vehement desire that motivates action. Thirst is a silent installation statement to prompt design action/reflection for London's plastic to be reused more consciously. These two public events interactively gathered valuable insights and fantastic commentary responses via social media portals.

Figure 2 KraalD, 2013, Bricolage: Thirst, EcoTales, photo Karl Grupe, London, UK.

Figure 3 KraalD, 2013, Bricolage: Sitespecific Thirst, London, UK.

Cityself Anima, 2012 ''Our sense of reality once shaped by our complex sensory interplay with the seasons, sky, forest, wildlife, savanna, desert, rivers, seas, and the night sky increasingly came to be shaped by technology and artificial realities. Urban blight, sprawl, disorder, and ugliness have become, all to too often, the norm. Compulsive consumption, perhaps a form of grieving or perhaps evidence of mere boredom, is a response to the fact that we find ourselves exiles and strangers in a diminished world that we once called home ‗‗ (Orr 2004). The Cityself Anima narrative street stall installation was intentionally designed to invoke emotion related to the temporality of the city's life tempo using humble materials. It emphasises a heroic element in every day mass products (plastic crates, ambalage), bringing attention and illumination to the socio-economic asterism in our daily reality. How Come? Goldsmiths MA Design Exhibition at Rug Factory was a good opportunity to probe and validate the Designedisposal concept in form of design activism, gathering valuable data regarding interests and values within the local context of London's

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Design week KraalD's stall successfully displayed the socio-political tension of waste, questioning conflict of formal and informal, acknowledging the street trade presence in contemporary London (Figure 4). Secondarily, the intent was to propose space to pause and interact, talk and reflect. It was designed to invoke dormant emotions and affirm the alienation effect of the city's life tempo using humble things. Neglected, deeply buried, the reflective nature of London's self-anima was awakened to further narrate this meta-retale. Urban flock personas of Boki, Mumu, Bull and The Queen presented in the form of light fittings, created a child-like feel, full of colour and light, revoking the urban jungle's totem. To conclude, being part of design week, this group exhibition has gathered some well-earned media attention. Inhabitat's journalist Hazel Saunderson dedicated a full article, stating that London Goldsmiths How Come? show poses questions about Design, at the London design festival week, 2012, appraising the show‘s theme centered around intellectual curiosity and the questioned theory behind design. She further comments on the Cityself stall in her overview: ‗‘This eye-catching mask installation made from recycled bottles formed part of the waste disposal project. This striking visual outcome is part of Katarina‘s MRes Design which calls for people to rethink the way we organize, design and manufacture in urban future‘‘. Finally, closing this exhibition overview chapter with the initial pilot exhibit-pop-up store at Jeannie Avent Gallery, East Dulwich, 19-24 July, 2012. My solo show, titled ‗Cityself Anima 4 Sale', embedded in socio-consumer-ethical theory, exhibited prosumer lighting and jewellery product ranges. The opportunity to exhibit in a gallery and transforming the space into a guerrilla pop-up micro store created fertile soil for planting future qualitative produce. The pop-up show was an exciting opportunity to sfumato the boundaries of gallery, supermarket and street trade. This event introduced urban wildlife cityself flock lights and urban bloom jewellery range to the public, engaging artifacts as a conversation platform for public to share fragmentary insights, exploring themes such as: Trash is beautiful, Informal is normal (Figure 5). This retale pop up narrative carries an inertly embedded, post consumerist mass production statement, questioning global dynamics and its currently unsustainable lifestyle trends.

Conclusion ''The Design process, in its initial phase, was already made for disposal that provides a narrative thread that weaves a story of culture and lifestyle and how the spirit of ubuntu and sense of community wills itself in the concrete spaces...'' (Dimitrijevic, Kopping 2008). To conclude, this on-going research strives to journey beyond the product design vocabulary, exploding the design advocacy framework within socio-cultural, environmental, ethical and critical discard practices and theories. Giving the plastic thing a sui generis voice aids to evaluate the effectiveness and trustworthiness of posed scenarios. Therefore, meanings are not attached to things, but identical to them. As poet William Carlos Williams (1946), stated ‗-Say it, No Ideas But In Things.-‘ This modernist dictum supports materialist 'intense localism' (Brown 2003), allowing pairing of things and people; things and nature; KraalD (Thirst 2013; Cityself 2012), advocating the transgressing of physical into metaphysical, empowering a plastic thing with relational aura properties.This paper is an abductive summative of the Transformation by Designedisposal MRes theses at Goldsmiths University, London. Continuing with MPhil/PhD my research practice will investigate the notion of transgression, as a flipflop approach, continually crossing of boundaries for formulating everyday disposal of waste alternatives. Thus, a future research will question and explore: How can design practice advocacy lead to social partnership opportunities, reconnecting London‘s presently fragmented waste management services with local community? Metacognitivly, I have developed strong sense of connection towards waste. Plastic trash is perceived and valued as depository bank that gives meaningful results, re: made, re: animated my plastic desire, created a small social practice enquiry that allows me to gain multiple perspectives of Designedisposal asterism.

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Figure. 4 KraalD, 2012, How Come?. Cityself Anima, photo Inhabitat , London

Figure. 5 KraalD, Bricolage: Cityself Anima 4 Sale, 2012, Jeannie Avent Gallery, London, UK.

References Bacon 2011, 21 October 2011- Waste not, want not: London's poor record on recycling [ONLINE]. Available at: http://www.theguardian.com/local-government-network/2011/oct/21/london-poor-recordrecycling-rates [Accessed 10 October 13]. Brown, B, 2003, A Sense of Things: The Object Matter of American Literature.1st ed. The University of Chicago Press: Chicago and London. Carroll, L, 1865 March Hare, Alice and Mad Hatter, Alice's Adventures in Wonderland, ch. VII, Macmillan, Available at: http://www.cs.indiana.edu/metastuff/wonder/ch7.html. [Accessed 30 July 13]. Crerar 2014, 6 October 2014- Mayor does his bit for recycling by launching his own Freecycle scheme, [ONLINE]. Available at: http://www.standard.co.uk/news/mayor-does-his-bit-for-recycling-bylaunching-his-own-freecycle-scheme-6526117.html [Accessed 15 October 14]. DEFRA. 2013. EU Waste Framework Directive. [ONLINE] Available at: http://www.defra.gov.uk/environment/waste/. [Accessed 07 February 13]. Dimitrijevic, Kopping, 2008. Places & Themes of Interiors Contemporary Research Worldwide Street Synergy: African re-tale in a global narrative. 1st ed. Milano: Politechnico di Milano IULM. EcoTales , 2013, Sneak Preview…Thirst, [ONLINE]. Available at: http://ecotales.co.uk/page/2/.[Accessed 30 August 13]. How Come?, 2012, How Come? : Goldsmiths MA Exhibition, [ONLINE]. Available at: ttp://www.howcome.co.uk/project/katarina-dimitrijevic/ Hawkins, G, 2006. The Ethics of Waste – How we relate to waste. 1st ed. United States of America: Rowman & Littlefield Publishers, INC. Helliwell, J. Layard, R. and Sachs, J. Ed, 2012. World Happiness report. The Earth Institute, Columbia University,[Online]. electronic book, 170. Availableat: http://www.earth.columbia.edu/sitefiles/file/Sachs%20Writing/2012/World%2 0Happiness%20Report.pdf [Accessed 02 September 2012]. Kingston Guardian, 2013, Sitespecific [ONLINE]. Available at: http://www.kingstonguardian.co.uk/news/10504425.Sculptors_to_take_over_the_Memorial_Gardens/. [Accessed 30 August 13]. KraalD, 2013, FB Social Portal,[ONLINE]. Available at: http://www.facebook.com/pages/KraalD/.[Accessed 30 August 13].

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Koskinen, I., Zimmerman, J., Binder, T., RedstrÖm, S., Wensveen, 2011. Design Research Through Practice: From the Lab, Field, and Showroom. 1st ed. Amsterdam • Boston • Heidelberg • London • New York• Oxford Paris • San Diego • San Francisco • Singapore • Sydney • Tokyo: Morgan Kaufmann-Elsevier. The Mayor's Waste Management Strategies. 2011. LONDON‘S WASTED RESOURCE THE MAYOR‘S MUNICIPAL WASTE MANAGEMENT STRATEGY NOVEMBER 2011. [ONLINE] Available at: http://www.london.gov.uk/publication/londons-wasted-resource-mayors-municipal-wastemanagement-strategy. [Accessed 09 January 13]. RECOUP Recycling. 2012. UK Household Plastics Packaging Survey 2011. [ONLINE] Available at: http://www.recoup.org/business/default.asp. [Accessed 15 July 2012]. Orr, D, 2004. The nature of design: Ecology, culture, and human intention. 2nd ed. USA: Oxford University Press New ED Edition. Williams, W. C., 1992, Paterson.1st ed. New Directions Publishing Corporation: New York.

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Textile Seam Separation Technology: Urban Area Disassembly and Sorting - Elaine Durham, Andrew Hewitt, Rob Bell, Stephen Russell Elaine Durham Research Fellow University of Leeds School of Design University of Leeds UK

Andrew Hewitt Grants Manager Nonwovens Innovation & Research Institute Ltd c/o Centre for Technical Textiles University of Leeds UK

Rob Bell Innovation Director C-Tech Innovation Limited Capenhurst Technology Park Chester UK

Stephen Russell Chair of Textile Materials and Technology Centre for Technical Textiles University of Leeds UK

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Abstract One of the major challenges with achieving a closed loop system for textile garments is to get consumer buy-in. The ability to bring the disassembly and sorting process of garments to the shopping mall would be a major step forward in creating awareness and dialogue between consumers, manufacturers and end-of life processors. A recently developed technology known as Wear2™ enables labels, logos, buttons and zips to be removed from clothing without damage to the surrounding fabric. It is also possible to rapidly `fail‘ seams and thereby to separate dissimilar materials into pure material streams. Disassembly is by microwaves. Microwave heating is an established, cost-effective industrial technology that is widely used in food and beverage processing and advanced manufacturing applications, making it ideally suited for exploitation in the re-use/ recycling industry. The Wear2 technology provides opportunities for the development of new garment business models based on (a) de-branding, (b) re-branding, (c) re-selling, (d) leasing and (e) repurposing.

Introduction: Bringing disassembly technology to urban areas The Wear2 technology described here was originally developed to mitigate the potential security risk of reusing/recycling branded corporate wear such as those used by the police force. Currently such branded corporate wear is shredded and landfilled at the end-of-life, but a rapid debranding process would open up recycling and reuse routes. Wear2 technology also has potential applications in the domestic recycling market. One of the major challenges with garment recycling and eventually achieving a circular economy is to get customer buy-in (Goldsworthy 2013). Consumers are much more attuned to recycling than they were a decade ago, but fast fashion and low priced garments mean that consumption continues to rapidly increase. Getting manufacturers to engage in the process of designing out waste and developing truly sustainable economic solutions requires producers to acknowledge their end-of-life products as their own concern rather than leaving the issue to be dealt with by the recycling industry. There is therefore a real need to make the links and to encourage dialogue between the recycling industry, manufacturers and consumers. Some companies have already begun to operate take-back schemes. Marks and Spencer (UK) ran a major campaign to encourage customers to return unwanted garments to their stores in return for shopping vouchers. Following collection, all navy blue woollen coats were separated out from the rest of the donated garments (Malik Chua 2012). These coats were then mechanically shredded and the residual wool fibre re-spun into new yarn that was used to produce new coats to be sold in M&S stores. Other companies such as Patagonia (Patagonia 2014) and Nike have also run successful take-back schemes, exploiting the consumers‘ willingness to return end-of-life goods to the point of sale. Currently only the collection of garments takes place in store, while the sorting, disassembly, recycling and reuse processing takes place in centralised processing plants. This split means that to a large extent end-of-life processing remains unseen and therefore unappreciated by either the consumer or the manufacturer. For their Shwop scheme Marks and Spencer partnered with the charity Oxfam. Consumers in the UK are often under the misapprehension that the majority of clothes donated to the charity sector are resold in the UK. In reality the vast majority of charity garments are sent overseas for sorting and resale. In the long term, sending used garments to less economically developed countries is not sustainable and other options need to be explored. The sorting of end of life garments is labour intensive and is often out sourced to countries with cheaper labour costs. Clear labelling has brought great success in the plastics recycling industry, thereby enabling some degree of consumer sorting. Sorting in the garment industry is less well developed and is hampered by the complexity, mixed materials and non-standardisation of textile goods. To ease the recycling process some companies have developed homogeneous garments. One company that has tried to improve the homogeneity of their garments is sportswear brand Puma (Thomas 2012), whose recyclable fleece is made from 100% polyester fabric and sewing thread, even the zip being entirely of polyester. The ability to recycle polyester has been one of the major success stories of the recycling industry in the last few years, but textile garments composed of entirely homogeneous materials are a minority. Limiting the garment industry to the production of only homogeneous products is unrealistic given the comfort and function requirements of the clothing industry and the aesthetic and constantly changing nature of fashion. The ubiquitous businessman‘s

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suit is an example of a heterogeneous garment with its linings, labels, buttons, zipper and other ‗contras‘ that differ from the main suiting material. There is a real need for a clean and quick disassembly technology that could be used by clothing brands keen to make a step towards the circular economy. This paper introduces a recently developed technology known as Wear2™ which enables labels, logos, buttons and zips to be removed from clothing without damage to the surrounding fabric. It is also possible to rapidly fail seams and thereby to separate dissimilar materials into pure material streams. The trigger for disassembly is microwaves. Microwave heating is an established, cost-effective industrial technology that is widely used in food and beverage processing and advanced manufacturing applications, making it ideally suited for exploitation in the re-use /recycling industry. By incorporating a yarn into garment seams with a high sensitivity to electromagnetic radiation in the microwave frequency range, there is scope to rapidly reduce the mechanical properties of the joint by exposure to microwaves at the end of life. Unintended disassembly of the garments, while being worn, is extremely unlikely because uncontained electromagnetic radiation at the required microwave frequency would not be encountered in normal practice. In microwave ovens and other similar devices, microwave energy is safely contained within a sealed unit, giving the potential for individual brands to install disassembly technology in urban shopping locations. This has the possibility to bring about far reaching changes in the garment industry. Such technology would allow the disassembly and sorting of the ‗daily take-back‘ to be done in store. By bringing disassembly technology to the shopping centre (as opposed to keeping it outside urban areas) the industry begins the process and dialogue of bringing the consumer, manufacturer and recyclers together in the circular economy.

Methodology Staple core spun polyester (PET) sewing threads were produced with a linear density of 310 dtex (dtex = weight (g) of 10,000m of yarn) containing an electrically conductive polymer composite within the outer sheath (Russell 2013). This yarn was utilised to manufacture articles garments in which: (a) all constituent seams contained the new yarn, and (b) only the buttons, zips, labels or decorative pockets contained the new yarn. In the former garment samples, the aim was to facilitate complete garment disassembly and in the latter, partial garment disassembly. Industrial sewing equipment was utilised with no modification to the procedures used for normal garment assembly. Subsequently, garments were exposed to short-duration microwave treatment in a newly constructed process line.

Results and Discussion Microwave Process Technology A bespoke industrial microwave unit was designed and constructed for processing used clothing. To promote a cost-effective solution, the microwave unit was designed to operate at low power levels (kW -3 m ) orders of magnitude below the norm for industrial equipment. The low power usage coupled with short cycle time ≤30 s minimises electricity consumption and running costs. The operation of this microwave unit is also unaffected by the presence of buttons, metal zips or other items that may be attached to the garment. Seam and Joint Failure as a result of Microwave Exposure A short burst (80% reduction in seam tensile strength could be obtained (BS EN ISO 13935-2:1999). This enabled garment seams to be failed such that it came apart into its constituent component pieces (Fig. 1). Discrete components such as buttons, zips, labels or decorative pockets could also be removed with minimal force. The rest of the garment remains undamaged.

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Commercial Scale Up A route for bulk yarn production has been established and yarns are package dyed according to end use requirements. Garments manufactured by a major clothing retailer (George at Asda) demonstrated that the new yarn was compatible with high speed sewing processes. The garments also passed standard consumer clothing durability trials. When incorporated in corporate wear, wearer trials conducted by the Royal Mail confirmed that garments containing the yarns were durable in use. Disassembly trials at Oxfam, using the new industrial microwave processing system, demonstrated that garments could be easily disassembled enabling their separation in to component elements. Although the cost of the yarn is slightly higher than standard sewing yarn, this is offset by the added value of recycling garments that otherwise would be landfilled.

Figure 1: Diagram showing a circular economy using wear2 technology. In the example the consumer travels to the shopping mall with their no-longer required garments. Garments are returned to their original purchasing location/brand to aid the sorting process. In exchange for returning their old garments consumers are rewarded with vouchers for new purchases. The returned garments are further sorted into three different options: 1) immediate resale 2) disassembly using wear2 technology, alteration and resale 3) disassembly using wear2 technology, homogeneous sorting of materials, and transport* to recycling plant. 70


*Vehicles used to deliver products to the shops can be used to transport recycling on the return trip.

Figure 2: Locating disassembly technology to shopping malls can act as an educational tool to raise consumer awareness about the garment recycling industry.

Summary Bringing garment disassembly process to urban areas is a radical departure from the norm‘ however to achieve circular economy unconventional solutions are necessary. Wear2 technology is particularly suitable for urban situations as it is a quick, clean and scalable technology (fig.1). The technology provides opportunities for the development of new business models based on (a) de-branding, (b) rebranding, (c) re-selling, (d) leasing and (e) repurposing. The ability to remove contaminants (buttons, zips, linings and other contras) allows for uncontaminated fibre/fabric to be recovered, of known composition, quality and provenance for recycling. It was estimated that in 2012 a third of all clothing bought in the UK ended up in landfill, however if this material was donated for reuse or recycling it could generate up to £140 million in revenue (letsrecycle 2014). Locating disassembly technology to shopping malls for specific clothing ranges begins the process and promotes dialogue, bringing the consumer, manufacturer and recycler together in the circular economy (fig.2).

References Goldsworthy, K. 2013 Design for Cyclability: pro-active approaches for maximising material recovery, Making Futures Vol 3 ISSN 2042-1664. Making Futures Conference, Plymouth University (October 25th-26th 2013) Available: http://www.plymouthart.ac.uk/documents/Goldsworthy__Kate.pdf Letsrecycle, Textiles, [Online]. Available: http://www.letsrecycle.com/prices/textiles [24 September 2014] Malik Chua, J. 2012, Shwopping‖ Recycling Campaign M&S to Sell First ―Shwop Coat‖ Made From Customers‘ Unwanted Woollens, [Online] Available: http://www.ecouterre.com/ms-to-sell-first-shwopcoat-made-from-secondhand-garments/. [14 July 2014]

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Patagonia, Change Your Clothes for Good: Patagonia's common threads recycling program], [Online]. Available: http://www.patagonia.com/us/popup/common_threads/faqs.jsp. [17 July 2014] Russell, S. J. & Rea, C. 2013. Article assembly disassembly system. WO/2013/189956. Thomas, C. 2012, Puma Launches Biodegradable And Recyclable Sportswear 2, [Online] Available: http://www.huffingtonpost.co.uk/2012/10/08/puma-launches-biodegradable-and-recyclablesportswear_n_1948506.html. [14 July 2014]

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The Transformative Role of Calculative Devices in the Appraisal of a Large Scale System: Re-inventing the Bicycle as an Instrument of Public Health - Morten Elle, Jens Stissing Jensen Morten Elle Associate Professor Center for Design Innovation and Sustainable Transition Aalborg University Copenhagen Copenhagen Denmark

Jens Stissing Jensen Postdoctorate Center for Design, Innovation and Sustainable Transition, Aalborg University Copenhagen Copenhagen Denmark

Andrés Felipe Valderrama Pineda Postdoctorate Center for Design, Innovation and Sustainable Transition Aalborg University Cophenagen Copenhagen Denmark

Abstract Lately urban planning in Copenhagen has been influenced by a new appraisal of bicycling as a form of mobility improving public health. This new appraisal of cycling has been promoted by the development of a methodology for cost-benefit analysis of cycle investment. In this paper we analyse how different calculative devices have influenced urban planners‘ system appraisal of cycling in Copenhagen, and how such system appraisals have been involved in redefining governance arrangement and in shaping interventions. Through this analysis we demonstrate how bicycling has developed from being considered as means of transport with almost no importance for the transport system to an import part of not only the urban transport system, but also as a means for producing public health. We hence illustrate how seemingly grey and anonymous calculative devices may play a salient role the shaping the social appraisal of a large scale system such as cycling. 73


1. Introduction The bicycle is an old invention and the basic design has been the same for more than a century. Nevertheless, we claim that the bicycle is continuously re-invented. Not due to radical new design of the bicycle itself, but due to transition of the large scale socio-technical system (Geels, 2002), that bicycles are a part of. In this paper we are focussing on how new ways of understanding and delineating the large scale system that cycling is part of are produced among urban planners, and how such new ways of understanding enables the system to be re-designed in novel directions. We thus discuss how the politics of system appraisal - i.e. the politics involved in defining how a large scale system are described, measured, and delineated - are key to processes of building capacity for system innovation. We will especially focus on how calculative devices are involved in such system appraisal processes. From a system perspective the politics of system appraisal is of central strategic relevance because the boundaries that demarcate a large scale system - such as e.g. cycling - from its context are not pre-given, as social reality does not constitute a well organised functional machinery composed of compartmentalised systems and sub-systems (see e.g. Smith and Sterling 2007; Shove and Walker, 2007; Jensen, 2012). In order establish a large scale system as a stabilised and relevant policy object among urban planners a set of boundaries that disentangles the system from the multitude of relations and interdependencies of real world processes hence need to be actively defined and enacted. The politics of such boundary work has not been entirely neglected within the literature that deals with transformations of large scale socio-technical systems. Jørgensen argues that even academic analysis of large scale socio-technical system is a political and performative exercise. He thus suggests that such ―(...) analysis cannot claim to be observations from some neutral, outside position. Like other types of situated sense-making academic theorizing also operates by constructing boundaries, purifying dynamics and assigning agency (Jørgensen 2012:1008)‖. Following the same line of reasoning Smith and Sterling (2007) argues ―that there are multiple ways of knowing the sociotechnical system, each valid its own way, but with different implication for the way governance engages with in and affects it (Smith and Stirling 2007:363)‖. These discussions highlight that there is no neutral or objective way of describing, delineating and measuring a large scale system. The boundary work by which such systems are constructed as discrete and relevant ‗things‘ is fundamentally political in that it involves priorities and choices. Detailed analysis of how such boundary work is actually performed nevertheless remains in short supply within transition research. In this paper we investigate the particular role of calculative devices in defining a large scale system as a discrete and relevant policy object. More specifically we analyse how different calculative devices have be employed to isolate cycling in Copenhagen as a finite and ordered number of technological-, institutional- and regulatory- elements and relations. Our analysis discloses that three calculative devices has been particularly central to the appraisal of cycling as a large scale system among municipal planners in Copenhagen: The police report, the cycle account and cost benefit analysis. In the following sections we analyse how the appraisals informed by these various calculative devices have been instrumental in promoting different governance arrangements and in producing different intervention in relation to cycling.

2. Making cycling count: the appraisal and governance of cycling in Copenhagen 2.1 The police report 2.1.1 The calculative device Denmark is characterised by a long tradition for cycling, especially in the larger towns. The prevalence of cycling as a well established urban mobility practice does however not imply that cycling has constituted a coherent policy object - not even within the municipal administrations of larger cities. As an object of urban planning cycling became especially marginalised during the 1960‘s and 1970‘s as this period was characterised by a strong belief in the car as the future mode of urban transportation. Though the established networks of urban cycle paths were not dismantled, the cycle paths were often shortened in connection to traffic junctions in order to provide more space for cars. This made accidents more frequent. The main calculative devices used to render cycling visible in the eyes of urban planners were the police reports which registrated different types of traffic accidents. Based on

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these reports statistics were created: How many died in traffic, how many were seriously injured, how many had lesser injuries? There existed, however, no coherent appraisal of cycling as relevant mean of addressing the real transport problems. While cycling was accepted as a means of transport for those too poor, too young or too old to drive a car the main concern from an urban planners perspective was to prevent serious accidents with bicyclists. 2.1.2 The governance arrangements During the 1960s and 1970s the urban planners within the municipal administration of Copenhagen were busy re-designing the urban mobility infrastructure to allow for more cars. In Copenhagen an old network of public trams were e.g. dismantled in this process. A number of young activists entered The Danish Cyclists‘ Federation, making it a platform for discussion of transport politics. When a young activist asked the Technical Director of the City of Copenhagen about the possibility of establishing a bicycle lane on Nørrebrogade, a main road in one of the central city districts, he was considered insane. The technical director shouted: There will NEVER be a bicycle lane on Nørrebrogade! In the early 1980‘s public protest against the poor condition for cyclist were, however, organised by the Danish Cyclists' Federation. This sparked some reaction among politicians, but the urban planners remained sceptical to ideas of giving cyclist a more pivotal role in planning of the city. 2.1.3 The interventions Cycling was measured and perceived mainly as problem of accidents - while it remained virtually invisible as a relevant part of the urban mobility system. In order to reduce the number of accident different kinds of obstacles were placed in order to prevent bicyclist crossing streets without dismounting their bicycle, slowing down the average speed of the bicyclists. A typical strategy for avoiding conflicts between cars and bicyclist in crossing were to make a separate crossing for the bicyclists, making sure that the bicyclist had a full stop (Thagesen 1998). Despite resistance from the urban planners, also a strategy for developing new cycle paths was developed in this period under pressure from the Danish Cyclists' Federation. This plan was however never officially endorsed. A strategic controversy pertaining to this plan was whether new cycle lanes should be established along main roads, thus limiting the space available for car, or along secondary roads. The outcome of this controversy was that new lanes were established along main roads in order to increase efficiency and access to shops. 2.2 The bicycling account 2.2.1 The calculative device In the mid 1990s a new system appraisal began to emerge backed up by a new calculative governance device. This device was the so-called bicycle account. The bicycle account was initially introduced by two employees within the municipal administration during an international cycle conference located in Copenhagen. The account combined a series of existing and new quantitative figures related to cycling. Some of the key figures in original account were: ● ● ● ●

Shares of citizens that cycle to work Number of serious injuries / number of km of cycling between each serious injury Share of cyclist that feel safe while cycling kilometers of cycle path (City of Copenhagen 2012)

Complementary to existing data on number of accidents, km of cycle path, and number of cyclists this calculative device also introduced numbers for the feeling of safety. The experiences of cyclist themselves was thus being put into numbers, and these experiences gradually became a strategic target for the policy on cycling. These numbers thus introduced a new type of system appraisal, by framing cycling as a relevant urban experience, rather than a mobility risk. The new calculative device was immediately institutionalised as a biannual procedure. Data was produced through telephone interviews with citizens. The experience oriented appraisal of cycling, introduced by the first account was later complemented with number on average cycle speed (2004), number of parking lots (2006) and satisfaction with the impact of the cycle culture on the urban environment (2010) (City of Copenhagen 2012).

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2.2.2 The governance arrangements The experience-oriented system appraisal promoted by the cycling account was initially envisioned as a tool by which to engage in dialog with the public. The device however soon proved instrumental in restructuring governance arrangements within the municipal administration itself. In 2002 the first coherent cycling policy was formulated based on the experience oriented system appraisal of the bicycle account (City of Copenhagen, 2012). The ambition of this strategy was to increasing cycling by improving the experience of cyclists. This plan set a series of quantitative targets for the development of cycling, to be reached within a period of 10 years. The central strategic objective was to increase the share of citizens that were cycling to work from 34 pct to 40 pct. A series of supportive objectives were to increase the feeling of safely, reduce the frequency of accidents, increase speed and comfort. In the formulation of these longsighted objectives, the cycle account played a constitutive role. The strategy stated that ―The quantitative objectives enables that the cycling policy of Copenhagen is continuously evaluated. This will - as untill now - be done in the cycle account (Københavns Kommune, 2002:7). The endorsement of the cycling strategy established cycling as an area of long-sighted strategic relevance within the municipal administration. Politicians began to publicly campaign for better cycling conditions, and the budget tripled within a few years. Also cycling was framed as strategic elements of urban development, and it was suggested that cycling in Copenhagen should be measured against other ‗cycle cities‘ such as Amsterdam. The increased budget and the increased attention from the politicians also triggered organization reforms within the municipal administration. Whereas the regulation and promotion of cycling had previously been dispersed across various departments within the municipal administration, it was now gathered within a single organizational unit called the ‗cycling secretariat‘, staffed by a set of dedicated employees. 2.2.3 Interventions The long-sighted strategic objectives that were set for cycling in Copenhagen - which were in large parts focussing on improving the experience of cyclists - catalysed a series of concrete interventions. These e.g. included the development of a new type of ‗green cyclepath‘ developed partly independent of the established car-based road infrastructure, ‗green waves‘ insuring green traffic signals for cyclist going 20 km/h on certain routes, and systematic monitoring of the quality of the surface of the cyclepath by means of laser equipment. Also Nørrebrogade was converted into a so-called ‗cyclingstreet‘ with broader cycle paths and limited access for cars. 2.3 Cost benefit analysis of cycle investments 2.3.1 The calculative device The establishment of the cycle secretariat as a discrete organizational unit within the municipal administration considerably raised the policy capacity in relation to cycling. A manager, who had previously been working with the development of the national railway infrastructure was now hired to head the new secretariat. This manager promoted a new focus on the economic effects of investments in cycling comparable with investments in other components the urban mobility system. More specifically he was interested in adapting a cost benefit methodology used to assess the economic effects of mobility investments within the Ministry of Transport, to the field of cycling. In 2009 the municipality thus initiated collaboration with a consulting engineer in order to outline a cost-benefit methodology for investments in cycling. The cornerstone of this methodology was to calculate the standard costs (and benefits) of one km of cycling. In the calculations a series of standard elements that were also used in the methodologies of the Ministry of Transport such as time cost, driving cost, accident cost and air pollution cost were included. The methodology calculated the main cost as illustrated below: Time cost: 5 dkk/km Travel cost: 0,33 dkk/km Accident cost: 0,78 dkk/km (Københavns Kommune 2009:6) In addition to these standard elements a series of costs and benefits of particular relevance to cycling were added. These included ‗unsafety costs‘, ‗discomfort costs (experienced discomfort due to e.g. bad weather)‘ and ‗recreational value‘ (Københavns Kommune 2009:14). The single most important 76


new element that were added to the calculation was however the health gains of cycling. The health gains (represented as a negative cost) were calculated as illustrated below: Health costs: - 2,91 dkk/km Prolonged life-time: -2,59 dkk/km (Københavns Kommune 2009:6) In total the methodology suggested that the societal standard cost of 1 km of cycling was 0,60 dkk, which was far below the societal cost of 1 km of mobility provided by car or public transport. This result was primarily a consequence of the significant health-gains related to 1 km of cycling. The cost-benefit methodology thus produced a new system appraisal that framed cycling as a health producing mode of mobility. 2.3.2 The governance arrangements The new system appraisal that framed cycling as a health producing mode of mobility was initially employed to legitimise and prioritise cycle investments within the municipality of Copenhagen itself. More significantly the new appraisal however proved instrumental in re-scaling governance arrangements in relation to cycle investments, which were traditionally confined within the borders of individual municipality. At the national level cycling was thus traditionally perceived as a marginal and insignificant means of mobility. Within the Ministry of Transport cycling furthermore remained ‘invisible‘ from a calculative point of view, as cost benefit methodologies were only developed in relation to investment in the road infrastructure for motorised vehicles and in relation to investments in public transportation. The development of the cost benefit methodology for cycle investments in Copenhagen however made cycling visible in the calculative language of the Ministry, and due to the significant health gains related to cycling, the methodology suggested that most investments in cycling were highly cost efficient compared to more traditional investments in the mobility system. In the first national cycle strategy issued by the Ministry of Transport in 2014, cost benefit analyses played a pivotal role, and resources were invested in further refining the methodology (Transportministeriet, 2013). In the strategy it was e.g. stated that: ―Cycling is an easy, cheap and accessible means of transportation, which is economically sustainable - for the individual as well as for society. (...) For each kilometer of cycling, which is travelled by cycle rather that car in urban districts, the health effect for in the guise of prolonged lifetime and better health can be estimated to almost 7 dkk (Transportministeriet 2014:2)‖ The new health oriented system appraisal also attracted interest at the regional scale which was responsible for the health systems and for regional development. At the regional level cycling was framed as an element of regional development that could potentially be instrumental in increasing regional productivity due to an improved health condition of the labour force, as well as by reducing congestion in the regional mobility system. 2.3.3 The interventions An outcome of the more active involvement of national and regional actors was a new focus on the development of regional cycle infrastructures cutting across municipal borders. Such cross-municipal cycle infrastructures were in particular promoted under the concept of Cycle Super Highways, i.e. a special type on cycle path designed for commuters travelling over longer distances (above 10 km) and typically across municipal borders. The concept of Cycle Super Highways was initially developed in collaboration between more than 20 municipalities in the capital region. This shared initiative soon gained the support of the regional authorities, which e.g. supported the initiative by carrying out a series on cost benefit analysis of the concrete regional cycle-paths proposed by the municipalities (Sekretariat for Cykelsuperstier, 2013). Finally the concept was also supported by Ministry of Transport, which established a pool of funds, providing 50 pct co-financing of regional Cycle Super Highways. This established the concept of Cycle Super Highways as a national concept as the 5 major Danish cities were eligible to apply for funding (Vejdirektoratet 2012). In Copenhagen the development of Cycle Super Highways were supported by a secretariat funded by the participating municipalities. The concrete design of the Cycle Super Highways was negotiated

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among the involved municipalities, which also had to finance 50 pct of the costs on their annual construction budget. In these local budget negotiations the health argument often proved instrumental in building political support. At present two Cycle Super Highways have been established and a dozen more are planned.

3. Conclusion Though the bicycle itself is a relatively well-defined and stable technological artefact a broader system perspective reveals how cycling has changed radically since the late 1960s. Then it was almost invisible, only appearing in the statistics under ‗accidents‘. Policies were focused on safety, not the speed, the comfort or the positive health effects of cycling. The bicycle-account made the bicycles visible and could be used not only for a dialogue with the citizens. The bicycle-account was a decisive tool which made it possible for City of Copenhagen to develop a bicycle strategy, framing bicycling as an important strategic element in creating a better urban life. Lately we have seen how bicycling has begun to play a role in public health. Now the focus is not on safety and accidents but on the positive health effects of cycling. These effects are highlighted in particular by cost-benefit analysis. The bicycle is emerging as an important instrument of public health. Our analysis illustrates that seemingly grey and anonymous calculative devices such as cycle accounting, and cost-benefit analysis, may play a salient role the shaping the social appraisal of cycling as a socio-technical system, and consequently in the reconfiguration of governance arrangements and in the concrete intervention by which cycling is shaped as a socio-technical phenomenon.

4. References City of Copenhagen. 2012, Copenhagen - City of Cyclists - Bicycle Account 2012 Geels, F. W. 2002, ―Technological transitions as evolutionary reconfiguration processes: a multilevel perspective and a case study‖ , Research Policy, vol. 31, pp. 1257-1274 Jensen, J. S. 2012, ―Framing of regimes and transition strategies: An application to housing construction in Denmark‖, Environmental Innovation and Societal Transitions, vol 4, pp. 51-62 Jørgensen, U. 2012, ―Mapping and navigating transitions - the multilevel perspective compared with arenas of development‖, Research Policy, vol. 41, pp. 996-1010 Københavns Kommune. 2009, Samfundsøkonomiske analyser af cykeltiltag - metode og cases, Københavns Kommune og COWI A/S Københavns Kommune. 2012, Cykelpolitik 2002-2012, Københavns Kommune, Vej- og Park Sekretariat for Cykelsuperstier. 2013, Samfundsøkonomiske analyser af cykelsuperstierne Baggrundsrapport, Sekretariat for Cykelsuperstier Shove, E. & Walker, G. 2007, ―CAUTION! Transitions ahead; politics, practices, and sustainable transition management‖, Environment and Planning, vol 39, pp. 763-770 Smith, A. & Stirling, A. 2007, ―Moving outside or inside? Objectification and reflexivity in the governance of socio-technical systems‖, Journal of Environmental Policy and Planning, vol 9, pp. 351373 Thagesen, B., 1998, Veje og stier, Polyteknisk Forlag, Transportministeriet. 2013, Cyklingens effekter og samfundsøkonomi - arbejdspapir 3 - den nationale cykelstrategi 2013, Transportministeriet Transportministeriet. 2014, Sammenfatning af den nationale cykelstrategi 2014: Danmark - op på cyklen Vejdirektoratet, 2012. Vejledning til ansøgning af tilskud fra ―Pulje til supercykelstier i større byer‖ 2012, Vejdirektoratet

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The Next City - Gil Friend Gil Friend Chief Sustainability Officer City of Palo Alto Palo Alto USA

Abstract Cities lead the way in greening transportation, the built environment, food production, procurement, economic development and more, with impacts far beyond their borders. What can cities do— individually, and as regions—to create a living model of the next economy? What could it look like? What needs to happen? Or as we put it in Palo Alto: What can one small city to improve quality of life, resilience and prosperity within its borders, and to further the sustainability revolution in its region and beyond? What are the best practices? What are the boldest goals? What becomes possible when these mesh most effectively?

The problem and power of realism, and the promise of cities Let's be realistic! It's funny, how the same words can mean such different things. ―Let's be realistic!‖ often means cool your jets, slowdown, don't rock the boat, that's never been tried before, we don't do those kinds of things here… Or, in a word: no! I hear it differently. I hear ―let's be realistic‖ as an invitation to face reality, not to avoid it. To climb out of the whiny denial of ―it's too hard. It will never work. It's always been this way,‖ and to squarely confront the challenges we face as a species; the physics that both enable and constrain our prospects; and the mechanisms of language, management and measurement by which we engage and act. Let me be specific about being realistic. As my mentor Buckminster Fuller advised, you need to understand the 97 ―generalized principles‖ operative in universe, but you can only build a special case boat, not a universal boat. One month ago, the City of Palo Alto held a design charrette embracing the challenge of the carbon neutral city: how can we build the scenarios and identify the technical, financial, policy and behavioral strategies to achieve them that could get the city of Palo Alto to carbon neutrality or better in 10 years or less? Two weeks ago, I co-led another design summit at Case Western Reserve University. The challenge there was even bolder— not ― sustainability, but on “Cities as Centers of Full-Spectrum Flourishing.‖ So, let's be realistic: Half the human community lives in cities: big enough— especially in metropolitan and regional aggregation—to make significant things happen and small enough to make get things done. What is their potential as rapid prototyping laboratories for Full-Spectrum Flourishing? What are the policies and programs that can enable and accelerate this flowering? How can cities lay down the infrastructure (including the ecological infrastructure) of the world waiting to be born—as the US Work Progress Administration (WPA), in the depth of the Great Depression, laid down the infrastructure for the next 100 years? What can be learned from what is happening in cities today to help us accelerate all urban areas toward a flourishing future? What do current exemplars look like and what might we do to refine these models to be even better? 79


Whether we see cities as marketplaces, cafés, ecosystems or laboratories (or all of these), new insights and opportunities emerge when we examine cities' four traditional functions: Collect and spend money Gather and dispense information Provide shared services Express & leverage public will across three domains of action 1. Flows (of energy, water, materials, capital, people and data) 2. Infrastructure (the things and systems we create, including buildings, transportation systems and information systems) 3. Behaviors (including beliefs, commitments, policies and actions) If we were to consider these distinctions—traditional functions and domains of action—as two axes defining a space of potential, what are the generative goals, metrics and conversations that could provide the third axis, that render this potential fully dimensional? How does that perspective inform what cities can do—individually, and as regions—to create a living model of the next economy? What could it look like? What needs to happen? Or as we put it in Palo Alto: What can one small city to improve quality of life, resilience and prosperity within its borders, and to further the sustainability revolution in its region and beyond?

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The Fuzzy Front End of Sustainable Innovation: Findings Based on a Case Study on the Paper and Pulp Industry - Magdalena Gabriel, Elke Perl-Vorbach, Alfred Posch Magdalena Gabriel Research Lecturer FH Joanneum – University of Applied Sciences Institute of Industrial Management Kapfenberg Austria

Elke Perl-Vorbach Post-Doctorate University of Graz Institute of System Science, Innovation and Sustainability Research Graz Austria

Alfred Posch Professor University of Graz Institute of System Science, Innovation and Sustainability Research Graz Austria

Introduction Innovation nowadays plays a crucial role in supporting companies‘ activities for a sustainable development (e.g. Hansen & Große-Dunker 2013; Horn & Brem 2013). Accordingly, the linkage of innovation and sustainability to ‗sustainable innovation‘ is a broadly and well discussed topic. Although the integration of aspects of sustainability obviously makes it even more fuzzy, however, research on the fuzzy front end of this specific kind of sustainable innovation still receives little or no attention (Bocken et al. 2014). The main objective of this paper is to adapt and enlarge the fuzzy front end to support sustainable innovations. For this purpose we have analysed different starting points for such sustainable innovations that are different to conventional ones from the outset. Furthermore, possible directions for ideas with sustainable future potential will be investigated and assessed. We have done this by starting with a comprehensive analysis of existing literature on the already well researched fuzzy front end topic, combining it with the topic of sustainable innovation. Based on the 81


theoretical analysis the paper investigates a case study within the pulp and paper industry, in order to evaluate practical application of this adapted fuzzy front end for sustainable innovation. During pulp production numerous by-products are formed. Lignin is the most important by-product which is currently used mainly thermally in recovery boilers. A reason for this currently low level of recycling of lignin lies in the small and isolated quantities of lignin from the paper and pulp factories. To overcome this barrier a regional collaboration of companies from the pulp and paper industry is essential. In the case study region Styria, Austria, several companies from this industry are located in a narrow regional area, thus, enabling the by-product lignin to become available in the right quantity for further recycling treatments. This forms the starting point of the innovation process for sustainable innovation. As a result, alternatives for a sustainable application of lignin will be analysed. Finally, a conclusion and further research questions will be discussed at the end of the paper.

Sustainable innovation The management of innovations at different levels is nowadays seen as a significant challenge for the transition towards sustainable development. However, it is not sufficient to create ‗traditional‘ innovations. In some applications they also have to contribute to an improvement in sustainability. The term sustainable innovation indicates that the outcome of the innovation process ‗[…] somehow displays sustainability‘ (Achterkamp & Vos 2006, p.530) or ‗[…] whenever innovations contribute to sustainable development from an economic, ecological and social point of view‘ (Steiner 2008, p.596597). Accordingly, we see that innovations can be either traditional innovation fostering sustainable development by e.g. process innovations or the innovation itself is considered to be sustainable (PerlVorbach et al. 2014, p.173). Within the literature it can be seen, that papers dealing with the environmental dimension of sustainable innovation are widespread (see e.g. Rehfeld et al. 2007; Kammerer 2009; & Hockerts 2011; Horbach et al. 2012). For Kemp & Pearson (2008) environmental innovations are ‗novel to the firm or user and which results, throughout its life cycle, in a reduction of environmental risk, pollution and the negative impacts of resource use (including energy use) compared to relevant alternatives‘ (Kemp & Pearson 2008, p.7). In contrast, papers that deal with the social dimension of innovation can hardly be found. Due to the present problem of the pulp and paper industry which is discussed within this paper, the environmental criteria are the focal point of considerations. Social criteria may not be in the focus, but they are a possible side effect, especially with regard to the regional aspects of such inter-company collaborations for new applications of lignin. We thus subsume all these aspects under the term sustainable innovation.

Motivation and starting points for sustainable innovations Taking a closer look into the literature, it becomes apparent that sustainable innovation may be environmentally or socially motivated (especially towards the external stakeholders), but in most cases financial reasons (additional revenues and/or saved costs) are the decisive motive that trigger the sustainable innovation process (see e.g. OECD 2009). According to literature additional revenues and/or saved costs may have different starting points (see also Kesidou & Demirel 2012): 

Many authors identify current but also upcoming legal regulations as an important starting point for sustainable innovations which can lead to cost-savings (empirically verified e.g. Brunnermeier & Cohen 2003; Popp 2006; Frondel et al. 2007; Horbach 2008; Bos-Brouwers 2010).



The satisfaction of customer needs for sustainable products with simultaneous generation of revenues can be another initial point for sustainable innovation which is critically discussed in literature (e.g. van Hemel & Cramer 2002; Rehfeld et al. 2007; Horbach et al. 2012).



Sources and input materials such as secondary raw materials or ecological considerations can be possible starting points within the initiation phase of the innovation process. One aspect could be the substitution of primary raw material by secondary raw material (see for example Luttropp & Lagerstedt 2006). Another approach would be the recycling or – even more – the upcycling of secondary raw material and its subsequent usage as an important input for new and sustainable products.

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Sustainable Innovation 2014 

The development of sustainable products and processes can also be initiated by problems and challenges, both economic and ecologic (Mirata & Emtairah 2005). Regional networks to find new ways for the recycling and recovery of secondary raw materials from current waste streams can be a potential solution for fostering sustainable innovations.



Regional aspects such as stakeholder initiatives demanding new production processes that are for example less pollutant can be important drivers to start the innovation process for sustainable products and processes (Achterkamp & Vos 2006).

Fuzzy front end of sustainable innovation When talking about sustainable innovation, we have to be aware that ‗innovation is more than coming up with new ideas; it is the process of growing them into practice‘ (Tidd & Bessant 2013, p.16). The time span of such an innovation process includes all activities which are necessary to go from the initial idea of a product or service to the final practical implementation. For a further subdivision of the innovation process different approaches can be found in literature (see e.g. Witt 1996; Pleschak & Sabisch 1996; Cooper 2009). According to Koen et al. (2002), the whole innovation process can be divided into the three main steps: (I) fuzzy front end, (II) new product development (NPD) and (III) commercialization which are illustrated in figure 1. The term ‗front end‘ was used for the first time by Smith & Reinertsen in 1991. They described it as the fuzzy zone between the time when the opportunity is known and the time when a serious effort is devoted to the development project (Smith & Reinertsen 1991). While the subsequent phase NPD is formal and well-structured, the front end phase is sometimes chaotic and unstructured and thus also called fuzzy.

(I) Fuzzy Front End idea generation

(II) New Product Development

idea assessment sustainability assessment market analyses

(III) Commercialization

product concept

product planning

Figure 1: The three main steps of the innovation process (According to Koen et al. 2002, p. 6 and Herstatt & Verworn 2001, p. 4 modified by the authors) The fuzzy front end consists of problem definition, information collection, process evaluation or idea generation/assessment at the beginning. After that, the development of a concept or product planning takes place. This includes all work that helps to specify the identified opportunities from the first step to find possible solutions. Extended information collection based on market analyses or planning of future product are just some of the activities (Urban & Hauser 1993; Leifer et al. 2000; Herstatt & Verworn 2001; Crawford & Di Benedetto 2003; Gassmann & Schweitzer 2014). Since all environmental and social impacts of the entire life cycle of a product are already determined at the early stage of the innovation process, it is necessary to minimise environmental and social impacts right from the beginning of the product development to bring sustainable products to the market. In contrast to a significant number of front-end literature in innovation management in general, literature that deals with this special topic of fuzzy front end of sustainable innovation is difficult to find (e.g. Dewulf 2013 or Bocken et al. 2014. Both authors focus on environmental aspects within the frontend stage). 83

Sustainable Innovation 2014 At first glance the fuzzy front end of sustainable innovation and the fuzzy front end of a ‗conventional‘ innovation seem quite similar. Within both innovation processes suppliers and customers are involved (see e.g., Kim & Wilemon 2002), multi-disciplinary teams with experts of different fields are formed, and creativity methods for the idea generation are used (see e.g. Koen et al. 2001 or Kurtzberg, 2005). On closer examination, there are some aspects in which the fuzzy front end of a sustainable innovation differs from a conventional innovation: (I) Special knowledge and tools are needed for dealing with environmental and social challenges (Belil et al. 2011). (II) The product design should include environmental aspects. The selection of materials from an environmental perspective, easy removability for maintenance and repair; increased recyclability or waste prevention are just some examples which have to be considered in the design phase (Faßbender-Wynands 2001). (III) Motivation and sense of responsibility of involved people may also play a major role (Bocken et al. 2014).

The fuzzy front end of sustainable innovation – the case of lignin To evaluate the potential of applying the fuzzy front end for sustainable innovation this paper refers to a case study within the pulp and paper industry. In 2012, Austria produced about 5 million tonnes of paper and 2 million tonnes of pulp (Austropapier 2012). During the pulp production numerous by-products are formed. Next to tall oil, turpentine and resin, lignin is an important by-product because it is one of the most abundant renewable raw materials available on earth. For a long time lignin was considered to be a waste material which just can be used as a fuel to fire in recovery boilers which are direct located in the pulp mills. Only a small amount (1-2% – which correspondent to an amount of 1 million tons per year worldwide) is isolated from pulping liquors and commercially used for the production of a range of special products (see e.g. Gargulak & Lebo 2000; Lora & Glasser 2002; Stewart 2008). For that reason, there has been an increase in research activities regarding the commercialisation of lignin-based products and processes over the last 15 to 20 years. This research focuses on the development of competitive products that provide of an added value in contrast to the thermal use of lignin (Gargulak & Lebo 2000). All studies on further applications of lignin focus finally on the major principles sustainability. (I) The economic benefit comes from selling lignin as a raw material. Experts estimate that a turnover of 2 billion euros can be created in Europe in short term (Gosselink et al. 2004). (II) From an ecological perspective it is much more desirable to find better application for raw material lignin rather than thermal recovery. (III) The social impact consists of the creation of new jobs. As pulp mills are partially located in peripheral regions in Austria this is of great importance because the production location can be secured and emigration of skilled employees can be prevented (Gosselink et al. 2004). To reach economic, environmental and social objectives it is essential to create new ideas and make a first estimation of future suitability at an early stage of product development, using the fuzzy front end of sustainable innovation. As described above there can be different starting points for the innovation process. Thus, also a specific raw material can be the trigger. In the case of the observing case study this raw material is lignin (although there is already a wide range of applications for the use of lignin). Therefore, the fuzzy front end is applied in order to generate and evaluate innovative and sustainable ideas for this raw material. Based on online research ideas for new products regarding existing applications were derived. Gargulak & Lebo (2000) identified different markets where lignin is used for generic applications e.g. binders in animal feed, substrate for dust control, production of vanillin, formulation of pesticides, manufacture of gypsum boards, industrial cleaner, emulsion stabilizer or additive in bricks. Another recent application of lignin is the production of biological polymers that are also called ‗liquid wood‘. This material has similar properties as plastic and can also be processed the same way (e.g. by casting, injection moulding, form moulding). Hence, a wide range of products from parts for car interiors, furniture and packaging material to musical instruments or toys can be made (Dohnke 2012). This substitution of plastic seems to be an attractive use case, especially with regards to sustainability aspects. Up to 300 million tons of plastic are produced annually. This leads to a high consumption of petroleum and other resources increasing the negative impact on the environment. Therefore, it is desirable to find other possibilities to use lignin to substitute products that are currently made of plastic. In order to give this already commercially used product line an innovative character it is necessary to bring in new ideas. 3D-printing could be one of these potential applications were lignin can be used as a substitute for plastic. This additive manufacturing technology enables the production of items with specific properties. Different materials are used for 3D-printing, e.g. ceramics, plastics,

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Sustainable Innovation 2014 gypsum or metals. Next to this ‗traditional‘ materials there is growing research regarding the usage of biological materials in 3D-printing in recent years (Berman 2012, Fastermann 2012, Breuninger et al. 2013). Hence, also 3D-printing of lignin could be a technically feasible option. After the introduction of the basic idea of substituting plastic by lignin for 3D-printing an in-depth analyses has to be performed. This considers lignin itself, the value chain or the required production technology. These analyses are performed during the next steps of the fuzzy front end of sustainable innovation. In this way a rough estimate whether the idea has potential or if the risks are high can be made. The assessment which increases the complexity of sustainable innovation consists of the following parts: 

A technical feasibility analysis has to be performed to check possibilities and limitations of 3Dprinting of lignin in general. This includes also upstream steps to prepare lignin for further processing.



The lignin supply for further processing must be guaranteed. One single company will probably not have the adequate amount available for efficient and continuous processing. In a regional area like Styria the required quantity of lignin for further processing could be ensured by establishing a network of different pulp and paper companies.



3D-printing is particularly suitable for the production of unique pieces or small series (e.g. prototypes, replacement parts or highly specialized products). Accordingly, products that are printed from lignin must also follow these production techniques. Considering potential applications of lignin as a substitute for plastics, a possible ‗product‘ could be customized protective packaging. Using 3D-printing the packaging match exactly the shape of the product. This results in an economic advantage since classic production of customized packaging would be too expensive or impractical.



Based on the 3D-printing of packaging material it must be assessed whether a market for this new application exists. An existing substitute for plastics is packaging made with moulded pulp. This material is made from recycled waste paper and used for low-cost retail packaging (e.g. egg or fruit trails) or for protective packaging (e.g. electronic advices). In contrast to traditional materials as plastic packaging moulded pulp appears to be a sustainable solution. However, there is also a critical aspect that needs to be considered. Research shows that the process of extracting moulded pulp from recycled paper is energy and resource intensive (Huo and Daito 2009). Additionally, there is a problem coming from the availability of recycled paper, especially in Austria. In order to provide the required amount of moulded pulp for production, almost 50% of recycling paper has to be imported (Austropapier 2012). Finally moulded pulp packaging material is only efficient if it is produced in large quantities. The production of small numbers or in many different variants moulded pulp is not economically feasible.



To be able to make a first rough estimate of the environmental aspects an sustainability assessment has to be done by using suitable methods like LCA (life cycle assessment) or LCC (life cycle costing).

Conclusions and questions for further research In this paper, we adapt and extend the concept of the fuzzy front end to support sustainable innovations. Based on a theoretical analysis, it can be seen that the consideration of sustainability within the fuzzy front end leads to higher complexity, because next to conventional aspects also environmental and social impacts have to be considered right from the beginning of the innovation process. To handle this complexity the engagement of multidisciplinary teams is essential. However, it is not sufficient to integrate sustainability only within the generation of ideas. Rather, a final assessment of environmental or social advantage using LCA or LCC is required. After the theoretical analysis this paper investigates a case study within the pulp and paper industry. Starting from the by-product lignin as a potential raw material, the fuzzy front end for sustainable innovation is used to derive ideas for new products. A technically feasible option seems to be the substitution of plastic by lignin using the modern manufacturing technology 3D-printing. Thus, customized products (e.g. protective packaging) could be manufactured. This basic idea can only be considered as the starting point for further researches. Among others, the following questions need to be addressed: 85


Technical dimension:  Is it possible to use lignin for 3D-printing from a technical as well as from chemical point of view?  If so, which upstream steps are necessary for the preparation of lignin? Use Cases:  What plastic products can be substituted by 3D-printing of lignin?  Are there other products that can be substituted? Process oriented dimension:  What exact quantities of lignin are required for an efficient application of this concept in industrialized companies?  Are these quantities available in a single company or in a region like Styria?  Are networks an adequate approach in order to provide the required supply of lignin? Sustainability dimension:  What are the economic/ecologic/social advantages of 3D-printing of lignin in contrast to conservative production?  What are the economic/ecologic/social advantages of using lignin as a raw material instead of thermal recovery? In order to address this research further theoretical and field research has to be done to clearly assess the potential of this idea.

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Sustainable Innovation 2014 Cooper, R.G. 2009, ―How companies are reinventing their idea-to-launch methodologies‖, Research Technology Management. 2009;52(2), pp. 47-57. Crawford, C.M. & Di Benedetto, A. 2003, ―New Products Management‖, 7th ed., McGraw-Hill/Irwin, New York. Dewulf, K. 2013, ―Sustainable Product Innovation: The Importance of the Front-End Stage in the Innovation Process‖, in Coelho, D.A. ―Advances in Industrial Design Engineering‖, InTech, pp. 139166. Available at: http://www.intechopen.com/books/advances-in-industrial-design-engineering/ sustainable-product-innovation-the-importance-of-the-front-end-stage-in-the-innovation-process. Dohnke, K. 2012, ―Plastik aus Bäumen‖, Natur & Kosmos 03/2012, pp. 12-16. Faßbender-Wynands, E. 2001, ―Umweltorientierte Lebenszyklusrechnung Unterstützung des Umweltkostenmanagement―, Springer Verlag, Wiesbaden.

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Fastermann, P. 2012, ―3D-Druck/Rapid Prototyping: Eine Zukunftstechnologie kompakt erklärt―, Springer Verlag, Berlin Heidelberg. Frondel, M., Horbach, J. & Rennings, K. 2007, ―End-of-pipe or cleaner production? An empirical comparison of environmental innovation decisions across OECD countries‖, Business Strategy and the Environment 16 (8), pp. 571-584. Gargulak, J.D. & Lebo, S.E. 2000, ―Commercial use of lignin-based materials‖, in Glasser, W.G., Northey, R.A., Schultz, T.P. (Eds.), ―Lignin: Historical, Biological and Materials perspective‖. ACS Symposium Series, American Chemical Society, pp. 304-320. Gassmann, O. & Schweitzer, F. 2014, ―Fuzzy Front End of Innovation: Quo Vadis?‖, in Gassmann, O. & Schweitzer, F. (eds.) ―Management of the Fuzzy Front End of Innovation‖, Springer International Publishing, Heidelberg/New York/Dordrecht/London, pp. 301-310. Gosselink, R.J.A., de Jong E., Guran B. & Abächerli, A. 2004, ―Co-ordination network for lignin – standardisation, production and applications adapted to market requirements (EUROLIGNIN)‖, Industrial Crops and Products, pp. 121-129. Hansen, E.G., & Grosse-Dunker, F. 2013, ―Sustainability-Oriented Innovation‖, in Idowu, S.O., Capaldi, N., Zu, L. & Das Gupta, A. (eds.), ―Encyclopedia of Corporate Social Responsibility‖, Springer Verlag, Heidelberg New York, pp. 2407-2417. Herstatt, C. & Verworn, B. 2001, ―The" fuzzy front end" of innovation‖, Working Papers/Technologieund Innovationsmanagement (No. 4), Technische Universität Hamburg-Harburg. Horbach, J. 2008, ―Determinants of environmental innovation - new evidence from German panel data sources‖, Research Policy 37, pp. 163-173. Horbach, J., Rammer, C. & Rennings, K. 2012, ―Determinants of eco-innovations by type of environmental impact - The role of regulatory push/pull, technology push and market pull‖, Ecological Economics 78, pp. 112-122. Horn, C. & Brem, A. 2013,"Strategic directions on innovation management – a conceptual framework", Management Research Review Vol. 36 Iss 10, pp. 939-954. Huo, L. & Saito, K. 2009, ―Multidimensional Life Cycle Assessment on Various Moulded Pulp Production Systems‖, Packaging Technology and Science 22, pp. 261-273. Kammerer, D, 2009, ―The effects of customer benefit and regulation on environmental product innovation. Empirical evidence from appliance manufacturers in Germany‖. Ecological Economics 68, pp. 2285-2295. Kemp, R. & Pearson, P. (eds.) 2008, ―Final report of the project Measuring Eco-Innovation‖, Maastricht. Available at: http://www.merit.unu.edu/MEI/index.php. Kesidou, E. & Demirel P. 2012, ―On the drivers of ecoinnovations: Empirical evidence from the UK‖, Research Policy 41, pp. 862-870. Kim, J. & Wilemon, D. 2002. ―Focusing the fuzzy front-end in new product development‖, R&D Management 32 (4), pp. 269-279.

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Sustainable Innovation 2014 Koen, P., Ajamian, G., Burkart, R., Clamen, A., Davidson, J., D‘Amore, R., Elkins, C., Herald, K., Incorvia, M., Johnson, A., Karol, R., Seibert, R., Slavejkov, A. & Wagner, K. 2001. ―Providing clarity and a common language to the fuzzy front end‖, Research and Technology Management 44 (2), pp. 46-55. Kurtzberg, T. 2005, ―Feeling creative, being creative: an empirical study of diversity and creativity in teams‖, Creativity Research Journal 17 (1), pp. 51-65. Leifer, R., McDermott, C.M., Colarelli O‘Connor, G., Peters, L.S., Rice, M. & Veryzer, R.W. 2000, ―Radical Innovation: How Mature Companies Can Outsmart Upstarts‖, Harvard Business School Press, Boston. Lora, J. H. & Glasser, W.H. 2002, ―Recent industrial applications of lignin: A sustainable alternative to non-renewable materials‖, Journal of Polymers and the Environment Vol. 10; Nos. 1/2, pp. 39-48. Luttropp, C. & Lagerstedt, J. 2006, ―EcoDesign and The Ten Golden Rules: generic advice for merging environmental aspects into product development‖, Journal of Cleaner Production 14, pp. 1396-1408. Mirata, M., & Emtairah, T. 2005, ―Industrial symbiosis networks and the contribution to environmental innovation‖, Journal of Cleaner Production 13(10-11), pp. 993-1002. OECD 2009. ―Sustainable manufacturing and eco-innovation. Framewok, practices and measurement. Synthesis report‖, Paris. Available at: www.oecd.org/innovation/inno/43423689.pdf. Perl-Vorbach, E., Rauter, R. & Baumgartner, R.J. 2014, ―Open Innovation in the Context of Sustainable Innovation: Findings based on a Literature Review‖, in Butt, L. & Avery, G. (eds.): Proceedings of the 9th International Symposium on Sustainable Leadership, 2014, Pymble, pp. 169181. Pleschak, F. & Sabisch, H. 1996, ―Innovationsmanagement―, Schäffer-Poeschel, Stuttgart. Popp, D. 2006, ―International innovation and diffusion of air pollution control technologies: the effects of NOx and SO2 regulation in the US, Japan, and Germany‖, Journal of Environmental Economics and Management 51 (1), pp. 46-71. Rehfeld, K., Rennings, K. & Ziegler, A. 2007, ―Determinants of environmental product innovations and the role of integrated product policy - an empirical analysis‖, Ecological Economics 61, pp. 91-100. Smith, P.G. & Reinertsen, D.G. 1991, ―Developing products in half the time‖, Van Nostrand Reinhold, New York, pp. 100-106. Steiner, G. 2008, ―Supporting sustainable innovation through stakeholder management: a systems review‖, International Journal of Innovation and Learning 5(6), pp. 595-616. Stewart, D. 2008, ―Lignin as a base material for materials applications: chemistry, application and economics‖, Industrial Crops and Products 27, pp. 202-207. Tidd, J. & Bessant, J. 2013, ―Managing Innovation: Integrating Technological, Market and Organizational Change‖, John Wiley & Sons, Chichester. Urban, G.L. & Hauser, J.R. 1993, ―Design and Marketing of New Products‖, 2nd ed. Englewood Cliffs, NJ: Prentice Hall. Van Hemel, C., & Cramer, J. 2002, ―Barriers and stimuli for ecodesign in SMEs‖, Journal of cleaner production, 10(5), pp. 439-453. Verworn, B. & Herstatt, C. 2007, ―Bedeutung und Charakteristika der frühen Phasen des Innovationsprozesses―, in Verworn, B. & Herstatt, C. (eds.) ―Management der frühen Innovationsphasen―, Wiesbaden, pp. 3-22. Witt, J. 1996, ―Produktinnovation―, Vahlen, München.

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Innovative Development in the Northern Region, Case of Yakutia, Russia - Tuyara Gavrilyeva, Nadezhda Stepanova Tuyara Gavrilyeva Professor Engineering School North-Eastern Federal University Yakutsk Russia

Nadezhda Stepanova Vice Director Arctic Innovation Centre North-Eastern Federal University Sakha Republic Russia Innovations in Russia always were a call to the current social situation and sometimes to capabilities of the economy and if you remember Peter the Great, to the national idea. At the early 90s the Soviet Union came with an outdated productive capital, as well as with the hypertrophied proportion of military-industrial complex compared to countries with market economies, and innovative nature of this complex in contrast to other industries was not so much inferior from foreign military complexes. The end of the Cold War revealed an imbalance when the country could build advanced weaponry, but could not provide the population with elementary clothes, and household items. The perestroika (the change of market system and collapse of USSR), which lasted until the beginning of the 2000s, resets a number of industries that were uncompetitive in respect to imported goods. This competition has squeezed a significant portion of the light industry enterprises out of the market, and the engineering also rapidly degraded. During the reformation there were not created own computer industry and microelectronics in Russia. Production of goods and services has survived in places where the demand of the population was. First of all, the household sector, health and beauty, education services, services in the field of transport and communications, trade and personal services, catering, service, hospitality, entertainment, food, some agriculture, as well as construction and building materials industry showed a steady growth . The growth of these industries was carried out mostly due to investments of small and middle enterprises which were based on their own or borrowed funds. And this growth was primarily supported by the demand of the population. Nowadays, these consumer-oriented industries are not lagging behind the world average by the level of technological order. This is ensured by Russian control authorities, and according to the Western point of view the level of these requirements is often too demanding. This goes to the construction, maintenance and sanitary-epidemiological control. Currently, McDonald's and Burger King, which are two of the largest global fast food networks, face Russian Rospotrebnadzor which can find a violation of sanitary requirements in their restaurants. 89


The consumption era in Russia lasted from the late 90s to early 2014 that are about 15 years (picture 1). The number of cell phones increased by 5.6 times per 100 households, the number of DVD-players - in 5.3 times, personal computers - by 2.5 times, camcorder - 2.1 times during the period from 2005 to 2013 in Yakutia. At the same time, consumption of recorders, audio players, and music centers fell. Thus, consumer demand has actively supported the new digital technologies.

90


Cities with wealthy and educated population first were drivers of the life‘ quality growth (pictures 2 - 4) but the level of consumption of new products in rural areas overtook the city level from 2008-2009. Currently, the number of mobile phones, video cameras, personal computers is bigger in the village. There is only one difference in consumer preferences of citizens and residents of rural areas. It is the number of sewing and knitting machines in the village which remained stable during the reporting period from 76 machines in 2005 to 78 machines in 2013 per 100 households but in the city this number fell from 67 to 47 machines because women in cities are refusing from crafts while this tradition still persists in rural areas. The update of technologies happened mainly due to imported equipment in terms of household appliances. We need in more in-depth analysis of the market but imported equipment is dominated in the vast majority of home appliances segment. Following items as TVs, mobile phones, computers, DVD-players, knitting and sewing machines, vacuum cleaners, gas boilers for local heating systems and other equipment are almost entirely imported. Russian own production remained only in some segments as refrigerators and washing machines.

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But there still is a significant gap in providing the Internet access between urban and rural areas. According to the data, the gap in 2009 was 1.5 times, and in 2013 - 3 times difference. At the same time, there is a dropping of the Internet connection in rural areas, while a process of an overall increase of the mobile penetration level in Yakutia. Most likely that statistics does not include data from the ability of mobile phones to the Internet access in rural areas. Also, the gap in the development of municipal infrastructure was not overcome (pictures 6-7). The gap was narrowed only by the implementation of governmental programs for the gasification of rural settlements. Local water-supply and water taking systems are unprofitable in the villages, and this subsystem respectively is still remains as one of the most difficult to invest. But at the same time, the data shows that the modernization and creation of new decentralized (local) heating systems in rural areas, as well as the modernization of gas equipment, supply of boiler related equipment are one of the most promising segments for the development.

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Nowadays, up to 30-40% of the consolidated budget of Republic of Sakha (Yakutia) (state budget and local budgets) is spent on heating and energy supply of buildings in social sphere, as well as to subsidize utility payments of individuals. In 2013, the expenditures of the consolidated budget of Sakha (Yakutia) were RUR 149.5 billion, so these costs are estimated as RUR 44.9-63.8 billion per year. Introduction of innovative technologies and renewable energy sources will give 10-15% savings on the current level of costs according to experts, so the possible budget savings can be estimated as RUR 4.5-9.6 billion per year. In addition to household appliances, sector and market services demonstrated active growing during the consumer boom, upgrade of which was carried out on the basis of advanced foreign technologies. According to the data in Table 1, the expenditure of Republic of Sakha (Yakutia) with imply of any high-tech services grew rapidly in the structure of household costs in the period 2005-2013. The growth rate of spending in these areas was ahead of all the other articles in consumer spending. This was true for transport, including air transportation, health, communications, catering and other services. Equipment for these sectors, especially for medicine, entertainment, catering, personal

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services, and others are now practically not produced on the territory of Russian Federation, as well as they were not made in USSR. Table 1 The composition of consumer expenditures in households (average number for a member of family, RUR per month) 2005

2010

2013

2013/2005

Consumer expenditures in total

5 899,80

11 575,30

17216,5

292%

Food and non-alcoholic beverages

1 976,60

4 130,40

5329,1

270%

Alcoholic beverages, tobacco products

138,9

287

366,5

264%

Clothes and shoes

860,1

1 357,00

1698,7

198%

Housing and communal services, fuel

574,3

1 131,50

1503,2

262%

Household items, home appliances, home care

495,3

707,2

942,6

190%

Healthcare

106

250,1

525,2

495%

Transport

642,1

1 224,10

3040,3

473%

571,5

731,9

316%

Telecom

231,4

Recreational and cultural activities

406,4

713,4

1089,2

268%

Education

123,7

295,7

245,6

199%

Hotels, cafes and restaurants

70,5

148,6

582,9

827%

Other goods and services

274,3

758,7

1161,2

423%

Source: official data from Sakhastat One of the reasons that machinery for service industries did not develop in the Russian Federation is the lack of traditions, human resources and competitive technology platforms. The resource curse of Russia also affected the situation, it is so-called "Dutch disease" when import of equipment is more cost-effective than its own production. At the same time, investments in all are mostly directed to the mining industry and its accompanying transport infrastructure - gas and oil pipelines, railway lines, and ports. Ironic is the fact that innovation in Russia can be seen only on a personalized level. The introduction of communications, services, building materials, equipment practically does not cover settlements and cities as a single economic unit. Space planning, street and road network in many Russian cities are inherited from the planned economy. All these corks and parking problems are the result of that the old master plans did not expect such a number of cars per capita as now. The modern situation in cities forms new buildings but not the massive innovation in infrastructure, roads, and communications. Thus, problem of sewerage network and treatment facilities at the water intake, the reliability of heat supply system and waste disposal are still actual in Yakutsk city as 30 years ago. Innovation must be paid by the consumer. Accordingly, public demand for modernization in the segment of the urban economy where is a lack of investment is not supported by expenditure of municipalities. One reason for this gap is the specificity of intergovernmental relations in Russia. Introduction of innovations is consistent from person or an individual household, gradually extending to the apartment building, block, neighborhood, settlements and cities. Technological gap between Russia and countries with developed market economies are growing since the late 80s. It was compounded by the "brain drain" and attrition of highly qualified personnel as engineers from the industry. In the early 21 century Russia had declared a policy of innovative 94


development for modernization to overcome this. The system of science and higher education, as well as creating an enabling of institutional environment for the growth of innovative activity and the formation of an "innovative elevator" have become main areas of reformation. Along with increased funding in researches, there have been established the basic institutions of Russian and regional levels, has developed an innovative strategy of Russia and sectorial policies, launched the program of creation of business incubators and technology parks in the area of high-tech innovation clusters, innovation infrastructure of universities, programs of direct financial support and tax incentives for innovative activities of small and medium-sized businesses. Over the years there appeared regions which are leading in innovative development, those where an adequate level of development strategy and regional innovation systems had been managed to generate. The specificity of Russia is that course proclaimed by the federal government has always supported the efforts of the regional governments. And Yakutia is not an exception. Last 5 years Governmental Committee for innovation policy and science is working as the organ responsible for the regional innovation policy implementation, technopark ―Yakutia‖ and venture company as well as the business incubators and SME support centers network were established. In the North-Eastern federal university Arctic innovation center began its work as the complex innovation infrastructure of the university, 25 small innovative companies received the rights for NEFU intellectual property to commercialize and corresponding support according to the federal legislation. Regional specificity is in focus on the internal competitive advantages. For example, one innovative SME is focused on traditional raw materials (moss). On the other hand, the innovative system is focused on solving important economic and social problems, in particular for the modernization of municipal services, the introduction of new building materials and design solutions that take into account peculiarities of the North. Specialists say that the project of the national innovation system in Russia which started about fifteen years ago is essentially complete. Since then, the development of the Russian research has committed a series of individual projects through the creation of federal regulatory framework, institutions and infrastructures and "went down" to the level of individual regions, universities, companies and specific projects. And now the main task is a radical change of the functional development of institutions and innovations. The first step was the Presidential Address to the Federal Assembly in 2013: "... It is necessary to conduct an inventory of major development institutions. Lately, their activities are scattered into many disparate projects, sometimes not directly related to innovation. We are not created these development institutions for this purpose. Their projects, actually, can be good. But these institutions were created to support innovative development of the economy. We need to restore their work to the strategic vector of technological breakthrough". This statement was preceded by the sequence of events associated with the criticism of Skolkovo Fund, activities of Rusnano Company, as well as reformatting the RAS and the creation of the new Russian Science Foundation. So, the modernization course of Russian Government began to change dramatically by starting to take more and more features from not branding but technological and industrial policy since 2013. And the purpose of this policy, according to a number of respected authorities as Carlota Perez, will be limited by the improvement of the core technologies of the current fifth technological structure, by increasing the efficiency and expanding their field of application. Since the world have quite a long time - up to twenty years - before the next wave of technology. According to some experts, a successful strategy for achieving these goals is the combination of a point borrowing, the import of technologies if there is a chance and playback of advanced technologies in cases where they cannot be purchased. The key slogan of this scenario should be "the struggle for efficiency", "our own R & D and engineering" and "active industrial and technology policies." The priority sectors to overcome the technological gap are pharmaceuticals, high-tech chemistry, composite and non-metallic materials, the aviation industry, information and communication technology, nanotechnology, nuclear industry, national security and space. Almost all of them, except for nanotechnology, relate to elements of the fifth or even fourth technological structures. New priorities of innovation policy were supported by budgetary expenditures of the federal government. Ministry of Industry and Trade has developed a draft law named "On industrial policy of Russian Federation" in 2013. Also there was approved the State Program named "Development of the industry and increase of its competitiveness" which determines the development of nearly two dozen

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industries. The realization of all its sub-programs is up to 2020 and is provided by up to RUR 227 billion. Ministry of Economic Development held a competition for the selection of regions competing for the creation of regional innovation clusters in 2012. In the final list were included 25 clusters that will receive state support for cooperation of enterprises, research and educational organizations based on their territory. There were launched activities to create regional engineering centers; in particular the Ministry of Education and Science of Russian Federation was holding a contest to create them on the basis of public universities in 2013-2014. Significant sums are invested in the state defense order to upgrade the production facilities of the military-industrial complex. This year has created new challenges. Will innovations born in the country and not acquired from the West determine as a new impetus for the development in terms of sanctions and growing of political risk at the time when Russia is closed from the western world? And would it become again our national idea? There are a number of key issues that need to be addressed sequentially: 

 



Restoration of industry and applied science. Domestic industry will need import substitution based on full domestic R & D in a variety of industries. It is extremely difficult since according to most experts the system of applied science was almost destroyed. Accordingly, this rate will be made on corporate science; The development of engineering education and NEFU has some backlogs. Technical areas are actively developing also in other Russian universities for several years; Policies of supporting small and medium businesses which are operating in terms of the internal interests. There are many successful examples in Russia. As for Yakutia, leading companies are in the IT-sector and engineering. It is necessary to make decisions about the preferential taxation of these companies, about placing the state order to form the real demand for their products; Intelligible state technology policy not only in the sphere of military-industrial complex and the cosmos but also in the areas which are not close to consumers. According to some experts, it is necessary to move towards long-term technological corridors which are successfully implemented in developed countries for several years. First attempts to build such corridors in Russia in the field of motor fuels and light sources were unsuccessful because of underestimation of the systemic work of this control technology which seems as very simple.

At the same time, Russia has no more than 2-5 years that is not so much time for the implementation of these measures.

References: Forsyth Education 2030. D. Peskov, the Agency for Strategic Initiatives, presentation. State program of socio-economic development of the Far-East and the Baikal Region for the period up to 2025. Forsyth of Republic of Sakha (Yakutia) for the period up to 2050 (Report 2013). Technologies of educational activities organization in innovative high school [Text] / S.F. Zhylkin [et al.] Avt.-ed. A.V. Knyazev; Togliatti State. Univ. - Moscow, 2007 - 375 p. - 100 copies. - ISBN. Y.V. Yakovets, B.N. Kuzyk, V.I. Kushlin. Forecast of innovative development of Russia for the period up to 2050 with taking global trends into account // ‗Innovations‘ #1, 2005 The hour of zealous technocrats. Dan Medovnikov, Stanislav Rozmirovich, director of the Centre for Innovation Research, Higher School of Economics, Tigran Hovhannisyan "Expert» №3 (882), January 2014, on-line. Access: [http://expert.ru/expert/2014/03/chas-rachitelnyih-tehnokratov].

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From Individual Ideation to Collective Incubation: Time for Cities To Move From Transactional Intervention To Transformational Initiatives - Raz Godelnik, Jonatan Jelen Raz Godelnik Assistant Professor of Strategic Design and Management Parsons The New School for Design New York, NY USA

Dr Jonatan Jelen Assistant Professor of Design and Management Parsons The New School for Design New York, NY USA

Introduction In this concept paper we propose that cities have yet to leverage their most important advantage: their citizens. While urban economists, planners, and designers may well have proven the transactional and logistical superiority of concentrated infrastructures, the actual outcomes remain inconclusive at best, as for example the stories of Detroit and New York will tell. Even within cities, similar interventions in seemingly comparable neighborhoods lead to unpredictable and uncontrollable dissimilar developments, such as the case of the perennially impoverished Bronx versus the recovering Harlem in New York. In many cases of varied urban evolutions around the world, the almost too obvious common denominator has been the engagement and involvement of the citizens. We believe the paradigm of the interventionist kind of urban social value creation by economic means is insufficient to meet cities‘ complex challenges and offer them another model based on private economic value creation by social inclusion. Inspired by the co-creation model developed by Quirky we advocate for a new civic innovation blueprint, where the crowd and the experts work together in a true shareable fashion to systematically co-create grand solutions for grand challenges. We will use examples from our city - New York to make the case that with the growing social, environmental and economic pressures on cities, there‘s a growing urgency to consider and adopt a new model of civic innovation that is more suitable to address these sorts of challenges.

The unsustainability of pragmatic intervention Cities face some of the greatest challenges: large and growing populations; inadequate and shrinking budgets; stress through climate change is threatening delapidating infrastructures. Yet, the responses are limited, uninspiring, bureaucratic, devoid of innovation and in short: more of the same…that patently hasn‘t worked before.

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A recent example provides a clear representation of this strategy - last May New York Governor Andrew M. Cuomo wrote in a letter to Metropolitan Transportation Authority (MTA) Chairman and CEO Thomas F. Prendergast (New York Governor‘s Office, 2014): New York faces a pressing need to prepare the Metropolitan Transportation Authority (MTA) for tomorrow‘s challenges. To adapt its system for a changing world, a changing state and a changing climate, the MTA has a unique opportunity to proactively redesign how it serves its customers. New York needs the MTA to develop a reinvention plan to make our subways and our entire transit system ready for the challenges of the next century. Governor Cuomo‘s letter is inspiring in its effort to look forward, not just for the near future (i.e. MTA‘s next five-year capital plan), but also decades ahead, as he writes (New York Governor‘s Office, 2014): The next 100 years, however, look radically different for New York. The clear evidence of a changing climate in our nation makes more major storms like Superstorm Sandy a real and present threat. Increasing population, demographic shifts and record ridership pose new challenges to operating and maintaining our existing mass transit network, meeting and exceeding New Yorkers‘ expectations. His recommendation, however, is much less inspiring – Governor Cuomo asks the MTA to create a commission of experts that will examine the MTA‘s network and develop a plan for the future. The Governor didn‘t forget the public though, recommending the commission to hold public hearings before submitting him a preliminary report with the commission‘s findings. We don‘t know yet what this course of action will produce, but we are afraid the commission‘s chances to succeed are not any better than in any previous attempt – the traditional expert-sourcing approach for problem-solving seems to be utterly ineffective when it comes to disruptive innovation, doing more with less and making a better use of net present assets.

The resilience of “cloud-and-crowd”-based initiatives The goal of this paper is to propose that cities should consider the elements of the recent phenomenon known as ―Crowd-and-Cloud‖ (Kelty, 2012), utilizing crowd-sourced ideas in a shareable fashion to fully leverage innovative capacity to become truly transformational and overcome fiscally compromised resources. And instead of ―optimizing‖ cities from the top down, allowing for resiliency to emerge from the ground up and nimbleness to govern the networks between citizens, neighborhoods, and service providers, i.e. acting now using the cloud rather than awaiting for some additional element of infrastructure with its limitations of bureaucratic complexity. Particularly inspiring for creating such a novel context is a recent variant of social inclusion in form of the so-called ―sharing economy‖ (Chesky & Bradley, 2014). Through a unique combination of technology and community traditionally underutilized resources, specifically in urban environments with high population density are brought up to unprecedented productive use: AirBnB (San Francisco), RelayRides (Cambridge), TaskRabbit (Boston), Lyft (San Francisco), Carpooling.com (Munich), Rent the Runway (New York) and Uber (San Francisco) are just some of the more known examples of successful sharing economy companies making an effective use of previously underutilized resources. As The Forum of Young Global Leaders notes in its report on the sharing economy (Rinne, 2013): Cities that can take advantage of platforms available for collaborative consumption will tap into vast new opportunities to create jobs, attract talent, promote local investment and community-building, and offer a healthier place to live. Of the many shareable models, some may be particularly suited for creating disruptive civic innovation (Black & Burstein, 2013). Thus, instead of simplistically supposing budget constraints to build new investment and lack of ideas presumably necessitating expert sourcing we submit that it is the lack of an effective process to develop and implement these ideas that political leaders are ignoring. In fact, in order to successfully empower new solutions in quantity and of quality, cities first need to create the right context in which knowledge, skills, access to capital, network, passion and patience required to develop ideas into ventures are nurtured and cultivated.

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To that end we look the potential effectiveness of an existing, operational, and by all accounts successful model adopted by an actual firm in New York: Quirky. Founded in 2009, Quirky is a cocreation consumer product-development company with expected sales of about $100 million in 2014 (Clough, 2014). Quirky‘s co-creative model works as follows: Every week the company receives about 4,000 ideas from all over the world that are vetted by its online community of more than 800,000 people, and the best ideas move on to be evaluated in a weekly meeting by Quirky‘s professional team and community (these meetings are open to the public and are broadcast live on the Internet). The most promising ideas are then developed and refined by Quirky‘s designers and engineers, supported with input and feedback from the online community and are eventually offered for sale. Quirky then shares 10 percent of the revenues with the inventor and other community members who took part in the product development. We believe that the Quirky model is not limited just to the commercial environment and can also be used as a blueprint and transpose it to urban innovation - cities could adopt and adapt this process of democratizing innovation and commercialization of shareable ventures by combining a simple, equitable and incentivized process, where innovation becomes accessible to all the city residents with the support of local shareable innovation incubation labs that provide the required tools, just as the Quirky team does.

The new paradigm of collective incubation Analogous to the traditional community boards (―About Community Boards,‖ n.d.), where citizens‘ role has been limited to socio-political participation, we envision extending citizens‘ role to material economic matters. This is entirely in line with the many crowdsourcing civic innovation efforts already taking place around the world - from online competitions to hackathons to innovation jam sessions to open-source databases to online engagement platforms like ImproveSF in San Francisco (Franks, 2013). Nambisan and Nambisan (2013) identify four distinct roles for citizens in these co-creation mechanisms: Explorers (identifying, discovering, and defining emerging and existing problems in public services), ideators (conceptualizing novel solutions to well-defined problems in public services), designers (designing and/or developing implementable solutions to well-defined problems in public services), and diffusers (citizens can directly support or facilitate the adoption and diffusion of public service innovations and solutions among well-defined target populations). This is where we suggest a missing element. Even with the growing number of efforts of the above kind, we find them to be limited at best in their ability to move the needle, as these are either ideation efforts that go nowhere because of lack of commitment on the cities‘ side to actually develop the ideas into solutions or design efforts that focus on incremental solutions, none of these efforts seem to provide cities with truly effective propositions addressing the wicked problems they face. In order to move from ideation to implementation, true partnership between cities and citizens is needed where the crowd and the experts work together to systematically co-create grand solutions for grand challenges. The mindset that needs to dominate these efforts is not one of simply crowdsourcing many ideas, but one of shared work and shared success, which requires both sides to contribute to the process, and rewards them accordingly. We believe models such as the Quirky model can inspire the creation of new models of civic innovation.

Transformational initiatives in practice Two out of three Bronx residents are either obese or overweight (Aronczyk, 2014). Many efforts have been made so far to solve the Bronx‘s weight problem. The list of initiatives the City of New York launched to reduce obesity levels in the borough includes among others Shop Healthy NYC, Green Markets, Green Carts, the trans fat ban, Healthy Bucks, school gardens, and salad bars in public schools (Aronczyk, 2014). Yet, all of these efforts didn‘t succeed yet to make a dent in the borough (Hu, 2012). Given these results and the seriousness of the problem we believe it is time to try a different approach – the Quirky model. Rather than meshing top-down expert-sourced solutions with sporadic collaborations with borough community groups and partners to address the borough‘s obesity issues,

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accompanied with the typical political blame–game and finger pointing outcomes, it‘s time to set up a structure that will provide a fresh, design intelligent-based approach. To begin the disruptive process, the City could create an incubator dedicated to solving the weight problem of disadvantaged neighborhoods, in this case, South Bronx. The incubator will operate similarly to Quirky, i.e. a team of experts working in collaboration with qualified, engaged, and committed community members to develop and apply the best ideas for reducing the obesity levels in the borough. At first, community members will be asked to send their ideas to solve the problem. Then the community will vote and decide which ideas move forward. The next step will be an evaluation meeting with the incubator in-house experts to discuss the pros and cons of ten ideas that received the highest points. Out of these ten ideas three will be chosen in this meeting by the community and will be jointly developed by the community members proposing them an the in-house experts, with the support of the overall community, similarly to the way it is done at Quirky. This process will repeat itself on a regular basis to ensure an ongoing flow of ideas translating into co-creation and development of new solutions. The work in the incubator will be based on rapid innovation and lean startup methodologies in order to de-risk the innovation process and experiment with many ideas. Both sides would be asked to commit to the process, as the only way to create a win-win strategy will be through a mutual effort – the community can‘t do it without the city and the city can‘t do it without the community. A reward mechanism will be established where innovators, as well as community members participating in the development process will be rewarded 10 percent of the revenues generated from the product or service they have been developing similarly to the Quirky model. In all, the model we present is radically straightforward: get the most qualified, committed, and effective community members involved in the innovation process; don‘t limit their involvement just to ideation only; create a systematic process built on rapid innovation to move through the definition, selection, prototyping, iteration, and implementation phases; provide proper incentives (bot extrinsic and intrinsic) to participants through co-op like ownership of resulting intellectual property; promote divergent up-thinking over convergent un-thinking; systematically reframe the issue to find fresh points of view that can lead to increasingly innovative conditions; instead of merely symptomatically addressing and consistently failing to succeed to solve overly complex problems and in the process resigning to resolving the issues through mediocre, satisficing, compromising, and corrupting outcomes, strive for ―dissolution‖ of issues entirely. Ultimately, what could have had the appearance of a ―secret sauce‖ to civic innovation in cities is not at all obscure or mysterious. While it might sounds like a fuzzy space, Quirky‘s success provides a proof that a true co-creation effort, combining the wisdom of the crowds with the skills of experts can generate impressive results. Therefore we believe that for cities increasingly operating in an environment best described as VUCA (Volatile, Uncertain, Complex and Ambiguous) the Quirky model is nothing but quirky. It is a choice between ineffective intervention-as-usual approach and a smart, shareable innovation with a broad base support of collective incubation that could actually create the robust yet not rigid, the resilient, yet not chaotic, and the nimble, yet not meek infrastructure that readies itself for the new economy.

References About Community Boards. (n.d.). Office of the Mayor of New York City. Retrieved September 18, 2014, from http://www.nyc.gov/html/cau/html/cb/about.shtml Aronczyk, A. (2014). The Bronx‘s Weight Problem - WNYC. WYNC. Retrieved from http://www.wnyc.org/story/food-paradox/ Black, A., & Burstein, R. (2013). The 2050 City: What Civic Innovation Looks Like Today - and Tomorrow. Retrieved from http://ccip.newamerica.net/sites/newamerica.net/files/policydocs/The 2050 City - What Civic Innovation Looks Like Today and Tomorrow.pdf Chesky, B., & Bradley, J. (2014). Airbnb: How the Sharing Economy is Redefining the Marketplace and Our Sense of Community | Aspen Ideas Festival. Aspen Ideas Festival. Retrieved from http://www.aspenideas.org/session/airbnb-how-sharing-economy-redefining-marketplace-and-oursense-community

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Clough, R. (2014). GE Appliance-Unit Suitor Quirky Said to Exit Bidding. Bloomberg. Retrieved from http://www.bloomberg.com/news/2014-08-29/ge-appliance-unit-suitor-quirky-said-to-exit-bidding.html Franks, H. (2013). The civic innovation ecosystem blooms in 2012. What‘s next? — SF Mayor's Office of Civic Innovation. San Francisco Mayor‘s Office of Civic Innovation. Retrieved from http://innovatesf.com/civic-innovation-2012/ Hu, W. (2012, June 11). Persistent Obesity Fuels Soda Ban by Bloomberg - NYTimes.com. The New York Times. Retrieved from http://www.nytimes.com/2012/06/12/nyregion/persistent-obesity-fuelssoda-ban-by-bloomberg.html?pagewanted=all Kelty, C. M. (2012, March). Preface: Crowds and Clouds. Limn. Retrieved from http://limn.it/prefacecrowds-and-clouds/ Nambisan, S., & Nambisan, P. (2013). Engaging Citizens in Co-Creation in Public Services: Lessons Learned and Best Practices. Retrieved from http://www.businessofgovernment.org/report/engagingcitizens-co-creation-public-services New York Governor‘s Office. (2014). Governor Cuomo Sends Letter to MTA Chairman and CEO Prendergast Recommending Transportation Reinvention Commission | Governor Andrew M. Cuomo. New York Governor‘s Office. Retrieved from http://www.governor.ny.gov/press/05072014-mta-letter Rinne, A. (2013). Young Global Leaders Circular Economy Innovation & New Business Models Dialogue. Retrieved from http://www3.weforum.org/docs/WEF_YGL_CircularEconomyInnovation_PositionPaper_2013.pdf

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Typology of Sky Gardens for High-rise Urban Living - Tony Ip Tony Ip Deputy Director of Sustainable Design Ronald Lu & Partners (Hong Kong) Ltd. Wanchai Hong Kong

Abstract Over a billion square meters construction floor areas are going to be built in the coming decade in China and high-rise urban development is the norm. It is arguable that high-rise compact cities can optimize material and energy consumption and be known as sustainable cities but regardless of liveability. The higher we live from the ground level, the more disconnected we feel from nature and the community. The demand for a peaceful and natural environment in urban areas has increased; people desire such green environments where they can stay, chat, and otherwise interact with their family, friends and neighbours. We need green in our everyday urban life. Sky gardens are semi-covered or covered communal green spaces at intermediate levels of highrises, increasing green coverage apart from gardens at grade and roofs. Can sky garden be an option of bridging nature with urban living? This paper presents new typology of sky gardens driving design of residential high-rises and contributing to healthy and sustainable urban living quality.

Introduction Urban population is about 54% of the world‘s population in 2014 and it is anticipated to exceed 66% by 2050 (United Nations 2014). Urban expansion exerts direct impacts on global biodiversity and vegetation carbon losses in an irrecoverable way (Seto, et al 2012). Over a billion square meters construction floor areas are going to be built in the coming decade in China and high-rise urban development is the norm. It is arguable that high-rise compact cities can optimize material and energy consumption and be known as sustainable cities but regardless of liveability. The higher we live from the ground level, the more disconnected we feel from nature and the community. The demand for a peaceful and natural environment in urban areas has increased; people desire such green environments where they can stay, chat, and otherwise interact with their family, friends and neighbours. We need green in our everyday urban life. Hong Kong is one of the most densely populated cities and famous of its compact high-rise urban environment. Aiming at improving quality of urban living environment in balance of social, environmental and economic concerns, sky garden as one of sustainable building innovations has been promoted by the Hong Kong government since 2001. Sky gardens are semi-covered or covered communal green spaces at intermediate levels of high-rises, increasing green coverage apart from gardens at grade and roofs. Can sky gardens be an option of bridging nature with urban living especially in high density high-rise contexts? This paper presents new typology of sky gardens driving design of residential high-rises and contributing to healthy and sustainable urban living quality. Latest sky gardens in Hong Kong and Singapore are highlighted with their environmental, social and ecological performances in various urban situations. Three types of design approaches are recommended for design of effective sky gardens with sustainability benefits in rapid urban expansion.

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Deficiencies in High-rise Urban Living The greatest social isolation and weakest neighbourhoods are found in the most densely populated high-rise buildings. Compact and enclosed corridors in high-rise developments connect living units for circulation merely but isolate families from each and others for neighbourhood. There is a high degree of anonymity and social isolation, including pervasive ignorance about neighbours and little inclination to establish friendly relations with neighbours (Zito 1974). Children squeezed in such a socially isolated environment are likely to develop poor social and motor skills and are more susceptible to commit crime. Without due urban design considerations, high density high-rise developments deteriorate urban microclimate due to the wall effect, street canyon effect and urban heat island effect. Notoriously, urban dwellers are often dissatisfied with densely compact living spaces, shortage of private outdoor spaces, lack of greenery, and unappealing outdoor communal spaces for social interaction and selfretreat, even though they enjoy urban connectivity and convenience. Some imminent challenges urge sustainable innovation in creating a better urban living environment. For instance, the population of Hong Kong residents aged 65 and over is projected to rise markedly from 13% in 2009 to 28% in 2039 (HK Gov. 2010). It implies a strong demand of more elderly-friendly recreation and health facilities and socially cohesive neighbourhoods. On the other hand, urban children are growing up detached from the natural environment and lacking in face-to-face social interactions. Disastrous climate change, food and potable water shortage, urban pollution and energy crisis have become top agendas in developing sustainable and liveable cityscapes.

Communal Green Spaces in Urban Living Recent research findings have given an important message that we need adequate levels of nearby green spaces in urban living. Psychological Performance Urban dwellers have a strong request for pleasant communal activity spaces and greenery (Chien & Wang 1999; Huang 2006). Urban green spaces with the natural setting can provide some peace and quiet away from the hustle and bustle of the city, and contribute to health and wellbeing (Baur & Tynon 2010). Meanwhile, children‘s neighbourhood environment plays a key role in shaping their personality (Lee & Min 2006). Natural elements such as trees facilitate social interactions amongst neighbours (Kuo, et al 2002). The mental and physical health benefits are associated with time spent exposed to green spaces (McCurdy, et al 2010). The elderly prefer garden apartments than high-rises and have a greater sense of community there (Delvin & Zaff 1998). Communal green spaces benefit social integration of inner-city older adults (Kweon, et al 1998). People living with green spaces may achieve higher levels of life satisfaction and lower levels of psychological distress; improve their mood and performance in an attention task to a greater extent; and improve performance in memory and learning tasks and self-regulation tasks. The natural environment can evoke ―soft fascination‖ which gives people ―sufficient unpredictability‖ and room for imagination (Kaplan & Berman 2010). Daily activities in green spaces for 5 minutes can effectively give positive effects on mood and self-esteem (Barton & Pretty 2010). Social Performance Community treasures the value of communal green spaces. Pleasure-derived leisure experiences are found in a garden which serves as a social arena for group gathering or a quiet, contemplative space to enjoy its peace and beauty (Connell 2004). Community garden as a potential useful strategy to improve individual health and strengthen neighbourhoods, where each community member has a duty to maintain and foster vegetation of the garden, can enhance social connections, reciprocity, mutual trust, collective decision-making, civil engagement and community building through people‘s interactions among their neighbours and planning vegetation (Amulya 2009).

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Environmental Performance Cooling of the urban environment is of a priority in urban and building design for a warmer world. Urban microclimate can be improved through urban greening and permeable building fabrics (Levermore & Smith 2008). Effective landscape design creates thermal comfort and energy efficiency. Vegetation is a real tool for the control of microclimatic conditions in external areas (Picot 2004). Consideration in selection of trees commonly used in the landscape comprises solar transmissivity range in summer and winter, periods of foliation and defoliation, and maximum expected height (Brown & Gillespie 1995). Ecological Performance People living in cities are increasingly disconnected from the nature world, witnessing an extinction of experience (Goddard, et al 2009). Urban green spaces have considerably benefits that maximize the biodiversity of urban ecosystems and minimize the extinction of species and the extinction of the human experience of wildlife. The importance of urban green spaces with natural structures is to maintain high ecological diversity (Sandstrom, et al 2006). Residential yards landscaped with native plants have a potential to support and increase urban biodiversity (Susuannah & Warren 2011). Furthermore, there is an urge for biophilic design that brings nature in close proximity. People can see, touch and live with flora and fauna rich in diversity and learn to appreciate native species and eco-systems. As one step further than sustainable design that minimizes adverse environmental impacts, biophilic design advocates positive effects on the natural environment and enhances quality of habitats for human and wildlife.

Sky Gardens Development in Hong Kong Sky garden is a micro-environmental design for improvement of wind environment in urban districts. It is also a recreational garden space for communal use. Vertical landscaping and open spaces at the intermediate or high levels of the high-rise are not only for benefits of microclimate but also creating neighbourhoods in the sky for social cohesion (Yeang 2002). Sky garden as one of sustainable design innovations, which has been promoted by the Hong Kong government with an incentive of gross floor area exemption since 2001, aims at improving quality of the living environment in balance of social, environmental and economic concerns. The design criteria of sky gardens are summarized as follows:     

Sky gardens provide natural ventilation, greenery and recreational garden spaces for communal use. Locations of sky gardens are recommended to be determined by wind tunnel testing or computational fluid dynamic modelling but it is not compulsory. The maximum number of sky gardens provided is equal to or less than the number of residential storeys divided by 15. Such garden can be split into multi-levels but it occupies not less than one-third of the area of the floor plate. The first sky garden is located at not more than 10 storeys from the street, where more than one sky garden is provided and where there is podium garden. The minimum headroom is 4.5m and it is open-sided above safe parapet height on at least two opposite sides for cross ventilation. Sky garden can be coupled with refuge floors. Not less than 25% of the garden area is to be planted with greenery.

Figure 1 illustrates a typical high-rise residential development where podium and sky gardens are for communal use and roof gardens are within the private premises of duplex units at the uppermost storeys. This paper focuses on sky gardens at 30-50 storey densely-populated high-rise residential developments in urban areas. Case studies on twenty sky gardens in residential high-rises are carried out. These gardens were built since the green incentive of sky gardens enacted in 2001. Increasing the overall building height, demarcating zones of residential units of different sizes and property values, adding values to refuge floors, providing extension of and/or circulation to clubhouse areas, serving as an observation deck, increasing greenery, and enhancing building permeability are common purposes of these sky gardens. Table 1 categorizes them into six sectors, comprising a sky garden solely; one or two sky garden(s) with purpose of refuge floor(s); a sky garden in connection

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with a podium clubhouse; a sky garden in connection with a sky clubhouse; a sky garden at roof level; and a sky garden with purpose of air ventilation.

Figure. 1 – Podium garden, sky garden and roof garden at a residential development in Hong Kong. Development

Solely a sky garden

The Orchard (2003)

SG1

At roof level

SG1 SG1

Indi Home (2006)

SG1 SG1

Manhattan Hill (2007)

SG1 SG1

The Apex (2007)

SG1

SOHO38 (2008)

SG1

The Forest Hills (2008) The Sparkle (2008)

Adjacent to sky clubhouse SG1

SG1

Grand Promenade (2006) 31 Robinson Road (2007)

Adjacent to podium clubhouse

SG1, SG2

The Arch (2005) Centre Place (2006)

Refuge floor

SG1 SG1

SG1

SG1

105

Specific location for air ventilation


i-home (2009)

SG1

Shining Heights (2009)

SG1, SG2

The Masterpiece (2009)

SG1

Aria (2010)

SG1

SG2

SG2

SG1 SG1

Forfar (2010)

SG1

Island Crest (2010)

SG1

Larvotto (2011)

SG1

Lime Stardom (2011)

SG1

Harbour One (2012)

SG1, SG2

SG1 SG1 SG1

(Note: ‘SG1’ & ‘SG2’ are the 1st and 2nd sky gardens from the street level respectively.) Table 1 – Case studies of twenty sky gardens in residential high-rises in Hong Kong. Some common characteristics of sky gardens in Hong Kong are observed and summarized as follows. 

With the effect of green incentives, height concession is the main driver for provision of sky garden in new residential developments. The major design intent from the developers‘ perspective is to elevate the overall building height so that upper residential units above sky gardens can be higher than their surrounding buildings and have better distant views, resulting in higher property values.



To provide a garden space at sky high level is not a pivotal and unique function of sky gardens. Most of sky gardens at mid-levels are mainly designed for the purpose of refuge floors. For those at low and high levels, sky gardens are usually adjoining podium or sky clubhouses that act as extension of clubhouse area or serve as main access path to clubhouses from individual tower block.



Effectiveness on improving natural ventilation is in question. The overall opening of sky gardens in proportion to the overall building height is merely 2-3%. And two-third of them are located at middle and high levels about 80-150m from the street that impose insignificant effect on improving air flow at pedestrian level and microclimate in the existing urban context that high density built environment at 60m or below. In considering most of the sky gardens located at 60m or below, the ratio of sky garden opening to its level from the street is about 5%, which is not comparable to 22% of the case of ‗Larvotto‘ of which 14.5m high sky garden is purposely designed for alleviating air ventilation.



15-20% net areas are vegetated in sky garden. About 45% outdoor areas serve for circulation and event spaces. Structural configuration and fire services provisions also restrain the spatial planning in sky gardens. Amenities mainly regard passive activities and common provisions including tea leisure, sitting area, chess playing, viewing platform, strolling path, foot massage trail and Taichi garden.

Design of Effective Sky Gardens The higher the building, the more the green spaces at high levels. If we consider that a sky garden is an alternative communal green space with leisure activities and a relaxing outdoor greenery environment that promotes a healthy and sustainable living quality, provision of such an appealing covered landscaping area is prerequisite rather than a by-product in new high density high-rise residential developments. Greenery has positive effects in urban living in particular to the aging population and for children‘s healthy development; furthermore, urban dwellers have strong preference to the living environment with more planting. The green ratio should be determined in relation to population, number of units or gross floor areas instead of to the ratio of the site area, which is of the same approach in considering sufficient recreational facilities.

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However, the current design guidelines mainly focus on environmental performances with prescriptive dimensions, configurations and locations of sky gardens. To optimize beneficial implications of sky gardens to urban contexts, three types of sky gardens with holistic design approaches are recommended in view of psychological, environmental, social and ecological performances. Environmentally-driven Sky Gardens Aiming at improving building permeability and urban microclimate, locations, orientations and openness of sky gardens are deliberately designed with due consideration of vegetation for air filtering, wind breaking, noise shielding and air cooling. Sky gardens with high headroom at low levels between 20m and 60m improve urban ventilation in particular beneficial to the street pedestrian environment. References can be made to the case of ―Larvotto‖ in figure. 2, with a four-storey high sky garden and to the design guidelines of 7m and 13m sky gardens in Singapore, which can enhance building permeability. Green sky networks may be developed at a district level with visual or even physical connections among sky gardens at low levels of new developments and roof gardens of existing low-rise buildings. It forms urban ventilation corridors or another layer of streetscapes with vivid greenery.

Figure 2 – ―Larvotto‖ in Hong Kong has four-storey high sky gardens for alleviating urban ventilation. Socially-oriented Sky Gardens With much deliberation of users‘ perceptions, behaviours and demands, sky gardens purposefully improve neighbourhood and social interactions by creating spacious, scenic, entertaining and safe green areas with children and elderly friendly amenities; meanwhile, vegetation offers joyful visual amenity. Sky gardens at mid and high levels provide leisure and social amenities, such as children playgrounds, elderly exercises areas, gyms and jogging tracks, as illustrated in figure. 3 & figure. 4. The popularity of sky clubhouses has justified that limited accessibility to recreational facilities at intermediate or high levels is not the residents‘ concern in residential high-rises. Aiming at a low carbon living environment, a sky garden can act as a naturally-ventilated sky clubhouse and as an alternative to provide amenity facilities in a more energy efficient way. Besides, spaciousness is demanded that offers flexible event spaces for social gathering. Safety and windy condition shall be deliberately considered in design such as planting strips with trees or scrubs along periphery of sky gardens, which serve as wind breakers to ameliorate microclimate and outdoor thermal conditions and provide setback of looking from sky levels to alleviate the fear of heights especially for children and the elderly. Concept of community garden can be adopted to strengthen neighbourhood and enhance sense of belonging by engagement and involvement.

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Figure. 3 – Sky garden at ―Aria‖ in Hong Kong provides recreational facilities and connects five residential blocks and a sky clubhouse.

th

th

Figure 4 – ―Pinnacle at Duxton‖ in Singapore has two sky gardens at 26 and 50 floors respectively. The former accommodates a clubhouse, gym, jogging track and children playground exclusively for residents. The latter serves as an observation deck and opens to the public. Biophilic Sky Gardens In view of existing habitats for wildlife and potential ecological corridors and patches, sky gardens intently improve urban biodiversity through thoughtful selection of diverse native species of plants, vivid vegetation structures and appropriate soil depth and substrate composition for planting. Sky gardens are scattered at multi-levels seamlessly integrated with circulations and elevator lobbies to residential units with profound greenery, enhancing human and nature interactions, as exemplified in fig. 5. Diversity and vibrancy of vegetation structures and colourful flowering vegetation attracts human and wildlife. Greenery softens building edges that not only provides more opportunities for residents to enjoy nature but also creates a biophilic environment for wildlife. For instance, it serves as a buffer to reduce chances of birds striking clear and reflective windows. The doorstep gardens facilitate an impromptus extension of living areas of residence, breathing spaces for refreshing and intimate touch with greenery in daily life. More causal or incidental interactions among neighbours are stimulated in these pocketed green spaces. Portions of planting areas can be assigned to individuals. Residents are encouraged to plant their own vegetation and develop a deep affinity with nature.

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Figure. 5 – ―Parkroyal on Pickering‖ in Singapore is a good example to showcase how multi-levelled sky gardens and greenery are seamlessly integrated with circulation and communal spaces.

Conclusion Quality urban living environment not only furnishes residents with convenient accessibility and adaptable conditions but also embodies welcoming communal amenities, enjoyable greenery and intimate human-nature interactions. Sky gardens improve environmental, social and ecological performances in urban living, and supplement deficiencies and needs in high density, high-rise residential developments. Subject to better understanding of typology of sky gardens, benefits to the environment comprise improved human thermal comfort and urban microclimate; social cohesion by providing a community green space, provision of a place for individuals to escape from the busy city life, improved community integration for all age groups and improved health and well-being; and an awareness of and intimate contact with nature. Design guidelines on environmentally-driven, sociallyoriented and biophilc sky gardens shall be further developed.

Acknowledgements The author would like to thank Dr. Sebastian Macmillan, Course Director of IDBE, University of Cambridge, and Professor Tim Jachna and Mr. Peter Hasdell, School of Design, The Hong Kong Polytechnic University for their valuable guidance on his academic researches.

References Amulya, J., Bardwell, L., Buchenau, M., Litt, S. J., Marshall, J. A., and Teig, E., 2009, ―Collective efficacy in denver, colorado: strengthening neighbourhoods and health through community gardens‖, Health & Place, vol. 15, pp. 1115-1122. Barton, J., Pretty, J., 2010, ―What is the best dose of nature and green exercise for improving mental health? a multi-study analysis‖, Environmental Science & Technology, vol. 44, no. 10, pp. 3947-3955 Baur, J.W.R., Tynon, J.F., 2010. ―Small-scale urban nature parks: why should we care?‖, Leisure Sciences: An Interdisciplinary Journal, vol. 32, pp. 195-200. Brown, R.D., Gillespie, T.J., 1995, Microclimatic Landscape Design – Creating Thermal Comfort and Energy Efficiency, New York: J. Wiley & Sons. Chien, H.T., Wang, M.S., 1999, ―Environmental behaviour analysis of high-rise building areas in Taiwan‖, Building and Environment, vol. 34, pp. 85-93. Connell J., 2004, ―The Purest of Human Pleasures - The characteristics and motivations of garden visitors in Great Britain‖, Tourism Management, no. 25, pp. 229–247.

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Delvin, A.S., Zaff, J., 1998, ―Sense of community in housing for the elderly‖, Journal of Community Psychology, vol. 26, no. 4, pp. 381-398. Goddard, M.A., Dougill, A.J., Benton, T.G., 2009, ―Scaling up from gardens - biodiversity conservation in urban environments‖, Trends in Ecology and Evolution, vol. 25, no. 2, pp. 90-98. HK Government, 2001, Joint Practice Note No.1 – Green and Innovative Buildings, Buildings Department, Lands Department and Planning Department, HKSAR. HK Government, 2010, The Hong Kong Population Projections 2010-2039, Census and Statistics Department, HKSAR. Huang, S.C.L., 2006, ―A study of outdoor interaction spaces in high-rise housing‖, Landscape and Urban Planning, vol. 76, pp. 193-204. Ip, C.M., 2011, ―Sky garden design in high-density high-rise residential development‖, Thesis (MSt. IDBE). University of Cambridge, UK. Kaplan, S., Berman, M.G., 2010, ―Directed attention as a common resource for executive functioning and self-regulation‖, Perspect. Psychol. Sci., vol. 5, pp. 43–57 Karin, K.P., Jasper, S., Ulrika, K.S., 2012, "Use of small public urban green spaces (SPUGS)", Urban Forestry & Urban Greening, vol. 11, no. 3, pp. 235-244. Klem, D., 2014, ―Landscape, legal, and biodiversity threats that windows pose to birds: a review of an important conservation issue‖, Land, vol. 3, pp. 351-361. Kuo, F.E., Sullivan, W.C., Taylor, A.F., 2002, ―Views of nature and self-discipline - evidence from inner city children‖, Journal of Environmental Psychology, vol. 22, pp. 49-63. Kweon, B.S., Sullivan, W.C., Wiley, A.R., 1998, ―Green common spaces and the social integration of inner-city older adults‖, Environment and Behaviour, no, 30 pp, 832-858. Lee, J., Min, B., 2006, ―Children‘s neighbourhood place as a psychological and behavioural domain‖, Journal of Environmental Psychology, no. 26, pp. 51–71. Lerman, S.B., Warren, P.S. 2011, ―The conservation value of residential yards: linking birds and people‖, Ecological Applications, vol. 21, no. 4, pp.1327-1339. Levermore, G., Smith, C., 2008, ―Designing urban spaces and buildings to improve sustainability and quality of life in a warmer world‖, Energy Policy, vol. 36, pp. 4558-4562. McCurdy, L.E., Winterbottom, K.E., Mehta, S.S., Roberts, J.R., 2010, ―Using nature and outdoor activity to improve children‘s health‖, Curr Probl Pediatr Adolesc Health Care, no. 5, pp. 102-117. Picot, X., 2004, ―Thermal comfort in urban spaces: impact of vegetation growth – case study: Piazza della Scienza, Milla, Italy‖, Energy and Buildings, vol. 36, pp. 3239-334. Sandstrom, U.G., Angelstam, P., Mikusinski, G. 2006 ―Ecological diversity of birds in relation to the structure of urban green space‖, Landscape and Urban Planning, vol. 77, no. 1, pp. 39-53. Seto, K.C., Guneralp, B., Hutyra, L.R. 2012, ―Global forecasts of urban expansion to 2030 and direct impacts on biodiversity and carbon pools‖ , PNAS, vol. 109, no. 44, pp. 16083-16088. Shigehiro, O., 2014, "Socioecological Psychology", Annual Review of Psychology, vol. 65, pp. 581609. Timothy, B., Peter, N. 2013, ―Biophilic cities are sustainable, resilient cities‖, Sustainability, vol. 5, pp. 3328-3345. United Nations, 2014, 2014 Revision of World Urbanization Prospects, United Nations publication. Wilson, E.O. 1984, Biophilia, Harvard University Press: Cambridge, MA, USA. Yeang, K., 2002, Reinventing the skyscraper: a vertical theory of urban design, Chichester: WileyAcademy. Zito, J.M., 1974, ―Anonymity and neighbouring in an urban, high-rise complex‖, Journal of Contemporary Ethnography, vol. 3, pp. 243-263.

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Islands as Innovative Playgrounds for Sustainable Solutions Søren Femmer Jensen Søren Femmer Jensen Founder & Sustainable Innovator Co-Creative Bornholm Denmark

Abstract Cities are often cited as the solution providers to the world‘s sustainable challenges. Urban environments are indeed great at moving the frontiers of technology, showcasing advanced energy systems, infrastructures, and large scale building designs. But are cities the only answer on the search for a more sustainable society? 54 percent of the world‘s population today lives in cities. That, however, still leaves more than 3.3 billion people living in rural areas, having a massive impact on the planet and its resources. The question can also be raised whether the urbanization should be pursued as a deliberate strategy towards sustainability or whether smaller scale communities provide an attractive and resilient alternative path towards the sustainable society. In this paper we introduce the idea of ‗sustainable playgrounds‘, using the window of opportunity to be found at the world‘s many smaller islands that provide unique settings for developing, testing and implementing holistic, collaborative and circular sustainable solutions.

The question of sustainable scale: Big city efficiency vs. small island resilience How and where do we define the future model of a sustainable society is a critical question in a time in need for higher resource efficiency, renewable energy sources and lower consumption. Cities are great at providing the necessary scale for testing big systems - but is big and centralized the only answer? A quick scan across headlines in most sustainable city planning reveals that city sustainability is often intrinsically linked with prestigious, large-scale and technologically driven projects providing systems and infrastructures from an engineering perspective. The individual, however, is seldom an active part of the solutions, that are often orchestrated top down as new systems of transportation, energy production or advanced clean-tech equipment that provide citizens with ―smart‖ choices or climate friendly sources to purchase from - or simply replace an underlying system or source with a more sustainable version, that remains invisible and untouchable to the end-user. Whereas the technological fixes might bring about a more efficient energy usage or infrastructure, the city model does not do much to approach the underlying behavioral patterns, which is still based on a traditional consumer lifestyle. Instead the city sustainability approach often lacks the ingredients of actively engaging citizens as part of the solutions. It is interesting to observe the paradox that many of the same cities that promote themselves as green and sustainable are today fighting hard against citizen-organized sharing-services such as air-b-n-b that makes a positive impact on the environment utilizing existing resources better. Despite changing rhetoric the practical ideal still seems to be that citizens should stick to the traditional consumption role while professional service providers offer the technology or new green business model – e.g. the change at user-level could be that citizens instead rent their car, bike or washing machine buying access to a service rather than purchasing the machine. But without the individual active engagement the model potentially lacks real impact as consumers might just switch

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savings to new consumption in other areas. This mechanism can be observed in the market for e.g. energy renovation where house-owners often end up turning up thermostat temperatures, or warm up more rooms as insulation improves and heating becomes ―cheaper‖. It can also be observed for car owners, where a more fuel-efficient engine might result in increased driving as mileage becomes cheaper. This mechanism - where increased efficiency from technological improvement is used to improve material living standards - was described by English economist William Stanley Jevons and is known as ―the Jevons Paradox‖. The human dilemma seems to be that the majority of us use what we can use. For this reason it can be argued that citizens should not only be involved in sustainable consumption but also in the production activities. Psychological research shows that when we put effort into building our own things we attach greater value to them – a mechanism known as ―The IKEA Effect‖ (Norton et al 2011). This principle could be adapted for changing sustainable consumption patterns. Leave space to engage. The problem is that cities don‘t have this available space for citizen‘s engagement to unfold. Despite the popular trends in the maker movement, urban gardening etc., the square foot facts still leaves the average household with merely a symbolic space for growing its own food, composting, building and repairing your own stuff or putting up your own solar cells. Those qualities on the other side are exactly some of the opportunities offered by country-side living – access to space where you can do stuff in the physical realm. Being part of the sustainable solution requires free square feet to carry out activities. That is a key argument why countryside living provides a valuable alternative to the city model. In the same line of reasoning being part of the big systems might provide consumers with an option that is sustainably sourced, but seeing and sensing the greenish quality often becomes an abstract element. So abstract that we today experience a jungle of certification schemes, ecofriendly labels and advanced measurement systems that detect and reassure us about the sustainable properties of our choices. Whereas the importance of water preservation is easy to understand when travelling in the desert, the human brain might have a hard time taking threatened rainforests serious when it only exist as an abstract idea and symbolic representation for instance communicated indirectly through a FSC mark. Human emotions relate first and foremost to the things we see, hear and sense. Consequently, humans will tend to care more about the things we experience in our local community and nearby surroundings Thus, the city model lacks an important feature because of its disconnection between our problems and solutions. Food is not grown in the city, nor is trash stored or recycled there. We rely on a hyper efficient import-export infrastructure that bring goods into the city and waste out of the city - a system that is very vulnerable to supply breakdowns. From a resilience perspective the current big citystructure is in fact often very fragile and unstable.

Introducing the Sustainable Playground Whereas, the big city model might represents the engineers or politicians dream of masterplanned green efficiency, this paper proposes that small scale communities such as islands in fact provide a much more resilient and engaging model for creating sustainable systems and solutions. Islands provide a perfect testing grounds for small scale, "full spectrum" and "circular" sustainable solutions where approaches need to be locally triple bottom-line grounded and actively citizenengaging. With the island geography you have a clear defined setting to establish solutions within and the ability to do full-scale and closed-system simulations. The geographic limits forces and supports solutions to be based on holistic thinking with cross-sector partnerships and collaboration. Mental advantages the ability to overview the playground. 

Challenges of small island approach: lack of specialization, lack of scale, lack of big companies, lack of young demographics etc.

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Sustainable Playground "If an island can do it, the whole world can do it". Use islands for experimenting, testing and evaluating different models. 

Closed-system simulations: In the "island laboratory" (and community) the effects can be seen more clearly.



Measuring the social and environmental effects locally.



Enabling a visitor model ―try it out‖, experience based and sustainable tourism.



―Islands are small and beautiful‖, creating a link to the attraction and quality of life of sustainable island living.

Circular economy on islands 

The need for small circles/small circular economies



The challenge of industrial specialization, mass production and economies of scale paradigm. Introducing specialty, niche productions, and diverse production with a focus on utilizing locally available ressources.



The role of the Maker movement and local fabrication.



―Changemakers‖: Developing new sustainable lifestyles as integral parts of the circular island economy to enable ownership and ripple effects.

Examples 

Ecogrid project (smart grid test), involving households in new energy technology.



Local foods. Bigfarming alternatives - small-scale, niches and permaculture.



Green building materials



Transportation (electric cars + other)



The new industrial revolution + small and local fabrication movement.



Redesign project, creative approaches to reuse of resources locally



Social business innovation and sustainable production.

Future Perspectives 

The need for developing new narratives about the scale of sustainability and island laboratory model as an attractive alternative to the big city model.



Developing the role of technology and design in sustainable island innovation.



The need for directing attention and investments into developing community driven sustainable solutions to complement the company-driven product- oriented innovation



New business models. Developing the role of the active individual in the sustainable production and consumption model.

References The ―IKEA Effect‖: When Labor Leads to Love 2011 by Michael I. Norton, Daniel Mochon, and Dan Ariely

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One Planet Living: A Tale of Three UK Urban Sustainabity Initiatives - Simon Joss Professor Simon Joss University of Westminster London United Kingdom

Abstract The One Planet Living (OPL) framework is among a growing number of replicable schemes on offer internationally to facilitate urban sustainability initiatives. It is based on the principle of ecological footprint and related socio-economic sustainability dimensions, and aims to guide the design, planning and assessment of a range of sustainable urban developments, from in-fill projects to cityregion initiatives. Using the innovation perspective, this paper considers OPL‘s potential as an innovation tool and process. It does so using a comparative case analysis of OPL‘s application in three UK urban settings: Brighton & Hove; NW Bicester; and Sutton. The findings overall highlight the critical importance of governance as a driver of innovation; specific issues identified include: (i) aligning the open innovation process with focused policy and project development; (ii) enabling effective stakeholder engagement; (iii) facilitating partnership between the OPL champion and local users; and (iv) ensuring the robustness of implementation and assessment.

Introduction The innovation perspective offers useful insight into urban sustainability initiatives and their processes (see e.g. Lachman, 2013; Swilling et al., 2013). At an individual level, an urban sustainability initiative can be understood as an ‗innovation niche‘ through which various actors – researchers, technologists, businesses, policy-makers, practitioners, community groups etc. – come together in collaborative relationships with a view to identifying visions and strategies, developing plans, and implementing projects and solutions, concerning different aspects of sustainable urban development. The niche provides a relatively protected space for experimenting and testing new ideas and practices. Beyond the niche-internal processes, the innovation perspective offers useful insight into wider dynamics resulting from the interaction of multiple, interconnected niches. While a single urban sustainability initiative may have limited effects confined to its particular sphere of action, the collective of initiatives may be seen as charting a transition pathway; over time, this may bring about a systemic shift from current ‗business-as-usual‘ socio-economic activity to more sustainable development. Conceptualising and analysing urban sustainability initiatives as innovation process requires attention to be paid not only to technical aspects – which new sustainable techniques, processes and solutions emerge, and how these may substitute existing less sustainable practices – but equally to the assemblages of actors involved, both within and between innovation niches. Thus, the interest turns to how various actors jointly get involved, collaborate, generate and share knowledge, and apply and disseminate practices. This, then, highlights the importance of considering the governance of innovation – the processes of steering, coordinating and facilitating required to enable sustainable urban development. In recent years, a growing number frameworks have been developed aimed at supporting innovation in urban sustainability initiatives of various kinds; in their global survey Joss & Tomozeiu (2013) identified over 40 such ‗eco-city‘ frameworks currently promoted by a range of organisations, from international bodies (e.g. Eco2 Cities, by World Bank) to national agencies (e.g. ÉcoQuartier; French government), and from professional organisations (e.g. LEED ND, US Green Building Council) to social enterprises (e.g. International Ecocity Framework & Standards, Ecocity Builders). While these frameworks differ somewhat in terms of their respective focus on urban sustainability (e.g. balance between environmental and socio-economic aspects) and related governance functions (e.g. balance between technical performance assessment and community engagement), they share replicability as 114


common feature: they are designed as generic templates potentially applicable in various urban contexts and at different urban scale. The expected benefit is three-fold: first, these frameworks serve as governance tools to facilitate innovation in urban sustainability based on ‗good practice‘ principles, which should be particularly beneficial in local contexts where there is demand for, but little existing expertise in, sustainable urban development; second, as ready-made ‗tool-kits‘ they should help scale up urban sustainability action, which is of particular significance in global regions experiencing unprecedented rates of urbanisation; and third, they should help drive up standards by encouraging innovation, facilitating shared learning, and establishing recognised norms (certification is a growing function of these frameworks).

Case Study One Planet Living (OPL) is one such framework, and the subject of analysis in this paper (BioRegional: Undated; UK Green Building Council, 2013). The framework was developed by BioRegional, a social enterprise, based on its pioneering work on sustainable urban developments since the 1990s, notably the BedZED zero-carbon housing development in Sutton, London. OPL is characterised by a comprehensive approach to sustainable development both in terms of its underlying sustainability principles, which encompass environmental, economic and social dimensions, as well as in terms of its applicability across a range of organisational and urban settings. Concerning the former, the framework entails ten core principles, namely: (1) zero carbon; (2) zero waste; (3) sustainable transport; (4) sustainable materials; (5) local & sustainable foods; (6) sustainable water; (7) land use and wildlife; (8) culture and community; (9) equity and economy; (10) health and happiness. Within this broad approach, the environmental dimension is nevertheless accorded central position based on sustainable ecological footprint, and carbon footprint analysis, respectively. The framework enshrines a global standard for sustainable planetary living – namely, an ecological footprint target of 1.2 gha per person by 2020 – as reflected in the ‗one planet living‘ tagline. This international target, together with common indicators corresponding to the other sustainability principles, provides the overall standard used to guide the specification of particular targets and action plans relating to individual local contexts of application. Local implementation typically involves BioRegional and local actors forming a collaborative partnership. BioRegional offers three tailor-made versions of its OPL framework to allow application in different organisational settings: One Planet Communities is the framework tailored to neighbourhood- or district-level developments; One Planet City/Region is for use at city and regional levels; and One Planet Company is adapted for businesses. OPL is offered up both as an open-source framework for self-use by interested parties, as well as a membership-based endorsement scheme based on a multi-stage assessment and accreditation process. The latter requires organisations and communities to go through periodic performance assessments of targets and action plans jointly agreed with BioRegional. The focus of this case study is on the recent application of the OPL framework in three urban settings in the UK: the Brighton & Hove One Planet Region framework, the North-West Bicester One Planet Communities initiative, and the Sutton One Planet Living Plan (see Table 1). The overall research objective is to assess OPL‘s contribution to urban sustainability innovation. The hypothesis is that as a governance framework, OPL facilitates the local development and implementation of urban sustainability initiatives. At the same time, its intervention function can be expected to create new governance relations, and possibly new governance challenges, that require attention. The case study is based on a mixed-method approach, including 18 semi-narrative interviews with key actors in each of the three sites; a focus group involving participants from across the three sites; and complementary documentary analyses of published reports.

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Table 1: One Planet Living – Three UK case studies Sutton

NW Bicester

Brighton & Hove

OPL Endorsement

2011

2012

2013

Adopting organisation

Local council (London borough)

A2Dominion (private developer)

City Council

Scale

Borough-wide

New urban development (‗infill‘)

City-wide

Pilot project

BedZed

Pilot House

One Brighton

Complementary frameworks/tools

EMAS, BREEAM (S-H)

PPS1 (Ecotowns), BREEAM (S-H), BREEAM Communities

BREEAM (S-H)

Findings Four overarching innovation-relevant perspectives emerge from this comparative research; these are in evidence to varying degrees in each of the three initiatives, reflecting each initiative‘s specific local context. The perspectives highlight the complex interaction arising in the course of applying a generic innovation governance framework within particular urban settings. Aligning broad innovation with specific policy processes One of the distinguishing features – and, arguably, strengths – of OPL is its comprehensiveness in terms of both its broad thematic approach to sustainable (urban) development and its procedural engagement. Thematically, OPL not only demonstrates breadth through its ten core principles, but each principle in itself encapsulates an extensive dimension of sustainable development; for example, the principle (no 5) ‗local and sustainable foods‘ implies the systematic consideration of food production, distribution and consumption policies and processes. Such a comprehensive approach requires the involvement of a broad range of actors across jurisdictions. The challenge for users, then, consists in aligning this broad innovation approach to the specifics of local policy and planning. Research participants stated that, while offering a useful tool to engage in (urban) sustainability, OPL may risk extending the reach of sustainability action beyond the responsibility of the organisation adopting the framework. For example, ‗sustainable and local food‘ may overstretch a local authority, given that its sphere of influence relating to the food chain is limited. Furthermore, even where an action falls within the direct jurisdiction of a local adopter, the OPL principles and related targets may be made difficult to achieve due to competing national policy and regulations. Recognising this challenge, a number of strategies have been deployed: for example, in the case of Brighton & Hove, the city published two separate policies; one, concerning OPL-related action for the city council itself; the other, for the city overall. The former sets out commitments and related targets concerning various actions for which the city council has direct responsibility; the latter defines OPL targets in a more open-ended way, to be achieved in active co-operation with various stakeholders (business, voluntary groups, community etc.). Engaging communities OPL emphasises community involvement as part of its core principles (especially no 8-10) as well as the framework‘s process methods. As noted, the need for engaging stakeholders also arises from the comprehensive approach to sustainable development, which requires effective co-operation between the local authority and the wider community. Yet interviewees across the three sites reported that community engagement remains challenging. First, in spite of the deliberate simplicity of OPL, its communication to wider, non-technical audiences has proved somewhat difficult. In one case, this has 116


led the local adopter to reduce the framework‘s ten principles to five simplified themes. This raises important questions about the viability of urban sustainability frameworks designed for replicability and comparability. Second, limited community engagement may also be prompted in case of new urban developments, where there is no pre-existing community to involve, and where the development is spearheaded by a private developer with little engagement by public authorities. Here, the use of a voluntary community group drawn from a wider area, in the form of an ‗interim management group‘, suggests an innovative approach to trying incorporate community engagement in the planning and development process. This is seen by the developer not only as good practice, but also as important to obtain the views and inputs of the kinds of people that are expected to live in the community in 1015 years‘ time upon completion of the development. Finally, third, community engagement may be hampered where it is seen as standing in conflict with the political process: in one case, the adoption of OPL was perceived to be at risk of too overt an association with the governing party, as a consequence of which its public dimension has been downplayed and instead its policy-internal, technical utility emphasised. Facilitating partnerships Critical to OPL facilitating the innovation process on the ground is an effective partnership between BioRegional, as OPL champion, and the local organisations adopting the framework. OPL, therefore, is not simply a ‗fixed‘ template or protocol that an organisation may choose to adopt and implement; rather, at least in the three cases here, it essentially entails an ongoing, evolving relationship between BioRegional and the local adopters. As such, it is as much a partnership process as it is a set framework. The nature of partnership varies from case to case, and is characterised by ongoing evolution across the planning and implementation phases. Viewed positively, this close partnership can be seen as an important component of the innovation process, suggesting effective co-operation and practice learning. In all three cases, the partnership arose from smaller pilot projects (see Table 1), which subsequently evolved into broader engagement and the eventual adoption of the OPL framework. Such an organic, growing relationship can be considered a strength, demonstrating enduring commitment to long-term innovation. Viewed more critically, however, it suggests some limitations to the usefulness of OPL as stand-alone framewor – that is, without concurrent involvement of the framework champion. Furthermore, it may obfuscate the relationship between framework champion and adopter, not least where the framework champion acts in a dual role of co-developer and certifier. Some of the research participants, with close familiarity of the OPL initiatives, emphasised the relative lack of clarity concerning the partnership relationship. This tension can be seen at work, too, in other frameworks that combine a part-development and part-certification function. In response, this suggests the need for an explicit, transparent articulation of the framework champion―adopter relationship, and particularly the boundaries between shared and separate responsibilities among actors involved. Ensuring robustness of assessment and endorsement The OPL framework entails an explicit performance assessment component, while also optionally acting as formal endorsement process. All three initiatives featured here have received OPL accreditation. While the assessment and endorsement processes of OPL are acknowledged by the interviewees, there was some uncertainty in the responses concerning what these processes entail. On one hand, the interviews did not fully reveal how the process of developing and approving the action plan works. The action plan requires the translation of the OPL principles and related international targets into the local context; what calculation methods and assessment processes are involved is not entirely clear. This may be partly due to the noted rather opaque relationship between the framework champion and local adopters: the action plan may be the result of evolving discussions and informal negotiations, rather than based on some agreed, open methodology. Once again, this may not need to be problematic per se – it may indeed be seen as an essential aspect of the innovation process – but it does raise some questions about the transparency and replicability of the framework as a governance innovation tool. Notably, several research participants raised the question of the robustness of the innovation process on the ground vis-à-vis the standard OPL‘s methodology concerning assessment and certification.

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Conclusions This study set out to analyse the OPL framework as a governance tool and process for guiding innovations in sustainable urban development, in the case of three comparative recent applications in the UK. The overall finding supports the hypothesis that the OPL framework manages to facilitate the local development and implementation of urban sustainability initiatives. At the same time, its intervention function can be seen as creating a number of distinct challenges for the innovation process. The OPL framework, as an exemplar of recently emerging replicable frameworks designed to support urban sustainability initiatives, does not provide a short-cut to innovation, or ready-made template for effecting innovative practices. Rather, its main value may be seen in facilitating the development and communication of sustainable urban development initiatives. This demands substantial commitment and investment among all actors concerned, and it requires close attention to the new governance dynamics arising from the intervention such innovation mechanisms in particular local settings.

Acknowledgements This study was supported by a research grant from the Leverhulme Trust (IN-2012-102). The author is grateful to all participants in the research interviews and focus group, and would like to acknowledge the research assistance of Dr Daniel Tomozeiu.

References BioRegional, Undated. What is One Planet Living? Online source: http://www.bioregional.co.uk/oneplanetliving/what-is-one-planet-living/ Joss, S., & Tomozeiu, D., 2013. ‗Eco-City‘ Frameworks - A Global Overview. London: University of Westminster International Eco-Cities Initiative. Online source: http://www.westminster.ac.uk/ecocities/projects/leverhulme-international-indicators Lachman, D.A., 2013. A survey and review of approaches to study transitions. Energy Policy, 58: 269–276. Swilling, M., Robinson, B., Marvin, S. & Hodson, M., 2013. City-Level Decoupling: Urban resource flows and the governance of infrastructure transitions. A Report of the Working Group on Cities of the International Resource Panel. United Nations Environment Programme. Online source: http://www.unep.org (home page) UK Green Building Council. 2013. Pinpointing: One Planet Living Framework. Online source: http://pinpoint.ukgbc.org/resource/8187-pinpointing-one-planet-living-framework.php

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Development of Sustainable Cities: Sequences, Stakeholders and Interaction - Thomas Kalling, Jessica Lagerstedt Wadin Professor Thomas Kalling The Institute of Economic Research Lund University Lund Sweden

Jessica Lagerstedt Wadin Post-doctorate Researcher The Institute of Economic Research Lund University Lund Sweden

Abstract In this paper we focus on development of the individual city, and the processes by which city actors attempt to move into sustainability, and we propose that eco-city development can be understood through a combination of emerging business model literature, and other theories from the management field. The primary purpose is to, from a company perspective, explore and identify the mechanisms involved in this eco-city development process, and, in its extension, to identify what fields of management theory might be suited to explore and use as the research community, inevitably, starts to study the sustainable society at a wider scale.

Introduction It is evident that the sustainable development involves understanding cities as a source of possibilities for sustainability, promoting active collaboration among diverse stakeholders, integrating different perspectives and bodies of knowledge and expertise and stimulating experimentation with different solutions and approaches (McKormick K., et al. 2013). This paper aims at presenting a new framework for eco-city development. The framework has its backbone in the Penrosian assumption that the enterprise is based on: 1) resources, and 2) the services these resources render, (Penrose, 1959, Dierickx & Cool, 1989). We here look at eco-city development, through the lens of business strategy and management theory, and describe the characteristics of the two phases, the challenges related to each, and the theoretical concepts, we believe to be fruitful in our quest to better understand, the processes cities and organisations go through, in their aim to become more sustainable. Addressing these issues, we argue, is crucial for firms to develop and adapt their business models to fit the context of development of eco-cities.

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Theoretical framework Joss (2010) characterised 79 eco-cities, and suggests three types of development phases (new development, urban expansion and retrofit), identifies six driving forces (environmental challenges, socio-economic pressure, business development, cultural branding, political leadership and international collaboration) and three implementation modes (technological, sustainable agenda and civic movement). To complement this framework, we here add another perspective of eco-city development, namely the one of management and business strategy. A useful approach is Penrose‘s, well-known argument about resources, and the services these resources render. This approach to enterprise, mirrors the Western way of accounting for business in: 1) balance sheets (assets), and 2) profit and loss statements (asset utilisation). These phases include a multitude of challenges, like: inter-sectorial cooperation, stakeholder management, alliances, innovation, technology assimilation, business model management, decision making and investment behaviour. Assets, in this case, can be technology, relations, culture, brands, and knowledge, features that are, often, subject to path dependency and therefore have strong impact on what a particular city or organisation can and cannot do within the ramifications of economy. Utilisation on the other hand addresses the fact that, unless available assets are utilised, not much will happen. For example, in the development of Masdar City, it is evident that assets, like technology and strong financing, created the platform for the first phase, where they stand today, however the utilisation of these assets has not taken off yet. Asset Creation Creating and acquiring assets, necessary to make a city more sustainable, requires resources and changes. It can happen radically, but more likely it is a political, economic and cultural process that evolves over time. Assets ought to be connected to the existing asset base and routines, but do not have to, that is probably why we see greenfield sites around the world where assets are in place but, then the projects are more or less stalled. Looking at eco-cities, this process includes challenges, and the magnitude is, to a large extent, affected by the existing character and history of the city. Several issues need be addressed, in the asset creation phase, typically: 

Infrastructure legacy: the existing legacy of infrastructure, energy supply, housing, and businesses will of course have an impact on, what can be achieved, and what investments might be more valuable to the city. Exiting cities are obviously more sensitive to infrastructural changes, and therefore more expensive to upgrade, while green field cities, without a strong infrastructure legacy, and likely to take off more quickly.



Funding: financing efforts for sustainability probably requires a bit of ingenuity. It can be done through the tax bill, but of course also through the market mechanisms, where firms make investments and citizens, ultimately, pay through e.g. estate prices and energy bills. Typically, in a context of finite and public resources, financial arrangements include the city, banks and industrial partners, and possibly also regional or national government.



Technology choices: ranging from overarching technological solutions down to more minute matters, such as app user interfaces. Some technologies are premature, but are also developing very rapidly e.g. in areas related to energy and ICT. Here, savvyness, risk propensity and the attitude towards technology generation leapfrogging are factors that will impact decisions, but municipalities and firms will also have to stimulate innovation.



Political and public support: political decisions through high level sustainability goals, e.g. to become carbon neutral by a certain year, will of course be important to point out the direction of the city, but given the economic significance, and the impact on the way business and social life is organised, we can assume that not much will happen unless the public is ―on board‖, either as citizens or customers, and accept and support the investments necessary. Acceptance and awareness is key, but so are also pioneering citizens and industries, who are tech savvy, and prepared to try out new solutions and change the way they live and operate.

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

Stakeholder management: Sustainability ventures will most likely always include multiple stakeholders specialising in different areas. But perhaps the management of multistakeholders is especially important in the early phases, when organisations, potentially unfamiliar to each other, have to join forces and align ambitions, objectives and strategies, and initiate projects and processes.

Our observations suggest that a range of different management theory fields might be useful to understand challenges related with the asset creation phase e.g.: stakeholder theory (e.g. Rhenman, 1964, Freeman, 1984), innovation process theory (Poole et al, 2000), and theories of interorganisational relations (e.g. Parkhe, 1991, Szulanski, 1996), decision-making (e.g. Simon, 1976) and investment behaviour (e.g. Bower & Gilbert, 2007). The idea that organisations have a past, a legacy, of routines and resources, that determine what they can do, and that decisions are never made from a zero base premise, is highly relevant. Organisations and cities are on ―paths‖, and their actions are normally heavily path dependent, while the actions themselves help strengthen the path (Arthur, 1994). Another aspect in this context is isomorphism (DiMaggio & Powell, 1991), the tendency of organisations to gradually become similar, occurs through coercive, mimetic and normative processes. The relation between isomorphism and legitimacy on the one hand, and uniqueness and perhaps competitive advantage on the other, forms a potential dilemma for organisations, and cities alike (Oliver, 1997). Evolutionary economics (e.g. Nelson & Winter, 1982, Winter, 2000) is another promising field, when it comes to understanding the processes by which sustainability decisions are made. In terms of decision-making, both cognitively and institutionally orientated theories will be of use. The concept of bounded rationality (Simon, 1955, Cyert & March, 1963) is probably very useful, as are concepts such as single- and double-loop learning (Argyris & Schön, 1978) and exploration and exploitation (March, 1991). More modern cognition-based decision theory like Tversky and Kahneman‘s (1992) prospect theory and the related System 1 and System 2 approach to human thought are highly relevant. On the more normative and cultural side, the so-called neo-institutional approach (Meyer & Rowan, 1977) can also shed light on the societal macro factors that impact on our decisions. Transition management (Kemp et al., 2007), which is based on above theories among others, can also provide valuable input towards sustainable development. Asset Utilisation Asset utilisation starts when equipment is installed, and when sustainable life is supposed to commence, and continues as long as we use the assets we have. It sounds obvious, but for various reasons assets are sometimes not used at all, or used to less than optimal effect, and might therefore entail less sustainable value. The way we use assets is, to a great extent, determined by the nature of the assets at hand, which is related with different challenges compared to getting new technology in place, as it deals with local cultural and cognitive features of behaviour. This second step, therefore, is less deterministic and more voluntary, less revolutionary, more evolutionary. It requires policymakers that stimulate rather than command, committed citizens, and perhaps most importantly, a design which is deeply embedded in the idiosyncratic processes, activities and value chains that have given that very city its identity and historical comparative advantages. Local firms, NGOs and citizen drive this part of the venture. Asset utilisation is characterised by: 





Voluntarism: even if politicians and decision-makers, within the ramifications of their mandate, can make things happen, through investments and instalments, it is not certain that these assets are used properly. Utilisation is more voluntary, de facto, and stimuli have to take different shapes. Asset leverage: at least in the short term it is probably important for local politicians to ensure utilisation takes advantages of existing assets for leverage. Radical changes to patterns of life and industry value-chains, requiring the constant development of assets, may meet resistance. Navigating path dependencies and irreversibilities: cities do not only have asset legacies, they also have cultural and behavioural legacies among citizens and organisations, represented in routines and embedded in norms and values and patterns of living, that perhaps, cannot be changed too often or too radically. However, becoming more sustainable will require

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

behavioural changes, and in that respect decision-makers have to navigate carefully between embedded behaviour and stimulating new ones. Use of technology: is to assimilate and make use of new technology in a sustainable direction. Two highly relevant areas are energy and ICT, stretching from macro and infrastructural level, involving choices of renewable energy sources, all the way to the individual consumer, using e.g. smart installations and apps for monitoring and control. Assimilating new technology and using it optimally, is subject to learning and trust, but perhaps also, to master fear. These processes will be supported if the digital divide is addressed e.g. through education and training, or even subsidisation, supporting and encouraging behavioural changes.

As indicated above, one challenge relates to generating awareness, acceptance, and eventually absorption of ideals, norms and values where sustainability is prominent. Assuming that knowledge is important, there are several ways to understand how these processes unfold. Here, again, organisational learning perspectives such as Argyris & Schön (1978) and March (1991) will probably be relevant, as they separate between incremental (single-loop, exploitation) development and more radical (double-loop, exploration) and describe the factors that drive each of the processes, but also knowledge sharing (Szulanski, 1996), We also believe that asset utilisation holds challenges that can be better understood by using e.g. concepts such as core competency and resource leverage (Prahalad & Hamel, 1990). Within the resource-based view (RBV), there is extensive research performed on the utilisation of resources (e.g. Penrose, 1959, Dierickx & Cool, 1989), and how that utilisation creates value and possibly also sustained competitive advantage. We can also borrow concepts from Transaction Cost Economics, such as asset specificity (Williamson, 1975), which refers to the usability of a particular asset. The more specific, the more limited the use of it, and the higher the transaction costs associated with it. As there are multiple resources deployed in a sustainable city, such as infrastructure, estates, technologies, hardware, software, knowledge, relations, and more, understanding the nature of assets and their usability is absolutely key. The irreversible nature of assets, and the impact this has on usage, has also been described in Winter (2000), but also Kalling (1999). In that instance, it is also clear that the path dependence (Arthur, 1994) argument is valid not only at an asset creation level, but also at the level of processes and behaviour. Processes, routines and behaviour are products of historical experiences, and emerge incrementally in a trial-and-error fashion, constantly improving in relation to our ambitions. Another useful concept is the value-chain model (Porter, 1985), which perceives of business a series of interrelated activities in the horizontal (competition) and the vertical dimension (seller-buyer relations). There is also a great potential in addressing shared value (Porter, 2011), which could generate opportunities and benefits for both companies and society. Finally, there is large body of literature on technology management and the utilisation of technology. In the context of sustainability, we argue, this challenge is primarily one of overcoming lack of knowledge and skills, unfamiliarity, and perhaps even fear of new technology. Orlikowski and Iacono‗s (2001) take on IT, through the tool/proxy/ensemble/ computer framework, is one perspective that could be beneficial when it comes to using technologies of sustainability, at least the IT parts that are meant to make the city ―smart‖. Pessimist approaches such as Feenberg‘s (1999) and Sconce‘s (2000) are also relevant. It is probably very important to understand the optimism, euphoria sometimes, that accompanies new technology. Sustainability is in fashion, and given the massive range of technologies that are developed within energy and ICT we can foresee a lot of ―noise‖ around new technologies and products (Eriksson-Zetterquist et al, 2011).

Discussion There are, of course, myriads of other concepts and theories that can be used to understand the characteristics of both the asset creation and asset utilisation phases, but the fields presented above are both relevant and useful, and they are also robust and well validated in other contexts. It is imperative that decisions about assets and investment are based on an idea of their utilisation in the long term. Despite that the creation phase is more explicit, it is, at the same time more subject to radical ideas; a situation where ambitious visions might take over, as decision-makers envision and dream of the future, which is evident in greenfield projects. Not taking the idiosyncratic, local legacy 122


and asset base into account might generate expensive investments in assets that will not be used optimally, or impose changes that might not be absorbed by inhabitants. This is an instance where visions and ideas can be used to market cities and launch images of an ―eco-city‖, using resources sustainably and responsibly, even if they don‘t, and ―greenwashing‖ could be a side effect. Altogether, asset utilisation is less about command and more about appealing to people‘s will. It is about incentives, awareness, knowledge, identity and about being prepared to change. It is about understanding the habits, routines, processes and behaviours of the organisations and citizens, that occupy a city, and in that respect it is fundamentally different from asset creation. Although the two processes are intertwined, utilisation requires creation in the first place. But of course, ideas about and needs for creation are driven by experience and feedback during utilisation, meaning that one important feature of utilisation is to drive experience and therefore also feedback which help suggest asset modifications. Hence the need to start trying sustainable solutions out and generate first hand implicit knowledge.

References Argyris C. and Schön D., 1978, Organisational Learning: A Theory of Action Perspective, AddisonWesley Arthur B, 1994, Increasing Returns and Path Dependence in the Economy, University of Michigan Press Bower J.L. and Gilbert C.G., 2007, From Resource Allocation to Strategy, Oxford University Press Cyert R. and March J.G., 1963, A Behavioural Theory of the Firm DiMaggio P.J. and Powell W.W., 1991, The New Institutionalism in Organizational Analysis, University of Chicago Press, Chicago Dierickx I., Cool K., 1989, Asset Stock Accumulation and the Sustainability of Competitive Advantage, Management Science Eriksson-Zetterquist U., Kalling T., Styhre A., 2011, Organization Theory: A Practice based Apporach, Oxford University press Feenberg A., 1991 Critical Theory of Technology. New York: Oxford University Press Freeman E. R., 1984, Strategic Management: A Stakeholder Approach, Pitman, Boston Joss S., 2010, Eco-cities: a global survey 2009, WIT Transaction on Ecology and the Environment Kalling T., 1999, Gaining competitive advantage through information technology. A resource-based approach to the creation and employment of strategic IT resources, PhD Thesis, Institute of Economic Research, Lund University Kemp R., Loorbach D., Rothmans J., 2007, Transition management as a model for manging process of co-evolution towards sustainable development, Internationl Journal of Sustainable Development Nelson R.R. and Winter S., 1982, An Evolutionary Theory of Economic Change, Harvard University Press March J.G.,1991, Exploration and Exploitation in Organisational Learning,‖ Organization Science McKormick K., Anderberg S., Coenen L., Neij L., 2013, Advancing Sustainable urban Transformation, Journal of Cleaner Production Meyer J. and Rowan B., 1977, "Institutionalized Organizations: Formal Structure as Myth and Ceremony." American Journal of Sociology Oliver C., 1997, The influence of institutional and task environment relationships on organizational performance: The Canadian construction Industry, Journal of Management Studies Orlikowski, W. J., & Iacono, C. S., 2001, Desperately seeking the ―IT‖ in IT research—A call to theorizing the IT artifact. Information Systems Research Parkhe, A,,1991, Interfirm diversity, organizational learning, and longevity in global strategic alliances. Journal of International Business Studies

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Penrose, E.T., 1959, The Theory of the Growth of the Firm, John Wiley, New York Poole S., Van de Ven A. H., Dooley K., Holmes M. E., 2000, Handbook of Organizational Change and Innovation, OUP, USA Porter M, 1985, Competitive Advantage: Creating and Sustaining Superior Performance. New York. Porter M.E. and Kramer M. R, 2011, Creating Shared Value, Harvard Business Review Prahalad C.K. and Hamel, G., 1990, the Core Competence of the Corporation, Harvard Business Review Rhenman E, 1964, Företagsdemokrati och företagsorganisation, P.A. Norstedt & Söners, Stockholm Sconce, J., 2000. Haunted media: Electronic presence from telegraphy to television. Durham, NC: Duke University Press Simon H., 1955, A Behavioural Model of Rational Choice, The Quarterly Journal of Economics Simon H. A., 1976, From Substantive to Procedural Rationality. In S. J. Latsis (Ed.), Method and Appraisal in Economics. Szulanski G., 1996, Exploring internal stickiness: impediments to the transfer of best practice within the firm, Strategic Management Journal Teece D. T., Pisano G., Shuen A., 1997 Dynamic Capabilities and Strategic Management, Strategic Management Journal, Tversky A.and Kahneman D., 1992, Advances in prospect theory: Cumulative representation of uncertainty, Journal of Risk and Uncertainty Williamson O., 1975, Understanding of Hierarchies, New York, Free Presskets and hi Winter, S.G., 2000, The satisficing principle in capability learning, Strategic Management Journal

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A Study of Member Motivations and Activities in Hackerspaces and Repair Cafés - Scott Keiler, Martin Charter Scott Keiller Co-ordinator-Sustainable Innvoation The Centre for Sustainable Design® University for the Creative Arts Farnham Surrey UK

Professor Martin Charter Director The Centre for Sustainable Design®, University for the Creative Arts Farnham Surrey UK

Introduction The linear industrial processes of ‗take, make, dispose‘ that have driven economic growth and shaped lifestyles in the developed world are not sustainable. The linear economy has required an easily accessible supply of cheap materials and energy and both are expected to become significantly more expensive during the course of the 21st century. Radical change by business and civil society is needed to enable the transition to a more Circular Economy, which is restorative by nature, where waste is reduced or eliminated entirely through for example, development of new business models, eco-design and product life extension. The growth of the grassroots Maker movement has been hailed as the new industrial revolution and has the potential to herald a new post-consumer, more sustainable approach to production and consumption through local peer production and the development of innovative products and services that are fit for purpose and longer-lasting (Anderson, 2012). Repair Cafés and Hackerspaces are two examples of new predominantly urban Places & Spaces that are emerging from a new wave of grassroots organisations where people come together in ‗community workshops‘ to experiment with, modify, make and fix products. Increasing product longevity is one of the central considerations of Circular Economy thinking (Ellen McArthur Foundation, 2012) and a concept which the newly emergent Fixer movement appears to embrace. The 'fixer economy' has existed for a long time eg car repair, but new organisations are helping product owners to repair and maintain consumer products. The Repair Cafés Foundation, founded in the Netherlands in 2010 provides support to a network of around 700 active Repair Cafés around the world (Martine Postma, pers. comm. October, 2014). A Repair Café offers a free meeting place for people to bring products in need of repair and to work together with volunteer fixers, to repair broken products. 125


The growth of Hackerspaces has been rapid, increasing from fewer than 20 in 2005 (Baichtal, 2012) to 1084 active Hackerspaces today (Hackerspaces, 2014). Hackerspaces are physical places where people with an interest in technology can meet and work on their projects. Projects characteristically include software and hardware development but can also include the more traditional ‗maker‘ arts and crafts. Their growth has been facilitated by new and affordable technologies, particularly the advent of cheap computing and digital fabrication devices, such as 3D printers, the use of social media as a means of sharing information and the principles and products of ‗open source‘. This research documents the demographics, interests and motivations of members of Repair Cafés and Hackerspaces around the world. It records the activities undertaken in these community workshops and members opinions on how they expect their organisations to change over the next five years. Particular emphasis is placed throughout the work on understanding the importance of environmental, social and economic drivers as motivations for participation and of the activities undertaken. Research was undertaken through online global survey in May 2014, of members of Repair Cafés (158 respondents from 9 countries) and Hackerspaces (95 respondents from 16 countries). Both Repair Cafés and Hackerspaces are largely undocumented phenomena; indeed the authors believe this work to be the first published research survey on global Repair Cafés. The implications of the results are discussed in the context of eco-innovation and the move towards a more Circular Economy.

Methods Members of Repair Cafés and Hackerspaces around the world were invited to take part in online nd th surveys (www.survyegizmo.com) between May 2 and May 30 2014. Repair Café organisers and volunteers were invited to participate via email. For Repair Cafes in the Netherlands the invitation was sent direct from Martine Postma, founder of the Repair Café Foundation. Repair Cafés in Belgium and Germany were invited via their respective National Network organiser. Repair Cafés in other countries were invited via email from The Centre for Sustainable Design®. Hackerspace members were invited to participate via postings on Google discussion groups and via mailing lists available through http://hackerspaces.org/wiki/List_of_Hacker_Spaces Survey questions explored motivations for participation, activities undertaken and expectations for the future. Emphasis was placed on understanding the importance of sustainability as a driver for participation and in relation to the activities undertaken.

Results - Repair Cafés 158 responses were received from participants at 144 named Repair Cafés from 9 countries (Top five countries by number of responses: The Netherlands 104, Germany 31, UK 9, Belgium 7 and USA 3). Results are presented below for all (non-segmented) Repair Café Survey respondents. About respondent‟s Repair Cafés

About respondents 

Male 60:40 Female



c. 75% hold sessions at fixed venue



Most, 35% aged 55-65, and 21% aged over 65 c. 70% have Bachelors or Post Graduate degree 70% describe themselves as Founders and/or Organisers and 23% as Volunteer Fixers

 

c. 60% hold sessions once a month An average of 9 volunteers attend each session c. 95% of Repair Cafés have operated for 2 years or less

 



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Reasons for participation at the Repair Café Respondents were asked about their motivations for participation. The top three reasons (more than 80% Strongly agree or agree) why respondents volunteer/participate at Repair Cafés (Figure 1) were:   

To encourage others to live more sustainably To provide a valuable service to the community To be a part of the movement to improve product reparability and longevity

Figure 1. Responses to the question; Why do you participate in the Repair Café? Responses were given to a list of statements on a five-point Likert scale from Strongly agree to Strongly disagree.

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Activities undertaken at the Repair Café The five categories of Items most frequently brought (Always or Often) to the Repair Cafés for repair (Figure 2) include Small Kitchen Appliances (86% of respondents), Lighting (76%), Clothing (69%), Bicycles (65%) and DVD/CD Players (59%). Figure 2. Responses to the question How frequently are the following items brought to your Repair Café for repair? Responses were given on a five point Likert scale from Always to Never.

Repair Cafés member views on planned or in-built obsolescence Of the electrical/electronic items brought to Repair Cafés, Printers and Electrical tools are considered to be the most frequently in need of repair, because of what respondents believe to be ‗planned or inbuilt obsolescence‘ (Figure 3)

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Figure 3. Responses to the question In your opinion what proportion of electrical / electronic items are brought to the Repair Café because of what you believe to be 'planned or built-in obsolescence'?

Modification and upcycling activities at Repair Cafés Repair Cafés do more than repair, product modification and upcycling are also undertaken. Respondents were asked how often the Repair Café helps people to modify or upcycle items. For example, c. 40% of respondents‘ state that modifications to clothing to improve fit are undertaken Always or Often at their Repair Café and c. 10% (Always or Often) undertake upcycling of waste electrical equipment or reuse of sub-assembles into new applications. Around 10% (Always or often) undertake modifications to computers to improve performance, including adding additional memory and 9% (Sometimes) undertake modifications to mobile phones including unlocking units for use on alternative networks.

Repair Cafés member expectations for the future The top three expectations (more than 60% Strongly agree or agree) of how Repair Cafés might change over the next five years (Figure 4) were:   

Greater links with other Repair Cafés to form more effective local Repair Networks Greater involvement with campaigning to improve product reparability/longevity More involvement with wider sustainability issues.

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Figure 4. Responses to the question Do you agree or disagree with the following statements about how you expect your Repair Café to change over the next five years?

Results - Hackerspaces 95 responses were received from participants of 45 named Hackerspaces from 18 countries (Top five countries by number of responses; UK 29, USA 20, Australia 10, Netherlands 6 and Germany 4). Results are presented below for all (not segmented) Hackerspace Survey respondents.

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About respondents‟ Hackerspaces

About respondents   



Male 90:10 Female Most (40%) aged 25 – 34 c. 70% have Bachelors or Post Graduate degree

 

c. 95% meet always at same, fixed venue c. 70% of c. 55% existed for 4 or more years open all/most days

Hacker interests Hackerspace survey respondents were asked to select their areas of interest from a predefined list (Figure 5). The top five Hacker interests (50% or more Very interested or interested) are:    



Coding and software development Making electronic devices Modifying electrical /electronic devices Repairing/fixing electrical/electronic devices Hacking for sustainability

Figure 5. Responses to the question about Hacker interests, How interested are you in the following activities?

Reasons for Participation at the Hackerspace The top three reasons (more than 90% Strongly agree or agree) why respondents participate at their Hackerspace (Figure 6) are To meet others who share my interests, To be intellectually stimulated and To learn new skills.

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Figure 6. Responses to the question Why do you participate in the Hackerspace? Responses were given to a list of statements on a five-point Likert scale from Strongly agree to Strongly disagree

Activities undertaken at the Hackerspace Respondents were asked how frequently specific activities are undertaken at their Hackerspace. Coding, Making electrical/electronic devices and fixing electrical/electronic products were given (more than 60% Always or often) as the most frequently undertaken activities (Figure 7). Other frequent activities included; Reuse of scavenged components (more than 50% Always or often), Upcycling projects (over 30%), Art projects (over 30%); and Home energy monitoring/control systems (over 25%).

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Figure 7. Responses to the question how frequently are the following activities undertaken at your Hackerspace? Responses were given to a list of statements on a five-point Likert scale from Always to Never.

Hackerspace member expectations for the future The top three expectations (more than 50% Strongly agree or agree) of how respondents‘ Hackerspace might change in the next five years were Greater links with other Hackerspaces, Greater links with Makerspaces and Hackerspace activities will lead to more new business start-ups (Figure 8). Nearly 40% of respondents strongly agreed or agreed that they expect their Hackerspace will provide space and support for new business start-ups.

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Figure 8. Responses to the question Do you agree or disagree with the following statements about how you expect your Hackerspace to change over the next five years?

Discussion ‗Consumer culture‘ fuelled by cheap credit and low cost products is driving the consumption of materials in Western Economies. The prevailing Linear Industrial Model of ‗take, make, waste‘ is unsustainable. Indeed, in Europe alone, of the 16 tonnes of material used by each person in a year, 6 tonnes becomes waste (European Commission, 2014). There is an urgent need to move toward a more Circular Economy, which is focused on ‗closing material loops‘ through the more efficient use of materials and extending the life of products, thereby reducing the embodied materials at manufacture and energy use throughout the product lifecycle. The need for change is now firmly on the policy agenda with the European Commission‘s Circular Economy paper published on 2nd July 2014. Increasing focus on repair (or fixing) is an important part of ‗closing material loops‘ and is a key element in moving towards local sustainable consumption and production models. Grassroots activity is emerging in relation to the repair of products. Initiatives like the Repair Cafés Foundation are presenting a means whereby motivated individuals and communities are working together on a local level: to extend the useful life of a wide range of products; to teach repair skills; and also to communicate the value of product repair rather than replacement to the wider community.

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Citizen-driven ‗grassroots innovation‘ is being enabled by increased access to information, the growth of social networking, the products and principles of ‗open source‘ and the adoption of new technologies like 3D printing. Participants at Hackerspaces; as well as developing and improving new open source products, are developing innovative approaches to product repair, modification and upcycling. Some Hackerspaces may also start to emerge as labs and/or incubators for new product or enterprise development. The range of projects related to sustainability being undertaken at respondent‘s Hackerspaces suggests some might develop into eco-innovation incubators.

Repair Cafés The Repair Café Foundation (to which all of the Repair Cafés surveyed are members) was founded by Martine Postma in the Netherlands in 2010 to enable people to repair products that would otherwise end up as waste. Repair Cafés provide a place for people to socialise, to share and learn new skills and address issues related to sustainable consumption in a very real ‗hands-on‘ way. The founders, organisers and fixers at each Repair Café are volunteers who have elected to give up their time to offer this community service. As one might expect therefore, the most common reasons for participation at Repair Cafés are altruistic; to encourage others to live more sustainably, to provide a valuable service to their community, to be a part of the movement to improve product reparability and longevity and to help others to learn how to fix their own products. It follows that personal gain from participation is not important to most Repair Café volunteers. In particular, making new business contacts, improving ones employability skills or learning how to use skills to set up a new business are amongst the least important motivators. The time commitment, effort and resources required to set-up and organise a Repair Café are significant. This might explain why the age profile of respondents is skewed towards relatively ‗time-rich‘ older generations with 35% of respondents‘ aged 55 to 65 and 21% aged over 65. The high proportion of volunteers either approaching retirement or retired might also explain the low interest in personal gain regarding business opportunities and employment prospects. The types of products brought to Repair Cafés for repair are those which on the most part are of a size and weight that makes transporting them relatively easy. Small Kitchen Appliances were the most common (86% always or often brought to the Repair Cafés) followed by clothing and bicycles and a wide range of consumer electrical and electronic equipment, but also furniture and gardening equipment, like lawn-mowers. The products brought to Repair Cafés are also likely to be dependent upon the skill-sets of volunteers. For example, when it was communicated that a volunteer with skills in consumer electronics had joined Brighton Repair Café (Victoria Jackson, pers. comm.), there was a significant increase in attendees with electrical and electronic products and this increased local interest in the Repair Café. It has been estimated (WRAP, 2014) that just 7% of the waste electrical and electronic equipment (WEEE) collected at UK Household Waste Recovery Centres goes on to be reused, but that 23% could be reused, following minor repair. The Restart Project, a London-based social enterprise that runs ‗Repair Party‘ events claims that over 750kg of electrical and electronic equipment has been diverted from the waste stream from 55 events since 2012 (Restart, 2014). Repair Cafés offer real, but currently small scale opportunities for repairing electrical and electronic equipment and other products to prolong use and delay or avoid disposal into many of the current recovery facilities where handling results in damage and loss of value and resources. Repair Cafes do not just facilitate repair, product modification is also a common activity at Repair Cafes. Alteration is one way to extend the useful life of clothing and it is practised always or often at 40% of respondent‘s Repair Cafés. The notion that some products are designed and manufactured to fail prematurely - planned or built-in obsolescence - is widely believed by Repair Café volunteers. Over one third of respondents believe that more than a half of all computer printers are brought to the Repair Café because of in-built or planned obsolescence. There are many online discussion groups regarding ‗repair‘ methods for resetting counters or ‗kill chips‘ in some printers which cause failure when a set number of prints are reached. The increased sharing of information on repair for perceived or actual in-built obsolescence could influence manufacturers to change product designs for greater longevity and also inform policy makers on developing guidance to discourage design that is considered by many to have the intention of reducing product lifespan. It is noteworthy that over the next five years almost 70% of respondents

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expect their Repair Café to be more involved in campaigning to improve product reparability and longevity. Repair Cafés currently make up a growing but nevertheless small part of the product Repair ‗Ecosystem‘, along with commercial repairers, online repair guidance and tool and parts retailers. There are over 200 Repair Cafés in the Netherlands and virtually all large cities have at least one Repair Café. For example, Amsterdam has fifteen Repair Cafés and Rotterdam has eight. In these cities, communication and sharing of volunteers and skills between Repair Cafés helps to provide a network for community repair, where for example, attendees can be referred to other Repair Cafés depending upon specific needs. Over 60% of respondents agreed that over the next five years their Repair Café would have greater links with other Repair Cafés to form more effective Repair Networks. Furthermore, almost 40% strongly agree or agree that their Repair Café will increase the number of repairs undertaken by more than ten times. These expectations together suggest that Repair Cafés could soon play a far greater role in the Repair ‗Eco-system‘. In addition, over 60% of respondents expect their Repair Café to have greater involvement in wider sustainability issues over the next five years, perhaps then Repair Cafés might not only be connected to other parts of the Repair ‗Ecosystem‘, but also to other organisations focused on local environmental and social issues. The Citizens Committee for New York‘s Neighbourhood 2.0 programme might provide some guidance on how to integrate Repair Cafés into a sharing community network. Under Neighbourhood 2.0 people from all backgrounds and parts of New York City share their talents and creativity to improve the quality of life in local neighbourhoods.

Hackerspaces Hackerspaces have been described very simply ‗as places for people to meet and work on their projects‘ (Hackerspaces 2014). They are a very diverse collection of ‗community workshops‘. One Hackerspace Survey respondent commented that ‗every (Hacker) space has its own taste, so no two are exactly alike‘. One of the key features of most if not all Hackers at Hackerspaces is their support for ‗open source‘ through the use and development of license free peer-produced software and hardware and the philosophy of openness and sharing of information. Unlike Repair Cafés, Hackerspaces are very rarely established specifically to address issues related to sustainability. Of the 1035 active Hackerspaces around the world today (Hackerspace, 2014) there are only a small number of exceptions, such as The Warehouse in Colorado that describes itself as a green Launchpad Hackerspace (www.greenhackerspace.com). Hackerspace members, although interested in Hacking for Sustainability (48% very interested or interested) are not motivated to be members of Hackerspaces because of this. Indeed only around 20% of respondents strongly agreed or agreed that encouraging others to live more sustainably was a reason for participation, while slightly more strongly disagreed or disagreed. The strongest motivations for participation are related to intrinsic drivers that included meeting others who share my interests, to being intellectually stimulated and learning new skills. There is however a clear motivation to share knowledge and skills with others which fits with the sharing philosophy of ‗open source‘ and almost 60% of respondents are motivated to participate to educate others outside of the Hackerspace, eg through teaching coding to children. The most frequent activities undertaken at respondent‘s Hackerspaces are coding/software development, making electrical and electronic devices and repair of electrical and electronic products. This last point is of note for its relevance to activities undertaken by Repair Cafés. Hackerspaces are generally equipped with tools and spare parts scavenged from redundant equipment and Hackers have the technical knowledge and skills to repair. There are also links with Repair Cafés, with around one third of respondents stating that one or more of the Hackers at their Hackerspace are also volunteers at Repair Cafés. Furthermore, the authors are aware of instances where Hackers have used 3D printers to print replacement plastic parts for products that would otherwise be costly or difficult to procure. An example given by Reading Hackspace (David Price, pers. comm.) of using 3D printing to produce plastic parts to repair a child‘s cot, demonstrates how such technology can be used at Hackerspaces as a means of extending the lifetime of consumer durables. Other activities undertaken always or often, like upcycling projects, Home energy monitoring and control projects and renewable energy projects are directly pertinent to sustainability and Circular Economy thinking.

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Over 20% of respondents stated that commercial projects were undertaken always or often at their Hackerspace. This finding and the result that over a third of respondents participate at their Hackerspace to develop skills to set up my own business suggests that Hackerspaces support the development of new business. It follows, particularly in light of some of the project activity undertaken that Hackerspaces could provide a space for eco-innovative entrepreneurs. Hackerspace survey respondents expected that over the next five years there would be greater links with other Hackerspaces and Makerspaces, and that Hackerspace activities will lead to more new business start-ups. Furthermore, Forty per cent of respondents expect that their Hackerspace will provide space and support for new business start-ups. More than half agree that there will be more projects at their Hackerspace related to sustainability over the next five years.

Acknowledgements This work was co-funded by the European Union under the Interreg IVA 2 Seas Cross-Border Programme and the University for the Creative Arts. The authors would like to thank Martine Postma, founder of The Repair Café Network for her advice and support.

References Anderson, C. (2012) Makers: the new industrial revolution. London, Random House Business. Baichtal, J. (2012) Hack this: 24 incredible Hackerspace projects form the DIY movement, Que. European Commission (2014) Environment [online]. th Available from http://ec.europa.eu/environment/waste/ [Accessed 27 June 2014] Ellen McArthur Foundation (2012) Towards the Circular Economy Vol. 1: an economic and business rationale for an accelerated transition. Hackerspaces (2014) List of Active Hackerspaces [online]. th Available from http://hackerspaces.org/wiki/List_of_Hacker_Spaces [Accessed 20 October 2014]. Repair Café Foundation (2014) Repair Café Locations [online]. th Available from http://repaircafe.org/locations/ [Accessed 20 October 2014]. The Restart Project (2014) How to grow a circular economy [online]. Available from http://therestartproject.org/consumption/how-to-grow-a-circular-economy/ [Accessed th 27 June 2014] WRAP (2014) The value of re-using household waste electrical and electronic equipment [online] http://www.wrap.org.uk/content/value-re-using-household-waste-electrical-and-electronic-equipment th [Accessed 27 June 2014]

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Improving Sustainability Through Material Design - Päivi KivikytöReponen, Marjaana Karhu, Olli Salmi Päivi Kivikytö-Reponen Senior Scientist VTT Technical Research Centre of Finland Tampere Finland

Marjaana Karhu Research Scientist VTT Technical Research Centre of Finland Tampere Finland

Olli Salmi Research Professor, Programme Manager VTT Technical Research Centre of Finland Espoo Finland

Abstract Sustainable design is typically defined in terms of environmental, social and economic sustainability during the whole life cycle of the product. Sustainable design practices depend on increasing consumer awareness of environmental issues, new regulation and the scarcity of materials and other resources. Not only design guidelines for products, but also design guidelines to materials used in products are an effective way to influence resource efficiency and product sustainability. Creating design rules for products is often a complex multi-optimization task with material selection, manufacturing optimization, cost, functionality, availability and sustainability aspects as variables. Using multi-scale modelling aided optimization, the total product energy consumption can be minimized. Going beyond material selection from the conventional materials, design of materials and material processing are another way to influence on the product embodied energy and material efficiency. In our study we compare different material processing methods in order to increase product sustainability specifically in terms of energy efficiency. Design choices and energy consumption are discussed through case examples. Use of secondary raw materials and alternative material processing methods are suitable also in small scale production. They can decrease material processing related energy consumption considerably, and in the future non-energy material processing is theoretically possible.

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Background In urban environments there are non-renewable materials everywhere around us as they are essential to our way of life: construction materials are visible in buildings, interior, streets, and parks, the materials for mobility solutions (cars, trucks, busses, and aircrafts), materials for energy (wind mills, power stations, solar energy) and so-called technology materials (ICT solutions, industrial manufacturing, modern devices and equipment in households and industry) are present in our modern life constantly. The megatrends of global population growth, growth of urban areas and growth of megacities have consequences in resource and material availability (World Resources Forum 2014). Global population growth is expected to result in lack of certain materials especially in regions characterized by high levels of consumption such as the EU. The EU has reacted to the looming lack of materials with resource efficiency (including material efficiency and energy efficiency) actions (European Commission 2011) and the circular economy package is a new step to increase sustainable material consumption, especially that of non-renewable materials (European Commission 2014). The possible responses to material scarcity are to increase primary raw material production locally, to increase recycling or to substitute so called critical raw materials. Recent studies have shown that there are good primary resources of critical raw materials in Europe, particularly in the North (Rasilainen et.al 2010). So far, however, only a handful of new deposits are being developed for extraction. In recycling, the recycling processes are firmly established for base metals and are approaching a closed recycling loop.

Sustainable material design Every step in product design requires decisions about (raw) materials, processing methods, manufacturing methods and material consumption. In addition design of the whole product life cycle, product functionality and recycling must be considered and reflected on product cost estimates. The decision criteria typically are the functionality and technical aspects of the product, the cost of the production and sustainability. The number of engineering materials used currently is huge: estimates range from 40 000 to 80 000 (Ashby 2011). In addition new engineering materials are constantly being developed, which further expands the available material array. In a life cycle design perspective the performance and recycling potential of a product are important parameters. Performance is generally not constrained by a single property, but by a combination of them and therefore the materials property charts by Ashby (Ashby 2011) are very useful tools The evaluation and even design of recycling (or reuse, or re-manufacturing) is done using current standards, but this area is developing fast and it is becoming more and more important as a criteria for product design. The system level tool for product life cycle evaluation is Life Cycle Assessment (LCA), which is a standardised methodology (ISO 14040:2006) to assess environmental impacts associated with all life-cycle stages of a product. LCA has been used increasingly by industry to help reduce the overall environmental burden and to improve competitiveness (European Commission, European Platform on Life Cycle Assessment 2014). LCA provides a single tool giving insights into upstream and downstream trade-offs associated with environmental pressures, human health, and the consumption of resources. However, LCA tends to exclude economic and social impacts, as well as the consideration of more local environmental issues. The environmental attributes are included in modern material databases as well as the influence of material processing methods, such as joining, and even some use phase environmental effects can be estimated. For example the Granta Design CES Selector software database includes these environmental values. The embodied energy values (in MJ/kg) of raw materials are defined as the energy required making 1 kg of the material. Carbon footprint is defined as CO2-equivalent mass of greenhouse gases (kg CO2e) produced and released into the atmosphere as a consequence of the production of 1 kg of the material. Figure 1 shows an example of a material selection chart with embodied energy values in primary production and the material price. It can be seen that in general higher price seem to correlate almost linearly to higher embodied energy (primary production), with all material groups.

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Figure 1. Material selection chart for embodied energy and the price (Granta Design, CES Selector 2014 database).

Secondary raw materials Resource efficiency and further circular economy are ways to tackle the lack of materials in sustainable ways. Industrial processes produce significant amounts of waste, side streams and byproducts that could be used more efficiently within their own production processes or in industrial symbiosis. Many ‗pure‘ metals can be easily processed several times with traditional processes. When product complexity increases for instance in hybrid materials and hybrid structures, new combinations of elements makes traditional recycling difficult. Also impurities play an important role, as there can be traces of undesirable elements like copper in steelmaking. Because of the current complexity of the modern materials, secondary producers need to have flexible processes in order or handle many different variations. Also small batch processing may be profitable, and necessary in order to be competitive in cost with primary materials. Figure 2 presents a material chart (Granta Design, CES Selector 2014 Database) for embodied energy values for the metallic and ceramic materials and metallic-ceramic based composites when used as primary raw materials and as secondary raw materials (recycled with conventional methods). Relation of the secondary energies to primary energies is very linear for many metallic materials, and some of the composites. Most of technical ceramics and non-technical ceramics recycling data are not available in the database and that is why these materials are missing from material charts. Typically for metals secondary energy is 10-30% of the energy needed for primary production. For example embodied energy values for primary iron are, on average, 26 MJ/kg and for secondary iron 7.3 MJ/kg.

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Figure 2. Embodied energy and for primary and secondary materials for materials recyclable in database (Granta Design, CES Selector Database 2014).

Alternative processing methods examples In the following, we will discuss the methods and processes to return material back into use from waste and industrial side streams more energy efficiently and cost effectively than with conventional processing. Also, we introduce ideas of backyard factories and small scale processing that does not require major investments in facilities or equipment. This enables waste treatment and secondary raw material processing at the site of origin or near the source of the waste production. The possibilities of utilizing exothermic reactions such as aluminothermic reaction for the treatment of industrial wastes and by-products has been studied during recent years (Cao and Urro 2002) (Kallio et al. 2000) (Xanthopoulou and Vekinis 2001). Different kinds of industrial wastes like marble wastes, lead production wastes, bauxite production wastes, chromite wastes, pyrite wastes and ferrous alloys wastes have been processed with the help of exothermic reactions. Instead of typical recycling solid waste from industries and mines has been converted into low-cost products by utilizing exothermic reactions to produce catalysts, ceramic products, bricks, tiles, inorganic pigments, refractories or protective layers/coatings. Typically utilization of exothermic reactions offers an alternative to conventional furnace methods for materials synthesis (Mossino 2004) having short reaction times and possibility to form complex phases in materials or metastable phases in relatively cost efficient means. The basic principle is to exothermically reduce metallic or non-metallic oxides with a metal to form stable products. Once the starting mixture is ignited by means of external thermal sources, highly exothermic reactions propagates as a self-sustained combustion wave leading to final products progressively without requiring additional energy. The requirement for production units is less expensive and enables small-scale processing compared to the conventional pyrometallurgical melting route. In addition the raw materials can be waste based metallic and oxide systems. The materials produced with exothermic reactions are typically certain advanced ceramics, composites and intermetallic compounds like borides, carbides, nitrides, aluminides, carbonitrides and cemented carbides (Hannula et al. 2003). The method has lower external energy requirements and the whole process is completed within very short time periods in comparison with conventional processing methods, also resulting to smaller fraction of polluting emissions and having smaller impacts on the environment compared to conventional furnace methods. Similar kind of low energy waste processing technique is the geopolymer process. In geopolymerization technology (Provis and Van Deventer 2009) aluminum and silicate rich materials are activated with alkali solution and cured at slightly elevated temperature. The formed material, geopolymer (also called alkali-activated material) is a three-dimensional amorphous network consisting of repeating silicate and aluminate monomers and typically sodium in a charge-balancing role. Possible secondary raw materials for geopolymers are blast furnace slag, coal fly ash, biomass

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fly ash and mine tailings. The main application of geopolymers is the development of long lasting, durable, low carbon footprint construction materials. Conventional primary and secondary material processing energies (in logarithmic scale) are expressed in the Figure 3 and Figure 4 for metals, composites and ceramics available in databases as a function of material density. The use of secondary raw materials seems to lower considerably values of embodied energy compared with primary raw material values. The use of secondary raw materials is typically more profitable, if the material primary production is energy consuming and expensive like is the case for most of composite materials. For example commercial composite material Duralcan W6A20A-T6 which is alumina reinforced aluminium matrix metal matrix composite, the energy needed for primary production is estimated on average 1250 MJ/kg for secondary on average 40 MJ/kg. So the embodied energy needed for secondary materials is only 3% of the energy needed for primary raw material. In the case of technical and non-technical ceramics recycling energies are not available in the databases.

Figure 3. Embodied energy for primary materials as a function of density (Granta Design, CES Selector Database 2014).

Figure 4. Embodied energy for secondary materials as a function of density. (Granta Design, CES Selector Database 2014)

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For the alternative processing method discussed earlier embodied processing energies are surveyed from literature and estimated through laboratory experiments conducted in VTT Technical Research Centre of Finland (VTT). Energy consumption estimation for the exothermic reactions such as selfpropagating synthesis presented in literature ranges from 0.4 to 1.1 MJ/kg (Xanthopoulou and Vekins 2001). The conventional furnace process energy consumption is estimated between 108 and 360 MJ/kg (Xanthopoulou and Vekins 2001). This would mean that with shorter material recovery processes the energy consumption is less than 0.3 % from the conventional processes. The energy calculations have been also made in a small scale laboratory conditions in VTT. Based on these laboratory experiments energy consumption is about 1.2 MJ/kg with 100W mill power. Energy value is calculated for 3 kg batch of material, which was processed 10 hours in mechanical mill. This implies that the energy consumption is not increasing considerably within the small scale production. For geopolymer concrete, the production of the alkaline source required to activate the fly ashes is the most energy intensive component in the manufacturing process. Embodied energy values presented in literature is 0.24 MJ/kg (Ng, Voo and Foster 2012). For Portland cement embodied energy values are from 5.4 MJ/kg to 6MJ/kg (Granta Design, CES Selector database 2014). Embodied energy for geopolymer process is then 4% of primary production process. These results imply that there are huge energy saving potential in design and material processing with alternative low energy material processing methods and with the use of secondary raw materials. The savings in material processing seem to be higher with high energy consuming materials, such as metals and composites.

Towards zero energy material processing example Next we will describe an example study of material produced from waste raw materials using an alternative low energy processing method in order to find out the energy consumption of the total process and to see whether a non-energy material processing pathway is theoretically possible. The raw material is a steel industry by-product (iron oxide) and aluminium containing waste, such as recycled aluminium cans or liquid packaging boards. The product is a metal-matrix composite material with composition Al2O3-Fe, Al2O3-FeAl or Al2O3-FeCr, which is obtained through aluminothermic reactions (Lindroos and Lintunen 2011). Waste based raw materials for this composite material are mild steel production (iron-oxide based streams) slag, side streams of stainless steel production (chromium oxide containing streams) and old scrap or other ―impure‖ aluminium streams. Example of aluminothermic reaction of using Iron(III) oxide or ferric oxide and aluminum scrap is following: (1)

Fe2O3 + 2 Al = Al2O3 + Fe

In experimental procedure pre-processing of waste streams include crushing the material, mixing the raw materials in powder form in mechanical mill and initiating the aluminothermic reaction. Two reaction products will be forming composite material: reduced metallic iron phase and mainly of Al2O3 containing phase. Energy release during exothermic process is calculated with HSC Chemistry. According to these calculations exothermic aluminothermic reaction releases heat energy approximately 4 MJ/kg. Speculatively this process heat could be covered and utilized for other purposes. If it is assumed that efficiency of heat recovery could be 0.5, the positive energy gain of this aluminothermic process could be 2 MJ/kg. The total consumption or this specific process was 1.2 MJ/kg, following that material processing would lead the total positive energy release of approximately 0.8 MJ/kg if the process heat could be recovered. The result indicated non-energy material production could be thermodynamically possible if process heat is recovered at least with efficiency of 0.5.

Conclusions Understanding the sustainability of materials in the urban environment requires knowledge of impacts on human health and ecosystems, on the material cycle from cradle to cradle and on the minimum energy consumption at all stages of material life cycle. In conventional material processing methods the production related embodied energy is reduced considerably when with secondary raw materials are compared to primary production. The paper discussed in addition the effect of alternative processing methods of secondary raw materials on energy consumption. With alternative methods the energy consumption can be less than 143


1 % of the conventional methods. The case example of the exothermic processing route of composite material shows energy consumption is less than 0.3 % from the conventional processes even in small scale laboratory experiments. When the geopolymer process (also known as alkali activated process) is compared to the Portland cement process, its energy consumption is only 4% of the Portland cement process. In order to estimate how low the material production energy can be in the future, the process heat recovery of exothermic reaction was calculated. The result showed even non-energy material production could be thermodynamically possible when considering the total process with heat recovery.

References Ashby, M. 2011. Materials selection in Mechanical design. 4th edition. Elsevier. Cao, G. and Urro, R. 2002. ―Self-propagating reaction for environmental protection: state of the art and future directions‖, Chemical Engineering Journal, 87, pp.239-249. European Commission 2011, DG ENV, ―Roadmap to a resource efficient Europe, COM (2011) 571 final, 2011. Available:http://ec.europa.eu/environment/resource_efficiency/about/roadmap/index_en.htm [15 September 2014] European Commission 2014, Towards a circular economy: a zero waste programme for Europe, COM(2014) 398 final, 2014. Available: http://www.kowi.de/Portaldata/2/Resources/fp/2014-COMcircular-economy-annex.pdf [15 September 2014] European Commission, European Platform on Life Cycle Assessment 2014. Available: http://eplca.jrc.ec.europa.eu/ [15 September 2014] Hannula, S-P., Lintula, P., Lintunen, P. and Lindroos, T. 2003 ―Processing and properties of metal matrix composites synthesized by SHS‖, Materials science forum, Vol. 426 - 432, pp. 1971-1978 ISO 14040:2006. Environmental management -Life cycle assessment -Principles and framework. Kallio, M., Ruuskanen, P., Mäki, J., Pöyliö, E. and Lähteenmäki, S. 2000. ―Use of the Aluminothermic Reaction in the Treatment of Steel Industry By-Products‖, Journal of Materials Synthesis and Processing, Volume 8, Issue 2, pp 87-92. Lindroos, T. and Lintunen, P. ‖Teollisuuden sivutuotteiden hyödyntäminen suojamateriaaleissa‖ MATINE Tiivistelmäraportti. 2011/804. ISSN 1797-3457.

ballistisissa

Mossino, P. 2004. ―Some aspects in self-propagating high-temperature synthesis‖, Ceramics International, 30, pp.311–332. Ng, T.S., Voo, Y.L. and Foster S. J. 2012. ―Sustainability with Ultra-high performance and Geopolymer Concrete Construction‖ M.N. Fardis (ed.) Innovative Materials and Techniques in Concrete Construction: ACES Workshop DOI. 10.1007/978-94-007-1997-2_5, Springer Provis J.L. and Van Deventer J.S.J. 2009. ‖Geopolymers-Structure, Processing, Properties and Industrial applications‖, Woodhead Publishing Rasilainen, K., Eilu, P., Halkoaho, T., Iljina, M. & Karinen, T. 2010. Quantitative mineral resource assessment of undiscovered PGE resources in Finland. Ore Geology Reviews 38, 270–287. World Resources Forum 2014. Available: http://www.worldresourcesforum.org/ [15 September 2014] Xanthopoulou, G. and Vekinis, G. 2001. ―An overview of some environmental applications of selfpropagating high-temperature synthesis‖, Advances in Environmental Research, 5, pp.117-128

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Criticality of Resources from a Business Perspective: Extending Existing Approaches - Sandra Link, Hermann Kloberdanz, Naemi Denz Sandra Link Research Associate Technische Universität Darmstadt, Institute for Product Development and Machine Elements Darmstadt Germany

Hermann Kloberdanz Academic Advisor Technische Universität Darmstadt Institute for Product Development and Machine Elements Darmstadt Germany

Naemi Denz Head of Department VDMA - German Engineering Federation, Technical and Environmental Affairs Frankfurt Germany

Introduction Tangible and intangible resources, such as raw materials and energy, constitute the basis of our modern industrial society. Most resources are finite. Increases in price and supply bottlenecks can have far-reaching consequences for companies in mechanical engineering. Therefore, resource efficiency, which is a means of coping with these problems, plays an increasingly important role. Scarce and essential resources in particular require efficient use. To reflect this, resources are often assessed in terms of their supply risk and the impact of a potential supply restriction, which is called criticality. Several assessment approaches exist, which are often politically motivated and address the issue at a macroeconomic level. Which resources are critical for a specific company, however, remains unclear. The possibility of transferring existing macroeconomic approaches to assess the criticality of resources from a business perspective appears limited. Therefore, a systematic analysis of effects that influence the availability of resources was carried out. The identified effects demonstrate that existing approaches should be extended to assess criticality from a business perspective.

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Classification of the topic and terminology Although the issue of resource efficiency is increasingly the focus of public discussion, there is no universally valid and accepted definition. Most definitions are based on the general understanding of efficiency, i.e. the ratio of the benefits to related costs (Kosmol, et al. 2012, VDI 4800 Blatt 1 2014). Basically this definition is also used in this paper. Resource efficiency is therefore understood as the ratio of a desired benefit to the associated resource effort, as expressed in the following equation. (1) The understanding of the resource effort depends largely on the resources considered. In public debate on the topic resource efficiency, the term ‗resource‘ is usually equated with the term ‗natural resource‘. Which resources are included in an analysis is dependent on the stakeholders. The focus is usually on natural raw materials, which are often differentiated into abiotic and biotic raw materials (Bundesministerium für Umwelt Naturschutz und Reaktorsicherheit 2012). In the broader understanding, water, air, soil and biodiversity are often considered resources, in addition to raw materials (European Commission 2011). In general, a resource is seen as an input required to carry out a process (Albrecht, et al. 2012, Kosmol, et al. 2012), for example, to manufacture a drive shaft. The resource can be both tangible and intangible. In this paper, resources are further distinguished into natural and technical resources (Figure 1). Natural resources are part of the "ecosphere" (Ritthoff, Rohn & Liedtke 2002) and are objects of nature that are worth extracting and processing for human purposes (according to Lindeijer,Müller-Wenk & Steen 2002). Examples are metals, sand, wood, water, etc. Technical resources exist in the "technosphere" (Ritthoff, Rohn & Liedtke 2002). They emanate from natural resources that have been extracted from nature and were already processed by humans. They serve as input for further processes. Technical resources can be, for example, materials, semi-finished products or components. For manufacturing companies in particular, these resources are highly relevant. In their production processes, they seldom use natural raw materials directly. Usually they use predominantly technical resources, such as semi-finished products. This is illustrated by the example of manufacturing a drive shaft. The drive shaft is made of a solid bar instead of iron ore (Figure 1).

Figure 1: Classification of resources as an input for a process, e.g. to manufacture a drive shaft For a holistic view of resource efficiency, examining the amount of natural and technical resources used is consequently not sufficient. In addition, criticality has to be considered to assess the resource effort (Equation 1). Criticality is defined by the supply risk and the impact of a supply bottleneck on a stakeholder. The more critical a resource, the more its efficient use is relevant, though not using the resource would be even better. Companies that identify their critical resources and reduce their use can successfully manage the economic risks and even achieve direct economic benefits. At the same time, no assessment approach for criticality is available. Especially Small and Mediumsized Enterprises (SMEs) face a big challenge if they want to assess their products for critical resources. In industrial practice it is often unclear when a resource is classified as critical and what measures can be taken to reduce this criticality. In this paper, the focus is on the company-specific aspects of technical resource consideration.

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Existing approaches to assess resources for criticality There is a growing number of studies that examine resources for their criticality from the perspectives of global, national and corporate levels. It has been acknowledged that these organizational levels require different assessment criteria (Graedel, et al. 2012a). The importance of a resource is particularly dependent on the relevant stakeholder. Another difference between the corporate level and the macroeconomic level is the time horizon. While companies are more likely to view the current status and immediate future, the time scale considered at national and global levels is often significantly longer (Graedel, et al. 2012b). In the following section, a short overview of the existing macroeconomic and company-specific approaches is given. Assessment from a macroeconomic perspective There are many macroeconomic studies that assess resources for their criticality. The studies are often politically motivated and identify critical resources for national economies, e.g. the USA (National Research Council 2007), the EU (European Commission 2010, Moss, et al. 2011) and Germany (Erdmann, Behrendt & Feil 2011). Usually their focus is on metals and minerals that have been selected in a previous screening for their importance and their rarity. The existing approaches often have similarities in the criteria used. The assessment of the criticality of raw materials is based on aspects such as geological availability, accessibility, political stability of producing countries, recycling, supply concentration and substitutability. Depending on the study and data availability, these aspects are measured quantitatively or qualitatively. Resource criticality is characterized by high dynamics. While the availability of a resource can be good one day, it is possible that the resource can become scarce within a short time, for example, because of a ban on exports. Previous studies usually rank raw materials based on the situation at the time of the investigation. Some also forecast future developments. In contrast, approaches for dynamic collection of data are rare (Glöser, Faulstich 2014). Assessment results for criticality are provided in different forms. The raw materials are often arranged in a matrix, with the dimensions ‗supply risk‘ and ‗economic importance‘ (e.g. National Research Council 2007). However, there are also other possibilities. There are, for example, studies that aggregate all values into a single indicator for criticality (e.g. Schneider, et al. 2013) or divide the resources into classes for the overall risk, such as high, middle, low (e.g. Moss, et al. 2011). Although many existing approaches have some common features in the criteria taken into account, there are clear differences, which are also reflected in the assessment results. Currently, there is no uniform, generally accepted macroeconomic assessment approach. Publications that compare existing approaches in detail are recommended for further reading on this topic (e.g. Achzet, Helbig 2013, Erdmann, Graedel 2011, Häußler 2012, UK Energy Research Centre 2013). Assessment from a business perspective Due to the difference in objectives and perspectives of today‘s widespread, macroeconomic-based criticality assessments, these prevailing approaches seem to be unsuitable for the use of companies because company-specific aspects are not sufficiently taken into account. That is why, in addition to the macroeconomic-based studies, there are also a few studies on individual companies (e.g. Duclos, Otto & Konitzer 2010, Graedel, et al. 2012a, Lloyd, et al. 2011, Rosenau-Tornow, et al. 2009). The following are some similarities and differences of these studies compared to the macroeconomic approaches. More detailed comparisons can be found in literature. The existing company-level studies are usually limited to considering metals and minerals, which is identical to macroeconomic approaches. In Duclos et al., a preliminary selection of the raw materials before criticality assessment is conducted. The most important raw materials for the company are identified based on their annual value (Duclos, Otto & Konitzer 2010). The company-specific approaches differ to some extent in their focus. While some studies assess the resources for the entire company (e.g. Duclos, Otto & Konitzer 2010), others analyze specific products (e.g. Lloyd, et al. 2011). A commonality of the studies at different organizational levels is the consideration of supply risk and importance of a resource as the two dimensions of criticality. Concerning the assessment of supply risk, the company level approaches come to similar results as the macroeconomic-based approaches. 147


The aspects considered in both cases are quite similar, for example, geological availability, accessibility and supply concentration. However, due to differences in the importance of a resource to a national economy compared to a company, different evaluation criteria are needed. In the assessment approaches, company-specific criteria for vulnerability are taken into account. A selection of these is outlined below. Duclos et al. assess the impact of resource restrictions on General Electric Company (GE) based on four criteria: GE‘s percent of world supply, impact on GE‘s revenue, ability to pass through cost increases, and ability to substitute the resource (Duclos,Otto & Konitzer 2010). The first criterion considers the ratio of the resource‘s annual mass that is needed to produce GE‘s products compared to the global refined mass. The impact on GE‘s revenue is indicated by the resulting loss of income in the case of not producing the products that contain the unavailable resource. If a rise in prices of a resource is passed to GE‘s customers automatically, the resource is considered to exhibit very low criticality. While the macroeconomic approaches consider the substitutability of a resource at a general level and thus can only make across-the-board statements, the company-specific approaches can do more individualized assessments. The GE approach evaluates both GE‘s capability to replace a critical resource and the timescale needed to develop a new substitute if no alternative resource is available. Graedel et al. includes the substitutability of a resource, but in even more detail. The selected substitute for the resource is assessed for its performance, availability and environmental impact as well as price in proportion to the previous resource. This study also distinguishes whether the resource is contained in strategically important products. In addition, the general innovativeness of the company is estimated to take into account that companies can adapt to a supply restriction at different rates (Graedel, et al. 2012b). The valuation method of Lloyd et al. assesses the importance of the resource based on only one criterion, namely costs, which are to be expected in the event of a price increase. For this purpose, the historical price volatility is analyzed and multiplied by the fraction of the cost of the resource (Lloyd, et al. 2011).

Figure 2: Criteria frequently used to assess criticality from macroeconomic and business perspective As discussed above, there is an intersection between existing criticality assessment approaches from macroeconomic and business perspectives concerning supply risk. To evaluate vulnerability to supply restriction the studies access different criteria, depending strongly on perspective. All assessment approaches have in common that they consider only natural resources, focusing on metals and minerals, disregarding the evaluation of technical resources, as defined in this paper (Figure 2). The analyzed risks relate especially to the mining and export of raw materials but move away from risks in larger production chains.

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Extended consideration of resource criticality from a business perspective To identify the resources critical to a company, the existing approaches are not yet sufficiently differentiated and have to be extended and related to different aspects. In addition to the usual consideration of raw materials, further differentiation, e.g. concerning the needed quality, can be needed to assess the criticality. Regarding sand, this is not seen in general as a scare resource. However, in a special use case, e.g. production of concrete for buildings, the available amount of sand in the needed grain size can be quite limited. Because existing approaches are limited to natural resources, many effects that influence criticality of resources from a business perspective are disregarded. For this reason, a systematic analysis was conducted to identify the effects that lead to a supply risk for companies. First of all, it is essential to consider the whole product lifecycle. The lifecycle of a product can be divided into several phases: material provision, production, product use and disposal. In the material provision phase, the starting materials of an enterprise are provided. As part of this lifecycle phase, the sub-phases raw material extraction, production of technical materials, semi-finished products and components are usually present (Figure 3).

Figure 3: Product Lifecycle (supplemented according to Birkhofer,Rath & Zhao 2012) Analyzing the potential bottlenecks in the whole product lifecycle, it is noticeable that the effects repeat for the different levels (raw material, material, semi-finished product, component, etc.). Influences can be categorised into three groups: regarded resources resp. needed starting material, process and recycling. A choice of effects is shown in Figure 4. In the following, the categories are explained briefly.

Figure 4: Choice of effects that can influence the availability of resources The first category directly affects the regarded resources or the needed starting material. Because the effects for both are quite similar, they were merged into one category. Shortage can be, for example, 149


relevant because the resource needed is not local. From this point of view, sand and grit can be problematic because they are not always local. Transporting a great amount of sand, however, is very cost-intensive (Prammer 2014). Furthermore, natural disasters or accidents can cause temporary scarcity of resources. The ash cloud caused by the volcanic eruption of the Icelandic Vulcan Eyjafjallajoküll in 2010 is an example of this. The ash cloud interrupted air traffic for several days. Because of the dependency of the supply chain on transport infrastructure these kinds of natural disasters can be highly relevant to supply security (Fuchs 2011). The second category includes the effects that cause a bottleneck in the process of providing a resource. Another natural disaster is an example: The consequence of the earthquake in Japan in March 2011 was that the supply chains of many companies were disconnected. Many production processes were stopped. The consequences were large, for example, the artificial resin that is needed to stick microchips in cell phones could not be sourced. Around 90 % of the worldwide production of artificial resin was temporary disrupted (Fink 2011). Scarcity can also be caused by a rapidly growing demand for resources, as can be observed in the solar panel manufacturing sector. Poly-silicon is needed to manufacture solar panels. While the industry grew extremely rapidly the demand rose enormously. The production of this material was not able to keep up with the demand. Consequently, there was a bottleneck in production of poly-silicon and material prices increased (Buijs, Sievers 2012). As shown in the examples discussed, the effects which lead to a supply risk are not always at a raw material level, but can be at a later point in the value chain. Recycling is an important strategy to reduce scarcity of resources. Ideally, it is possible to reuse the whole product or a component after only a little processing, extracting the technical resource at a point of high value in the chain. This is frequently done, for example, for automotive alternators. After a little processing, they can be used in another product again. Also in recycling processes, there can be identified effects that influence the bottlenecks in recycling. These effects are included in the third category. A common challenge is access to the resources after product life. A popular example is the cell phone. The collection of these products is very hard, because many people have their old ones at home. As a consequence, these resources are not accessible.

Conclusion and outlook An increasing number of studies assess the criticality of resources. Depending on the stakeholders, different assessment approaches are needed, which may differ, for example, in terms of the criteria taken into account. Analyses of the effects that can lead to resource bottlenecks have shown that bottlenecks can occur at various points in the value chain. A purely raw material-based view of criticality is not sufficient to evaluate the supply risk and the importance of resources from a business perspective. Existing company-specific approaches, however, neglect technical resources though they are highly relevant to manufacturing companies. The existing common approaches are consequently not suitable to assess how critical a particular resource is to a company. Therefore, an advanced assessment approach must be developed that takes the company-specific aspects more into account. A difficulty within this assessment of critical technical resources will be that companies often do not know the exact ingredients of their purchased parts, e.g. a battery. These characteristics have to be taken into account in the extended approach. Such an assessment approach is needed to analyze critical resources required for products and enables companies to identify supply bottlenecks at an early stage, implementing adequate measures.

References Achzet, B. & Helbig, C. 2013, "How to evaluate raw material supply risks—an overview", Resources Policy, vol. 38, no. 4, pp. 435-447. Albrecht, S., et al. 2012, "Ressourceneffizienzpotenziale von Innovationen in rohstoffnahen Produktionsprozessen", Chemie Ingenieur Technik, vol. 84, no. 10, pp. 1651-1665.

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Birkhofer, H., Rath, K. & Zhao, S. 2012, "Umweltgerechtes Konstruieren" in Handbuch Konstruktion, eds. F. Rieg & R. Steinhilper, Carl Hanser Verlag GmbH & CO. KG, München Wien, pp. 1218. Buijs, B. & Sievers, H. 2012, "Critical Thinking about Critical Minerals: Assessing risks related to resource security", POLINARES working paper n. 33. Bundesministerium für Umwelt Naturschutz und Reaktorsicherheit (ed) 2012, "Deutsches Ressourceneffizienzprogramm (ProgRess). Programm zur nachhaltigen Nutzung und zum Schutz der natürlichen Ressourcen", Bundesministerium für Umwelt, Naturschutz und Reaktorsicherheit. Duclos, S.J., Otto, J.P. & Konitzer, D.G. 2010, "Design in an era of constrained resources", Mechanical engineering, vol. 132, no. 9, pp. 36-40. Erdmann, L., Behrendt, S. & Feil, M. 2011, "Kritische Rohstoffe für Deutschland. Abschlussbericht", Berlin. Erdmann, L. & Graedel, T.E. 2011, "Criticality of non-fuel minerals: a review of major approaches and analyses", Environmental science & technology, vol. 45, no. 18, pp. 7620-7630. European Commission 2010, "Critical raw materials for the EU", Report of the Ad-hoc Working Group on defining critical raw materials, Brüssel. European Commission 2011, "A resource-efficient Europe – Flagship initiative under the Europe 2020 Strategy", Brüssel. Fink, P.-C. 2011, 06.10.2011 -last update, Globale Lieferketten - Irgendwo auf der Welt, Available: http://www.zeit.de/2011/41/Globale-Lieferketten [06.08.2014]. Fuchs, M. 2011, "Risiken weltweiter Wertschöpfungsketten: Maßnahmen und Lernprozesse in deutschen Metallunternehmen nach der Katastrophe in Japan im März 2011", Köln. Glöser, S. & Faulstich, M. 2014, "Analyse kritischer Rohstoffe durch Methoden der multivariaten Statistik", 3. Symposium Rohstoffeffizienz und Rohstoffinnovationen, eds. U. Teipel & A. Reller, Fraunhofer Verlag, Nürnberg. Graedel, T., et al. 2012a, "Methodology of Metal Criticality Determination", Environmental science & technology, vol. 46, no. 2, pp. 1063-1070. Graedel, T.E., et al. 2012b, "Methodology of Metal Criticality Determination. Supporting Information", Environmental science & technology, vol. 46, no. 2. Häußler, J.M., Stormy-Annika 2012, "Risiko Rohstoffversorgung - Die Bestimmung kritischer Metalle und Mineralien in den USA, der EU und Deutschland in Studien und Zeitschriften der Jahre 20072012", SWP-Zeitschriftenschau. Kosmol, J., et al. 2012, "Glossar zum Ressourcenschutz", Umweltbundesamt, Dessau-Roßlau. Lindeijer, E., Müller-Wenk, R. & Steen, B. 2002, "Impact assessment of resources and land use", Life cycle impact assessment: Striving towards best practice., ed. H.A.U. de Haes, SETAC Press, Pensacola, Florida. Lloyd, S., et al. 2011, "Ecodesign through Environmental Risk Management: A Focus on Critical Materials", Design for Innovative Value Towards a Sustainable Society, Springer, pp. 374-379. Moss, R.L., et al. 2011, "Critical Metals in Strategic Energy Technologies", JRC-Scientific and Strategic Reports, Petten. National Research Council 2007, "Minerals, Critical Minerals, and the U.S. Economy", Washington, D.C. Prammer, H.K. (ed) 2014, "Ressourceneffizientes Wirtschaften. Management der Materialflüsse als Herausforderung für Politik und Unternehmen", Springer Gabler, Wiesbaden. Ritthoff, M., Rohn, H. & Liedtke, C. 2002, "Calculating MIPS: Resource productivity of products and services", Wuppertal Institut for Climate Environment and Energy, Wuppertal. Rosenau-Tornow, D., et al. 2009, "Assessing the long-term supply risks for mineral raw materials - a combined evaluation of past and future trends", Resources Policy, vol. 34, no. 4, pp. 161-175.

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Cleanweb: How ICT Creates Environmental, User, and Market Value - Oriol Pascual Moya-Angeler Oriol Pascual Moya-Angeler Business Developer Oriolpascual.com Barcelona Spain

1. Background Distributed, network-based solutions have taken over many aspects of our lives; from how we shop, to how we access to education and how we manage our finances (Castells 1996). The spread of ubiquitous computing, together with the commoditization of Information and Communication Technologies (ICT) has also influenced the way we deal with sustainability-related issues. This is reflected with the emergence of ICT for Sustainability (ICT4S), a fairly recent interdisciplinary field of research that refers to the use of information technologies with a sustainability purpose (Hilty et al. 2011). However, when reviewing present literature, it becomes evident that existing ICT4S research and conceptual frameworks mainly focus on the development of ICT applications to process environmental data (Radermacher et al. 1994, Hilty et al. 1995), as well as on the direct and indirect impact of ICT on the environment (Hilty 2008, Murugesan 2008). A somewhat less researched area, although increasingly relevant, refers to the use of ICT to influence user behaviors and their lifestyles (Blevis 2007, Zapico et al. 2013). This means that most academic research in this field has a strong focus on the technical dimension of sustainability and that less attention is paid to the societal dimension (user-oriented). Moreover, the current conversations on ICT4S are largely overlooking the market and business dimension; i.e. how ICT4S is used to develop products and services that create and capture market value, leading as result to a wide adoption that creates a positive impact on the environment. Cleanweb connects these three dimensions: technology, user, and market.

2. Cleanweb: Technology, Users, and Market The answer to the underserved market and business dimensions might come from a new breed of ICT4S products and services in the form of web and mobile applications that not only create environmental value, but also user and business value. We call the phenomenon clustering these environmentally oriented digital solutions; Cleanweb. The term Cleanweb was coined by Sunil Paul on a post published on his personal blog in early 2011. The term gained wider recognition after the publication of an article by S. Paul and N. Allen at MIT Technology Review entitled ―Inventing the Cleanweb‖ (Paul 2012). Here, Cleanweb is defined as ―a form of Cleantech that builds on the use of the Internet and mobile communications to alter how we consume resources, relate to the world, interact with each other, and pursue economic growth‖. The following examples might help to better illustrate this phenomenon. The first example is MetroMile, an On-board Diagnostics Bluetooth tool (OBDII) that provides communication between a car‘s computer and a mobile application on user‘s cell phone. The application provides tips and suggestions to improve fuel efficiency based on a driver‘s behavior. The second example is Dropcountr, which connects water utilities with their customers through a mobile application that engages customers to save water through data visualization, game dynamics, and social interactions. Last example is SparkFund, a US-based company connecting individual investors to high-quality energy efficiency projects through an online crowdfunding platform. Investors receive their money back with interests, and the borrower upgrades their property, saving resources and money. These examples show how ICT is used to create environmental, user and market value. 153


Cleanweb is a rapidly growing phenomenon: some 2.000 Cleanweb companies exists (Townsend 2014), 25% of 2013 Cleantech investments were to Cleanweb companies (Maag 2014), and large corporations are getting interested in the phenomenon (i.e. in February 2014 Google acquired Cleanweb company Nest Labs for $3.2B) Yet, the discussion and developments about Cleanweb have been mainly taking place among practitioners; software developers, entrepreneurs, investors, and corporations. Academia is not yet taking part on the discussion. With this paper the author aims to build a bridge between two existing frameworks: the Cleanweb framework lead by practitioners, and ICT4S frameworks lead by the academics community. For this, a research has been conducted in order to outline the grounding floor for further discussion and development.

3. Methodology The goal of this paper is threefold: first, to understand the current state-of-art of Cleanweb; second, to develop the conceptual framework of Cleanweb beyond the existing definition; and third, to link existing ICT4S frameworks and the emerging Cleanweb framework. To do so, the author‘s knowledge on industrial practices is combined with an analysis of 132 cleanweb companies from sixteen different countries. The analyzed companies belong to an open Cleanweb company database that has been built in a collaborative manner. This was done between November 2013 and February 2014 by an international group of individuals that contributed by adding and editing entries. The database is available at http://oriol.me/cleanweb. The companies researched for this paper had to fulfill two main criteria: their offering leads to improved resource efficiency, and ICT is an essential component to provide such offering. Each selected company was then individually analyzed based on the information disclosed on their website, with the goal of gaining a deeper understanding of Cleanweb as a phenomenon, and positioning this phenomenon in relation to other fields of research. Furthermore, each company was analyzed based on two aspects: the application area (e.g. energy, mobility), and the geographical origin. The results of this research are available at section four, and analysis of findings is presented in section five, which is structured in four sub-sections. First, the characteristic elements of a cleanweb company are reviewed. Then, the origins of Cleanweb are defined. Next, it is argued that Cleanweb can be considered as a Cleantech subcategory. What follows is a description of how Cleanweb creates environmental, user, and market value. And finally, it is argued that the previously mentioned characteristics conform to the basis of Cleanweb as a new ICT4S framework that deserves more attention.

4. Results Out of the estimated 2.000 existing Cleanweb companies (Townsend 2014), 132 have been researched here, representing 6.6% of the total estimated population. This is a representative sample of companies that have ICT as core to their solution and which main aim is to improve resource efficiency. Out of 132 companies, three main categories of Cleanweb solutions have been identified (Figure 1): energy related (71 companies; 53.79%), mobility related (37 companies; 28.03%), and water related (7 companies; 5.3%). Other categories include: environmental data (6 companies; 4.55%), engagement platforms (3 companies; 2.27%), and ―other‖ (8 companies; 6.06%). A common sub-category for the energy, water and mobility categories is what has been defined as ―dashboard applications‖: the provision of consumption and/or usage data on a structured manner with the aim to improve resource efficiency. Other energy sub-categories also include: engagement platforms, connected home, building management, solar solutions, and financing solutions. In the case of mobility, sub-categories include: shared mobility, infrastructure, and parking management. When looking at the geographical origins of such Cleanweb solutions (Figure 2), United States noticeably leads with 46.88% of all the companies researched. Next on the list is Germany (17.19%), followed by United Kingdom (10.94%), Belgium (8.59%), and Spain (5.47%). At the lower end, contributing with less than 2% of the total sample each, we find Australia, Canada, Honk Kong, Switzerland, Finland, France, Mexico, The Netherlands, Norway, Sweden, and Thailand. The results of the geographical distribution of Cleanweb companies are influenced by the geographical

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representation of the collaborators of the open database, which may not be evenly distributed. Therefore the results of the geographical distribution may be only partially representative.

Figure. 2: Country of origin

Figure. 1: Cleanweb categories

Cleanweb is still in its infancy, though quickly evolving. Environmental, and business opportunities await on the utilization of ICT for improved resource efficiency. Next sections define the pillars where the Cleanweb is built upon, and aims to bring some light concerning these opportunities.

5. Findings 5.1. Characteristics of a Cleanweb Company Based on the findings of this research, the author argues that Cleanweb solutions are built upon four key elements: ICT is at the core of the solution, they have a focus on resources, they are market-oriented, and aim for scalability: 

ICT is core to the solution: ICT and network-based technologies are key for the solution to provide environmental and/or business value. This might involve the combination of sensors, web and mobile applications, and big data amongst others;



Focus on resources: Cleanweb companies address resource-related issues, including energy, water, air, land, materials, and food, amongst others. This might be done by helping consume resources more efficiently, making environmental data meaningful, and/or by creating financing models that increase adoption of cleantech;



Market-oriented: Cleanweb companies have a clear business model where value is created and captured. Cleanweb solutions create most impact when they take the form of a company that has at its core the aim to improve resource efficiency by developing ICT-based solutions;



Ambition for scalability: scalability is intrinsic to Cleanweb due to the inherent characteristics of software-based solutions. This, combined with the market-oriented nature of Cleanweb has the potential to generate large positive environmental impact though the deployment of such solutions.

Concluding from these findings, the author suggests a refined definition of Cleanweb: ―Cleanweb entails business solutions in the form of web and mobile applications that capitalize on the potential of network-based technologies to engage consumers in making a better use of resources, improve environmental performance, and disrupt traditional cleantech financing models.‖

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5.2. Framing the Cleanweb The origins of Cleanweb are better defined by the intersection of three different phenomenon that are also represented in the above suggested definition: clean technologies (Cleantech), the Internet of Things (IoT), and Collaborative Consumption (Figure 3). Cleantech refers to technological solutions delivering specific functionality consuming fewer resources and causing less environmental damage than alternative means with which it is economically competitive (Clift 1995). The Internet of Things refers to the pervasive presence of objects – such as sensors, RFID tags, actuators, mobile phones, etc. – which are able to interact with each other and cooperate with their neighboring objects to reach a common goal (Atzori et al. 2010). Collaborative Consumption is a class of economic arrangement in which participants share access to products or services, rather than having individual ownership (Botsman 2010). Cleanweb combines the resource efficiency focus of Cleantech, the network and data approach of IoT, and the market disruption of Collaborative Consumption. Most notably, Cleanweb‘s contribution to sustainability is in its ability to create value for the environment, the user, and the economy. This is done by balancing technology, with market and business dimensions.

Figure.3: Framing the Cleanweb Cleanweb is already playing a capital role within the Smart City phenomenon. Cities are by definition very efficient organizations since desnity allows efficiently using and managing resources. Moreover, ICT is helping cities to become even more efficient by the deployment of cheap sensors that allow us to analyze data and make decisions on real time. As result, efficiency is improved in cities for aspects like mobility, energy, water, and pollution. Cleanweb business solutions are key to further developments of the Smart City movement. Ultimately, Cleanweb uses technology to reduce environmental burden and therefore shares the underlying foundations of Cleantech solutions. It is for this reason that it can be considered a Cleantech category. Moreover, Cleanweb solutions have enough particularities to be considered as a category in its own right. As a result, it can be argued that Cleanweb is a Cleantech subcategory. While both concepts share some characteristics (i.e. technology is the means, and the ends are to deliver economic and environmental benefits), Cleanweb has distinctive advantages when compared with traditional Cleantech. 5.3. Advantages of Cleanweb vs. Cleantech Cleantech has been traditionally characterized by a focus on fundamental technological developments (mainly hardware), which is capital intensive, requires long development periods, and its market feasibility is highly dependent on legislative frameworks (O‘Rourke 2009). Whereas, Cleantech comprises the above-described characteristics, Cleanweb is characterized by quick and agile development, that is capital light, low-risk, and highly scalable. All those are advantages of Cleanweb in relation to traditional Cleantech: 

Agile development: Most Cleanweb solutions are based on software which allows to validate, test,and improve the solution in short-term cycles, especially when compared to traditional cleantech;

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  

Capital light: Especially in its initial phases, Cleanweb solutions can be bootstrapped and require light investments. This is attractive to investors who are shifting away from capital intensive Cleantech investments (Lesser 2013); Low-risk: The combination of the previous two advantages leads to a lower-risk business activity when compared with traditional Cleantech; Scalability: Cleanweb solutions are highly scalable and can easily adapt to increased demand while multiplying its resource-focus purpose, at low marginal costs.

The combination of these characteristics and advantages, makes Cleanweb unique in the way it creates value for the environment, users, and the market. 5.4. Cleanweb and Value Cleanweb solutions capitalize on the power of network-based technologies to create value by: a) Helping consume resources more efficiently; b) Making environmental data meaningful; c) Disrupting cleantech financing models. a. Helping consume resources more efficiently The ultimate goal of Cleanweb companies is to help users, citizens, and other companies to make a more efficient use of resources. This is typically done by providing data about a given aspect, such as energy, water, or fuel consumption, and associating this data with other relevant factors for users such as costs. An example of this is Opower, an American startup that creates value both for utilities and its clients, and at the same time helps reduce energy consumption using social behavioral science. Together with their utility bill, customers receive a simple report from Opower benchmarking their energy consumption and related costs, in relation to average customers living in houses of similar characteristics. This triggers most consumers to improve their performance and take actions to fall on the average, and/or most efficient customer category. Opower works as customer engagement tool for utilities (showing that care for their customers) and creates value for energy users that for first time have a driver to improve their energy efficiency. Opower helps consumers consume resources more efficiently. b. Making environmental data meaningful Traditionally, environmental data has been difficult to understand by average consumers with a nontechnical background (Pascual 2006). Performance based on International System of Units rarely leads to action, amongst other reasons because the link to personal benefit is unclear. Cleanweb companies are changing this by visualizing environmental data in ways that is understandable for people without any specific technical knowledge, and by linking this performance to direct user benefits. The example of Changers.com better explains this. Changers is a Berlin-based startup offering a portable solar charger for gadgets with a social network layer. A flexible solar panel charges an auxiliary battery pack that tracks the clean, renewable energy produced and uploads the data to a personal profile online. Game dynamics and social network elements motivate users to keep producing renewable energy. Moreover, each Wh of clean energy produced is equivalent to a unit of a virtual currency (ReCoin) that can be used at a marketplace to acquire sustainable products and services. Changers makes environmental data meaningful to users, and rewards sustainable behavior. c. Disrupting cleantech financing models ICT has brought a number of opportunities for proponents of a given initiative to connect with a large number of individuals to finance the development of such initiative. This is known as crowdfunding (Schwienbacher 2010) and it is possible thanks to the connectivity potential of the Internet. Crowdfunding is disrupting traditional Cleantech financing models, for instance in relation to renewable energy projects. An example of this is Mosaic, which connects small investors with high-quality renewable energy projects that provide a fix return on investment. Typical renewable energy projects require large investments that only established accredited investors can have access to. As result, deployment of renewable energy projects has been limited to the availability of capital

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and interest from such investors. Mosaic takes advantage of the Internet to connect hundreds of small investors in search of a return of investment, while helping deploy renewable energy technologies. With this model, Mosaic is disrupting traditional cleantech financing and democratizes investments in renewable energy projects. So far, the environment has been a burden for business. The challenge has been to reduce that burden and, in exceptional circumstances, achieve a situation where both the environmental and business dimension benefit. Cleanweb products and services are by definition win-win-win solutions (Elikngton 1994) creating value for the environment, consumers, and businesses. This is new in the environmental arena.

6. Conclusions and Next Steps In this paper we have introduced Cleanweb, a new framework that capitalizes on the characteristics of ICT to develop business solutions that aim to improve resource efficiency. This framework is characterized by the creation of value for the three dimensions of sustainability: environmental, societal (users), and economic. It has been the goal of this paper to link this framework to the existing ICT4S frameworks with the goal to build bridges between the more academic and technically oriented ICT4S community, and the more user and market oriented Cleanweb community. Upcoming research will define six business models by which ICT is creating and capturing market value. Early results show that opportunities await in this area for software entrepreneurs, investors and corporations. A preview is available at http://oriolpascual.com/cleanweb

References M. Castells. ―The Rise of the Network Society‖. The Information Age: Economy, Society, and Culture. Volume I. Blackwell Publishers, 1996 L.M. Hilty, L. Wolfgang, and E. Huang. field". POLITEIA 27.104 (2011): 13-28.

"Sustainability and ICT—an

overview

of

the

F.J. Radermacher, W.F. Riekert, B. Page, and L.M. Hilty. ―Trends in environmental information processing‖. FAW, 1994. L.M. Hilty, B. Page, and F.J. Radermacher. "Environmental informatics as a new discipline of applied computer science." Environmental Informatics. Springer Netherlands, 1995. 1-11. L.M. Hilty. ―Information technology and sustainability: Essays on the relationship between ICT and sustainable development‖. BoD–Books on Demand, 2008. S. Murugesan. "Harnessing green IT: Principles and practices". IT professional 10.1 (2008): 24-33. E. Blevis. "Sustainable interaction design: invention & disposal, renewal & reuse". Proceedings of the SIGCHI conference on Human factors in computing systems. ACM, 2007. J.L. Zapico, N. Brandt, and M. Turpeinen. "Environmental metrics" Journal of Industrial Ecology 14.5 (2010): 703-706. J.L. Zapico. "Hacking for sustainability". Doctoral Thesis in Media Technology and Graphic Arts, Draft for final seminar, 7th March 2013. Stockholm, Sweden. 1-122, 2013. S. Paul, and N. Allen. "Inventing the Cleanweb". MIT Technology Review 116.3 (2012): 74-75. J. H. Townsend. ―Web for Sustainability, Tackling Environmental Complexity with Scale‖. ICT for Sustainability (ICT4S 2014), Stockholm, Sweden, 2014. C. Maag. ―Cleanweb Companies Attract Big Data and Bog Money‖. http://cleantechiq.com/2013/06/cleanweb-companies-attract-big-data-and-big-money June 7, 2013 [February 1, 2014].

Internet:

R. Clift. "Clean technology—an introduction". Journal of Chemical Technology and Biotechnology 62.4 (1995): 321-326. L. Atzori, A. Iera, and G. Morabito. "The Internet of things: a survey." Computer networks 54.15 (2010): 2787-2805. R. Botsman, and R. Rogers. ―What's Mine Is Yours: The Rise of Collaborative Consumption‖. New York: Harper Business, 2010. A.R. O'Rourke. ―The emergence of cleantech‖. PhD Thesis, Yale University, 2009.

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A. Lesser. "What the internet of things means for cleantech". Giga Omni Media 2013 O. Pascual, and A. L. N. Stevels. "Maximizing profitability with ecovalue". Proceedings of Eco Design 2006 Asia Pacific Symposium, Tokyo, NPO EcoDesign Promotion Network. 2006. A. Schwienbacher, and B. Larralde. "Crowd funding of small entrepreneurial ventures". SSRN Electronic Journal (2010). J. Elkington. "Towards the suitable corporation: win-win-win business strategies for sustainable development". California management review 36.2 (1994): 90-100.

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R20 And The Green Growth Best Practice Report - Christophe Nuttall Christophe Nuttall, Executive Director R20 Regions of Climate Action Geneva Switzerland

Summary The ‗green growth‘ concept has gained international support as a way to reconcile the need for ongoing economic growth with the imperative of staying within environmental limits and maintaining healthy ecosystems (OECD, 2013; UNEP, 2011; World Bank, 2012; and UNESCAP, 2012). Green Growth in Practice: Lessons from Country Experiences is the first comprehensive global assessment of lessons from green growth programs across all levels of government and all regions. Published by the Global Green Growth Institute, this report provides a rich analysis of nine key elements of effective green growth planning, analysis implementation and monitoring approaches. The analysis is drawn from a review of more than 60 green growth programs around the world, and involved over 75 authors. The R20 Executive Director, Dr. Christophe Nuttall and Tadashi Matsumoto of the OECD, wrote the chapter entitled, ―Integrating Subnational Action‖, together with several co-authors. The chapter focused on two key areas:  

Enabling subnational actions – what approaches effectively enable green growth at the subnational level and across different layers of government? Integrating national and subnational actions – what practices are most effective for integrating national and subnational green growth actions?

Based on literature review and case studies, the key lessons of the chapter were identified and grouped under 4 themes: 

Incentives Eg Financial Offering funding for programs and other types of incentives can help overcome the lack of resources that prevents subnational governments from delivering on green growth objectives.



Capacity building Eg Facilitate peer learning. Sharing of experiences among officials from subnational governments provides inspiration, raises awareness, and enhances the diffusion of good practices.



Joint action Eg Engage subnational governments in the development of new investment opportunities. This helps local authorities to see the economic value of adopting green growth strategies. It also helps secure buy-in from political, business, and community leaders and builds capacity to finance and deliver green investments.



Communication Eg Create a mechanism to feedback subnational successes into national policies and initiatives for scaling up. Create a mechanism to facilitate lesson drawing and transfer of insights on good practice from subnational actions to national policies and initiatives for scaling up of good practice across the country.

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The chapter identified several examples that showcase innovation for building the green economy at the subnational level, and how R20 is at the forefront of this effort. Case 1: Innovation in capacity building by connecting the right actors: Subnational governments may lack technical expertise. Capacity building has therefore been identified as a key measure for enabling green growth. Catalyzing green growth means mobilizing much larger flows of private investment sources such as sovereign wealth funds, equity investors and banks, as well as international financial institutions. Subnational governments are seeking to enable this flow through supportive political decisions, co-funding, and new approaches such as those led by the R20 – Regions of Climate Action – to overcome barriers to investment by bringing together the three key actors for subnational green growth: 1) subnational decision makers, 2) private sector technology providers and 3) investors. Case 2: Innovation in financial incentives for subnational green growth: Lack of financial resources in subnational governments is frequently cited as a reason that prevents them from delivering policies, programs, and regulations to support green growth, especially the implementation of infrastructure projects. In order for investors to invest in infrastructure projects, they first need to see that the projects are bankable; this requires a feasibility study. There is currently a lack of funding for conducting the infrastructure feasibility studies needed to attract investors at subnational level. To address this gap, the R20 and the United Nations Office for Project Services (UNOPS) have launched a Pre-Investment Facility (PIF) to help subnational governments to carry out feasibility studies on renewable energy and energy efficiency projects, and design portfolios of bankable projects to attract both public and private investors (R20, 2013 and UNOPS, 2013 websites). Case 3: Innovative platform to take subnational success to national level The Carbonn Cities Climate Registry is one of the biggest subnational reporting platforms for greenhouse gas (GHG) emission reductions and other subnational actions for green growth. The Carbonn platform is managed by ICLEI – Local Governments for Sustainability. Both ICLEI and R20 are convinced that many aspects of climate change and green growth can effectively be tackled at the sub-national level, and have therefore partnered up to ensure that subnational actions on climate change are acknowledged on a global political scale through efficient measuring, reporting and verification (MRV) of these actions. Through MRV, subnational governments will be able to contribute to GHG commitments at national levels. The Carbonn platform was originally designed for cities, but now accepts data from states, provinces and regions, and will thereby allow some of R20's most active members to report their data and be recognised, along with other subnational governments, in important international agreements on climate change. To this end, ICLEI and R20 plan to promote results of the upgraded registry at important events such as the UNFCCC COP20 and COP21. Beyond these events, both ICLEI and R20 hope to see sub-national reporting lead to long-term benefits on climate change mitigation, adaptation and green growth.

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Design for Resource Effectiveness: Developing Sustainability Considerations for Small Household Appliances - Dilruba Oğur, Çağla Doğan Dilruba Oğur PhD Student Middle East Technical University Department of Industrial Design Ankara Turkey

Çağla Doğan Assistant Professor Middle East Technical University Department of Industrial Design Ankara Turkey

Introduction The world has witnessed a significant increase in energy and water consumption during the past few decades. Accordingly, resource effectiveness and use of renewable resources (e.g. solar energy, wind power, hydropower, geothermal, etc.) have gained importance for sustainable development. In Turkey, water scarcity is one of the concerns as the ―availability of water per capita per year is only about one fifth of that of the water rich countries‖ (DSI, 2009, p.2), and this is decreasing rapidly. Along with this, Turkey‘s energy demand has also increased significantly over the past few decades, and it is estimated to grow further. Domestic energy (25%) and water (15%) consumption are one of the significant contributors to overall resource consumption in Turkey (Dilaver & Hunt, 2010; DSI, 2009). As new technologies are introduced, the household appliances have become increasingly water and energy efficient yet such technological improvements have not necessarily turned into energy savings during the use stage (Lidman & Renström, 2011). This reveals that individual behaviours are responsible for a significant proportion of the overall resource use of the products. It is apparent that the design of products has a profound and direct influence on how users engage with them, which have also consequences on the environment. Consequently, reducing domestic resource consumption (i.e. electricity and water) that has been a prominent social challenge requires a better understanding of product-led as well as userled issues. Realising the impacts of use patterns on the environment, the contribution of design to enable change in use behaviours has increasingly been explored in research studies. Design for Sustainable Behaviour (DfSB) is an emerging research area applying insights from multiple disciplines to reduce environmental and social impacts of product use through encouraging responsible and effective use behaviours (Lockton, 2013; Elias et al., 2009; Wever, van Kuijk & Boks, 2008; Lilley, Lofthouse & Bhamra, 2005). This approach explores the potentials and implications of design strategies attempting to influence sustainable use patterns to be enacted throughout the use phase of a product (Lilley, 2007). In this study, through reviewing a range of taxonomies and categorisations including

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different perspectives and techniques developed within this particular research area, three main strategies (i.e. eco-feedback, eco-steer and eco-engage) have been highlighted and presented for effective use of resources in small household appliances (Figure 1).

ECO-FEEDBACK

ECO-STEER

aims to communicate with the user related to the consequences of her/his use behaviour through providing sensorial information about resource consumption

aims to guide the user to consume resources responsibly through affordances and constraints embedded in the product‘s features USER + PRODUCT

ECO-ENGAGE aims to promote energy saving use behaviours through design interventions that are engaging and adaptable to the user needs and preferences Figure1: Three interrelated strategies for effective use of resources in small household appliances. In addition to the existing approaches such as eco-feedback and eco-steer, a new term namely ecoengage has been suggested in this study to define a strategy for effective use of resources. A detailed and comprehensive understanding of the user in a particular context is required for an engaging use. Thus, eco-engage aims to provide affordable and accessible design interventions that can be tailored to diverse user needs and preferences for resource effectiveness.

Research Framework and Methodology Considering the significance of use behaviour for the environmental implications of product use, the graduate research aims to explore individuals' experiences with small household appliances, particularly contact grills and electric tea makers. It aims to have a comprehensive understanding of the problem areas regarding effective use of resources, and incorporates this knowledge and insights for the development of sustainability considerations, and potential design directions and solution areas. Regarding the aim and scope of the research, which is in line with the nature of qualitative research methodology, user observations, semi-structured interviews and generative focus group sessions became the productive means of gathering data. The research consists of mainly three parts involving literature review, preliminary study and primary research stages (Figure 2). Each phase of the primary research was planned based upon the findings and conclusions from the previous ones.

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Figure 2: Research framework and stages. Initially, a preliminary study was conducted with an electric tea maker user through facilitating a user observation and a semi-structured interview. It aims to evaluate the feasibility of the research framework and the clarity of the interview questions to be revised and refined for the further phases of the research. In primary research I, considering their impact on domestic resource consumption eight electrical household appliances being used frequently and/or for relatively long durations in domestic environments were selected. Use phases and activities around the products (i.e. contact grill, Turkish coffee maker, mini oven, electric tea maker, bread maker, electric frying pan, steam generator iron and air humidifier) were explored through user observations along with semi-structured interviews to better comprehend the patterns and practices that would lead to excessive resource consumption. The study was carried out through home visits to be able to capture the habitual use behaviours in real-life settings. The duration of the sessions ranged from 40 to 190 minutes depending on the product of inquiry. In primary research IIA, two small kitchen appliances (i.e. electric tea makers and contact grills) were explored further considering their common usage in domestic environments along with the intensive resource consumption patterns in their use phase that were initially identified through the previous phase of the study (Figure 3). For each product case, three user observations and semi-structured interviews were conducted with diverse participants to probe into the use behaviours leading to intensive and/or extensive resource consumption. Similar to the previous stage, the observations were conducted in domestic settings, and the length of the observations along with the interviews ranged from 80 to 110 minutes for electric tea maker cases, and 40 to 65 minutes for contact grill cases.

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Figure 3: The images from the user observations and interview sessions in primary research II. In the final stage, two generative focus group sessions were carried out for each product case through a participatory approach to complement the findings of the previous phases. In the focus group sessions, generative tools such as user diary and card sorting were employed to acquire detailed information considering the participants‘ experiences, and maintain the consistency with the previous phases of the research in which the use patterns were observed in real-life settings. Once the data was collected and transcribed, the raw data was analysed in several steps (Figure 4) through inductive content analysis and thematic coding. The main considerations in the data analysis phase included the interpretation of the data thoroughly for developing and categorizing themes, and the development of the relationships between those regarding effective use of resources.

verbatim transcription of the data

selection of related phrases

interpretations and insights

development of the sustainability considerations

Figure 4: Data analysis strategy for content analysis.

Research Findings Sustainability Considerations This research (i.e. literature review, user observations, interviews and focus group sessions) through exploring the inherent properties of the products as well as the use behaviours has contributed to the development of the sustainability considerations that are directly related to the excessive and/or intensive resource consumption (Table 1). Table 1: The definitions of the sustainability considerations on effective use of resources.

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Considering the findings of the research (e.g. problem areas, strategies, design directions, etc.) along with their common use in Turkish households, and their considerable impacts on domestic resource consumption, two products, namely electric tea makers and contact grills, were selected to be explored further through primary research II. The results of the primary research II A and B revealed that both inherent properties of the products (e.g. controls, indicators, material properties, structural characteristic, features, etc.) and use behaviours (e.g. habitual use patterns, intuitive behaviours, etc.) would lead to the excessive resource consumption. The prominent problem areas emerged through the preliminary study and primary research stages are summarised below for electric tea makers and contact grills. Problem Areas for Electric Tea Makers Overfilling: Overfilling kettle for boiling and brewing was one of the commonly mentioned problems in electric tea makers. Although, a few participants develop intuitive strategies for this concern, the absence or the insufficiency of the volume indicators in line with the user needs contributes significantly to the resource consumption. Overheating: The lack of precise temperature adjustment can also result in overheating the water, even when the lower temperatures can be adequate for that use experience. Calcification: Calcification prolongs the boiling duration, and in turn leads to consuming significant energy. The participants adopt diverse methods and strategies to remove the lime scale accumulated on the kettle‘s base (i.e. citric acid, descaling agent, baking soda and vinegar), however these

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methods also require significant water and energy to maintain the parts regularly. Along with this, the participants often prefer pouring the residual water considering that the lime built up in the kettle contaminates it, and this results in wasting significant amount of water. Duration of use: Regarding the overall tea drinking practice, the appliance is used for relatively long durations and remains turned on even when the use phase is completed. The participants can also leave the appliance plugged in, since they are not aware of the fact that this phase also consumes energy. Other insights: The spout form and insulation of kettle can also be associated with significant water and energy consumption that is related to the intrinsic properties of the appliance. Problem Areas for Contact Grills Heat loss: Heat loss is one of the major concerns that leads to considerable increase in resource consumption. The use patterns such as pre-heating the plates, controlling the food, wasting heat during cooling down process along with the structural properties of the appliance (i.e. openings between the heating plates) are considered as the main reason for the heat loss. Furthermore, the need for pre-heating is also questionable, since the plates warm up relatively fast. Overheating: The participants find it difficult to comprehend how selected temperature/cooking mode affects the duration of cooking for various food types. Consequently, even though the appliance can provide precise temperature adjustment, they often prefer the same modes. This pattern of use can result in overheating the plates, and in turn ineffective use of energy. Cleaning: Considerable amount of water appears to be used throughout the cleaning phase to remove the dried food remains. Even though the participants have developed several strategies to enable easier cleaning process (i.e. placing baking paper and/or aluminium foil between the heating plates), there are significant health concerns regarding their use. Maintaining the components that are difficult to access also directly affects the product‘s performance, and in turn resource consumption. Other insights: As stated by the participants, the thermostat light, which turns off as the plates warm up, is confusing and misleading in terms of informing the user about the use phases. In this regard, it can result in leaving the product being turned on, and consume excessive energy. The capacity of the heating surface is also closely related to the resource effectiveness, since it may lead to using the product for longer periods of time to grill/toast foods. Along with the prominent findings explained above, the conclusions and insights from the product cases also reveal that the majority of the participants are not aware of the appliances‘ influence on overall domestic resource consumption. Yet, a few participants perform responsible use patterns and consume water and energy effectively (e.g. accurate scaling of water, utilising the heat during cooling down process, etc.). The prominent problem areas regarding the effective use of resources for electric tea makers and contact grills, which are emerged throughout this study, are organized in line with the use stages (e.g. turning on, warming up, cleaning, etc.), and presented in relation to the design directions and the sustainability considerations in Figure 6 and 7. These relations for product cases are simply demonstrated below to better interpret the findings of the research (Figure 5).

Figure 5: A diagrammatical map showing the way of organizing and presenting the findings of the research. 167


Figure 6: Problem areas, sustainability considerations and design directions for electric tea makers.

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Figure 7: Problem areas, sustainability considerations and design directions for contact grills.

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Design Directions Considering the product-centred as well as the user-centred problem areas, the participants‘ suggestions for improving the products of inquiry in terms of effective use of resources were requested throughout the research study. Regarding the findings of the research, several design directions for electric tea makers and contact grills are highlighted in Figure 6 & 7. Some of these design directions emphasised here are already integrated into small household appliances (e.g. ceramic plates in contact grills, accurate scaling of water for brewing in automatic tea makers, etc.). Yet, others such as informing the freshness of tea and presenting the duration of cooling down process appear to be new design directions for effective use of resources. The findings of the study also reveal that comprehensibility, adaptability and accessibility of the design strategies are important concerns that need to be addressed or ensured for the effective use of resources. Comprehensibility: In order to effectively inform the user about the use phases and resource consumption, the feedback needs to be delivered clearly, so that she/he can easily interpret and notice it. For instance, communicating the temperature of the heating plates in contact grills can result in utilising the residual heat effectively during the cooling down process. Likewise, through being informed about the resource consumption in comparison to the use stages in electric tea makers (e.g. brewing, boiling, keeping warm, etc.) the duration of use and consequently resource consumption can be reduced significantly. Confusing and/or unreliable information, on the other hand, can mislead the user and cause unintended use patterns such as the thermostat light in contact grills. Adaptability: Design interventions need to accommodate diverse needs and preferences of the users in order to enable user engagement for effective use of resources. In electric tea makers, for instance, clear volume indicators such as teacup and/or mug icons, strength of tea can enable the users to achieve accurate scaling in boiling and brewing stages through fulfilling their specific needs. Similarly, in contact grills enabling modular heating surface that can be selected in proportion to the food size (e.g. warming up a section of the heating plate for toasting a slice of bread, etc.) can contribute significantly to the effective use of resources. Accessibility: Implementing advanced technologies in appliances (e.g. automated processes, displays, sensors, etc.) may have a positive effect on resource consumption, but the accessibility of these appears to be an issue. However, simple design solutions can be as effective as the technologically advanced ones. For instance, integrating a mechanical timer into the contact grill, and supporting it with clear information about the duration of cooking for different food types can encourage energy saving behaviour through providing an affordable and accessible design solution.

Implications of the Research for Product Design and Design Research This graduate research has provided a comprehensive review about the resource effectiveness in the use phase of the electric household appliances, particularly electric tea makers and contact grills, through adopting a user-centred generative research approach. Exploring use patterns in real-life settings with actual users leads to a better understanding of how products are used as opposed to how they are said or intended to be used. The findings from the preliminary study and three interconnected primary research studies have contributed to the development of the sustainability considerations as presented previously (Table 1). Also, considering the participants‘ design suggestions, several insights have been introduced for the potential implementation of the design directions (i.e. comprehensibility, adaptability and accessibility). With respect to the research findings, apart from eco-feedback and eco-steer design strategies highlighted by the participants, a holistic approach namely eco-engage have been proposed in this study. This aims to motivate effective use of resources within the use phase of products through providing comprehensible, engaging and adaptable design solutions tailored to the user values, needs and preferences considering the accessibility of the design interventions. The findings and conclusions drawn from the study can be utilised in various ways. In further research, the knowledge acquired from this study can be incorporated into a practiced-based project focussing on specific product categories through reflecting on the problem areas further. This can be conducted with an industrial collaborator in order to develop a prototype to evaluate the implications of the sustainability considerations and design directions for product design through involving users actively in the process.

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Regarding the access to natural resources and other variables (e.g. population, gender, etc.), the resources (i.e. water, electricity, gas) are valued differently in diverse geographical locations, and this can influence the use patterns significantly (e.g. using electric tea maker for longer durations as the electricity is charged with relatively lower price, tea brewing techniques and traditions vary in different places and cultures, etc.). Consequently, a more comprehensive and comparative study with a broader scope in terms of gender and geographical location may lead to diverse results in the area of focus. The sustainability considerations emerged and developed throughout this research are not limited to the products of inquiry but rather comprehensive in content. Therefore, they can be integrated into the development of a wide-range of products that are powered by electricity such as consumer electronics and domestic appliances. These considerations can also be incorporated into educational cases to enrich design students‘ awareness related to the environmental and social consequences of the use phase of the products.

References Dilaver, Z., & Hunt, L. C. (2010). Modelling and forecasting Turkish residential electricity demand. Energy Policy, 39(6), 3117-3127. DSI, (2009). Turkey water report. Retrieved July 14, 2014, from http://www2.dsi.gov.tr/english/ Elias, E. W., Dekoninck, E. A., & Culley, S. J. (2009). Designing for ‗use phase‘ energy losses of domestic products. In Proceedings of the Institution of Mechanical Engineers, Part B: Journal of Engineering Manufacture, 223(1), 115-120. Lidman, K., & Renström, S. (2011). How to design for sustainable behaviour? A review of design strategies and an empirical study of four product concepts (Doctoral dissertation). Retrieved October 17, 2013, from http://publications.lib.chalmers.se/records/fulltext/142461.pdf Lilley, D. (2007). Designing for behavioural change: Reducing the social impacts of product use through design (Doctoral dissertation). Retrieved October 14, 2013, from https://dspace.lboro.ac.uk/2134/8092 Lilley, D., Lofthouse, V. A., & Bhamra, T. A. (2005). Towards instinctive sustainable product use. In Proceedings of 2nd International Conference: Sustainability Creating the Culture, 2nd - 4th November 2005, Aberdeen, Scotland. Lockton, D. (2013). Design with intent: A design pattern toolkit for environmental and social behaviour change (Doctoral dissertation). Retrieved April 3, 2014, from http://bura.brunel.ac.uk/handle/2438/7546 Wever, R., van Kuijk, J., & Boks, C. (2008). User-centred design for sustainable behaviour. International Journal of Sustainable Engineering, 1(1), 9-20.

Acknowledgement A part of the project was supported by TÜBİTAK 3501 Career Development Programme (project no: 112M228). We would like to thank the participants involved in this study for kindly allocating their time and welcoming us in their homes.

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Accelerating the Shift to a Low Carbon Economy: What Kind of Local Leadership Do We Need? - Fred Paterson Dr Fred Paterson Centre for Leadership Development Derby Business School, University of Derby UK

Introduction The Centre for Cities report Delivering Change (Clarke et al. 2013) shows how cities across the globe are taking a lead role in creating a sustainable future, driven by their efforts to tackle the environmental and economic challenges familiar to us all. But as Better Growth, Better Climate (2014) highlights – the window of opportunity is now very slim - we need to transform the global economy within the next 15 years to avoid the worst effects of climate change. The systemic changes required to facilitate this shift to a sustainable future have been characterised as socio-technical transitions (Geels & Kemp 2007; Geels & Schot 2007; Geels 2011; Smith et al. 2010) in recognition of the complex, long-term and subtle interaction between technical and human processes. Other scholars have described the same phenomena as an ‗adaptive challenge‘ (Heifetz & Laurie 1997; Heifetz & Linsky 2002) and a ‗wicked problem‘ (Grint 2008; Brookes & Grint 2010). This paper builds on this body of work to make the case that our capacity for ‗system leadership‘ (Lewis, Ghate, & Welbourn, 2013; Welbourn, 2013; Wheatley & Frieze, 2008) has a fundamental part to play in addressing the complex challenges of sustainable innovation and accelerating the transition to a more sustainable economy. This paper is grounded in ongoing action research that aims to understand and improve the local leadership of energy efficiency initiatives in schools estates in the East Midlands region of the UK. Based on a review of relevant literature and interviews with fourteen local, middle-tier ‗system leaders‘ in four Local Authorities (LAs), it outlines an emergent conceptual framework for system leadership that aims to support the work of people whose role it is to help build sustainable futures from within our public services, local business and communities.

The research approach Our collaborative action research project has the ambitious aim of developing a self-improving system for school energy efficiency in the East Midlands. Partners include local Council teams, local politicians, Universities and third sector organisations. This paper refers to the preliminary hypothesis testing phase of research. Further research and development phases are planned to deliver useable knowledge and innovation amongst relevant stakeholders. During 2014 fourteen professionals holding key positions were interviewed about their role in promoting energy efficiency in schools in the East Midlands region. These contributors were officers and politicians in one of four local councils; the Director of a third sector organisation operating across the region and a manager in a Non-Government Organisation (NGO). Our working definition of systems leadership is... ―the concerted effort of many people working together at different places in the system and at different levels, rather than of single leaders acting unilaterally. Secondly, systems leadership crosses boundaries, both physical and virtual, existing simultaneously in multiple dimensions. It therefore extends individual leaders well beyond the usual limits of their formal responsibilities and authority‖ (Ghate, Lewis, & Welbourn, 2014 p.6).

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A key working hypothesis of the study is that an individual‘s ability to influence and support sustainable innovation is rooted in the interaction between their self-identity, their role, their relationships with others and how each of these interact in the context of their organisation, sector and wider community. The analysis is informed by multi-level perspective theory (MLP; Geels & Schot, 2007; Geels, 2011) but focused on the personal agency and leadership of various actors within the local ‗regime‘ and how they interact with ‗niche‘ transition activity. A second key hypothesis is that in order to influence and support innovation to spread across a system individuals, groups and organisations need to be aware of the different needs, interests and world views of stakeholders within the system and respond appropriately. This concept was initially presented with reference to innovation diffusion theory (Rogers 1962) at a meeting of energy and climate change managers from across the region - as a point of reflection and as part of an invitation to collaborate.

.

As part of the invitation to be involved in the research project, the proposition was made that an analysis of the energy data for schools in each area would highlight which schools were doing well on energy efficiency and which were doing poorly. This analysis could then be used to stimulate engagement with schools at either end the diffusion distribution in ways that were yet to be devised. I assumed that some Local Authorities (LAs) would already be doing this and that the approach would not be ‗controversial‘. However, the proposition that data could be marshalled to provide a tool to make sense of the schools estate (across the region), an ongoing foil for enquiry and a spur for action was not treated with whole-hearted enthusiasm. In part because, many of the teams were anticipating further staffing cuts based on public service austerity measures and were already working with vastly diminished capacities. As Pearce (2013) found in recent research on climate change policy in the region, there is a pervasive scepticism about data collection and analysis amongst LA officers and local politicians based on a number of factors – but not least, antagonism with data requests that harbour implicit performance management aims. Eventually, two LAs came forward with energy data for their schools estate – of which more below. All this served to illustrate well that improving energy efficiency across the schools estate is not a ‗tame‘ technical challenge and could surely be seen as a ‗wicked problem‘.

Energy efficiency in schools as a „wicked problem‟ Urban poverty, gangs and knife crime, educational under-achievement, high rates of teenage pregnancy and global warming are all examples of ‗wicked‘ social problems (Grint, 2005; 2008). In these situations, addressing the causes of one problem commonly have unforeseen implications in

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other areas. The nature of wicked problems and their resolution are qualitatively different to ‗tame‘ technical problems like building a skyscraper or developing a new technology. Technical problems  Problem may be substantial and complicated but can be clearly defined  Solution options are available  Someone has solved the problem before  May require improvement to current practices or procedures  There are clear success criteria

Wicked problems  Stubborn problems that resist simple solution  Multiple, complex, contested causes  Disagreement about how to approach the problem  Contradictory value positions at stake  Contested outcomes

Keith Grint (2008) argues that ‗wicked problems‘ require ‗clumsy solutions‘, that recognise there is no simple, single answer; that no single approach guarantees success; and that there may be only incremental improvements rather than quantum leaps of progress. Our study is highlighting that improving energy efficiency in the schools estate is just such a ‗wicked problem‘ that requires stakeholders to develop ‗clumsy solution spaces‘ by exercising a systems approach to leadership. The issue of energy efficiency in schools is not a trivial one. Schools contribute a significant proportion of the CO2 emitted by the public estate – but with recent policy shifts they are in danger of falling out of the purview of Council support and monitoring services. Evidence suggests that schools typically contribute around 40% of Local Authorities‘ CO2 emissions. This rises to 70% for some Authorities if travel emissions are discounted (DCSF 2010). Energy efficiency is generally not considered core business for a school as their focus is on learning outcomes for pupils. However, funds spent unnecessarily on energy can be readily re-directed to teaching and learning resources. The costs of lighting, heating, providing IT and other energy hungry services represent around 10% of controllable costs – ie costs that teachers, business managers, site managers, kitchen staff and pupils can actively reduce. However, even though there are increasing numbers of ‗business managers‘ in schools, energy efficiency is generally not high on their list of priorities – partly because once staff costs are considered, energy costs become a tiny part of a school‘s overall budget. Given the issues above, it is often local council energy mangers and officers in regional and national organisations who push the energy efficiency agenda in schools. The challenge of reducing the costs and carbon emissions is made more challenging, however, by schools‘ increasing autonomy from Local Authorities (LAs) and their removal from the Carbon Reduction Commitment (CRC) from 2015. This means that there are few levers open to council officers to mandate schools and school leaders to address this challenge and many officers report that it is becoming increasingly difficult to engage schools in energy efficiency, waste and sustainability initiatives. It‘s a classic ‗wicked issue‘ – where stakeholders hold different priorities and different understandings of what constitutes success and those closest to the problem, who have the most to gain, are least likely to act. At the same time, public service austerity measures have seen significant reduction in staff in Local Authorities, with Local Authority officers that remain in energy and climate change teams focused on core and essential services. As schools are removed from CRC, the remit of many officers is shifting away from schools entirely. Although third sector and commercial organisations are stepping into this void, the ability to consistently and comprehensively access system wide data is rapidly diminishing. Below we consider how taking a ‗system leadership‘ approach can help address the ‗wicked issue‘ of schools energy efficiency.

Lessons emerging from the study Although not always explicit, both the grey literature and academic research into system wide 1. sustainable innovation commonly identify strong leadership as central to success For example the Centre for Cities report (Clarke et al 2013. p39) argues that exploiting the opportunities of low carbon ____________________ 1

For example, Scottish Enterprise, Stoke Municipal Energy, TIR Roadmaps; Diageo‘s stunning carbon achievement.

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economic growth requires three fundamental ingredients:   

Centre clear long term strategies supported by strong leadership. Affective networks between public, private and third sector organisations that enable opportunities to be innovated and shared. All under-pinned by detailed knowledge about a city‘s business structure and emissions breakdown so that local resources can be effectively targeted at the most important issues.

The report says that… ―Strong leadership is vital to both determine priorities and set an example. It is through clarity and commitment to the low carbon agenda that leaders can ‗set the tone‘ for their city. For example, Bristol‘s Mayor George Ferguson and Mayor Michael Bloomberg of New York act as demonstrator-champions by publicly backing the vision of going green with practical policies, publicising the city‘s green industries and highlighting tangible economic benefits‖. In our study, we found that political leadership and advocacy was mixed and its presence, weight and sophistication was a clear factor in providing a platform for middle-tier actors to perform their roles and stimulate innovative approaches to sustainable development. In one area (See Dave‘s profile in Appendix 1) local politicians and senior LA leaders paved the way for a radically innovative (market based) approach to energy services that saw the energy team create an operating surplus of £430,000 in the space of 4 years and a substantial rise in staff numbers – at a time when most councils are reducing staffing. In another local area, political weight was put behind the Building Schools for the Future initiative when the national government sought to pull back on its commitment to fund to building (or re-building) all 23 Secondary schools in the city. In these areas our contributors had strong platforms for their innovation activity. In two other areas, where the political environment was less stable and local politicians had a less strategic vision for the schools estate (in the context wider sustainable development strategy), local authority officers found they had diminishing platforms for innovative activity with schools. To the point that, in one area, staffing was reduced to zero! Although the rhetoric around leadership is clear, its nature is less well described in the literature – with few empirical explorations or analyses of what type of leadership is, or should be, employed in these circumstances. Like much of the literature, the examples above focus upon high level and political leadership of a locality or organisations. However, the system leadership literature is also clear that individuals at all levels are required to shift a system into new and innovative modes (Welbourn et al. 2013). This mirrors challenges raised by critics of the Multi-level perspective (MLP) that greater attention needs to be paid to agency and the influence of place in sustainable innovation (Geels 2011; Shove & Walker 2010; Smith et al. 2010). Margaret Wheatley (2010) argues that systems leadership happens ―as networks of relationships form among people who discover they share a common cause and vision of what‘s possible‖ and the University of Minnesota and Life Sciences Foundation (2010) contend that ―From a whole systems leadership perspective, change doesn‘t take place one person at a time…Whole systems leadership recognises that when many interconnected individuals and groups take many small actions, a shift happens in the larger patterns of communities, organisations and societies.‖ This mirrors Peter Senge‘s characterisation of the ―millions of individuals searching for ways to build a more sustainable world‖ who demonstrate mastery of three areas  

Continually learning how to see the larger systems of which they are a part. Collaborating across boundaries that previously divided them from others within and beyond their organisations.  Coming together to focus on what really matters to them. In doing this their thinking evolves from reactive problem solving mode to creating futures they truly desire. With this comes a level of commitment, imagination, patience and perseverance far beyond what happens when we are just reacting to problems. (Senge, Smith, Kruschwitz, Laur, & Schley, 2008 p.44). Our study is showing that public service austerity measures are severely testing the collaborative endeavours that have been apparent across the region over the last decade or more. The positive upshot of austerity has been some highly innovative public-private-third sector cooperation (see 175


Appendix 1). Where these new niches are developing we find system leadership that matches the elements described by Welbourn et al., (2013, p.7) - who argue that system leadership involves:   

Extending beyond traditional boundaries; A dynamic, adaptive, learning approach capable of navigating through ambiguity; New relationships built on shared vision and shared responsibilities embedded throughout the system.

Our research is beginning to highlight how system leaders‘ ability to identify and utilise adaptive capacity within the system; their collective presence in the system; and how they seek and build a platform of relationships and partnerships for the benefit of the wider system (rather than for personal or organisational benefit) set them apart from other stakeholders in the system. These three key elements entail the collective capacity and confidence to: Adaptive capacity:  See a bigger picture, beyond the interests of individual organisations.  ‗Make sense of the wider system‘ (safe in the knowledge that understanding will only ever be partial).  Foster a collaborative, learning based approach to challenges that supports experimentation and tolerates failure.  Use a wide lexicon of innovation skills and approaches  Accept that there is no ‗magic bullet‘ solution to a system challenge.  Disturb habitual patterns of thought and behaviour. Collective presence • Communicate an optimistic, persuasive and compelling narrative of the journey to a sustainable future. • Build a sense of ‗common cause‘ and commitment to make a difference across the system. • Create public or commercial value that goes beyond the remit of a formal role or single organisation. • Deep listening and empathy with contradictory views and perspectives. • Support for, and development of, other system leaders Relational platform: • • •

Build a platform of relationships, partnerships and networks of individuals who share common purposes and the willingness to act in concert to address the ‗wicked issues‘ at stake. Build political will and work on the ‗authorising environment‘ (Moore 1995) for sustainable system innovation. Work with conflict productively.

Our contributors found that there are many potholes along the road as well as personal rewards and as Chrislip & O‘Malley argue (2013. p. 11)… ―Exercising leadership—either within or beyond one‘s scope of authority—is inherently risky. The risks are both personal and professional. Self-esteem and reputation are both at stake, and once a person intervenes, he or she loses significant control of the outcome. The willingness to risk depends on how much one cares about making progress on the presenting concern and one‘s tolerance for the ambiguity of an uncertain outcome. Confronting personal psychological obstacles that impede learning and progress requires an openness and courage few people possess. Learning from the mistakes that will occur can be more difficult as well as more fruitful than understanding successes. These are daunting challenges, and it‘s not hard to imagine why so few people are willing to exercise leadership on the concerns they say they care about‖. This quote reflects a number of the key issues emerging from our four case analyses. Namely, the challenges of establishing a ‗system‘ role, seeing the whole system, maintaining an enquiring mind and sustaining a commitment to make a difference to the wider system.

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Making sense of the system Forum for the Future define system innovation as ―a set of actions that shift a system – a city, a sector, an economy – onto a more sustainable path‖ (Draper, 2013 p.12). Like other writers (Geels & Schot 2007; Geels 2011), Draper recognises that system innovation requires technological innovation, but that this usually goes hand in hand with a shift in social attitudes and is often supported by new financial approaches and political structures. Based on years of consultancy in the field of sustainability, Forum for the Future‘s framework seeks to guide deliberate or planned system innovation through the following steps.      

Experience the need for change Diagnose the system Create pioneering practices Enable the tipping point Sustain the transition Set the rules for the new mainstream

One striking aspect of our study was that Local Authority teams did not base their activity on a systematic diagnosis of the energy efficiency of the school estate as a whole. An earlier project 2 commissioned from the Carbon Trust, by a regional climate change organisation on behalf of 8 local councils, had met with some success with pilot groups of schools. This pilot project had presented LA staff with a whole system view of their schools estate but the project and this ‗systemic‘ approach faltered before wider implementation. As mentioned above, plenty of data is available on school energy use (although not generally fully comprehensive). As part of our study, two local areas were presented with a ‗whole system‘ view of their schools‘ energy efficiency. An example is provided below. In one area, the analysis showed that the Primary school estate had contributed 3.7 million kWh of the 3.8 million kWh efficiencies made across the whole estate. Whilst Secondary schools were surprisingly energy efficient compared to their Primary counterparts – little progress had been made to improve their energy efficiency over the previous four years. This analysis suggested a range of responses that could be resource efficient (under public service austerity measures) which included the potential for public-private and third sector collaboration.

kWh/m2

______________________________ 2

Climate East Midlands brings together a range of organisations that have responsibilities for tackling different aspects of climate change.

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In another Local Authority where the staffing to support energy efficiency in schools had been lost entirely, one officer said bluntly – ―we‘ve had no backing from higher up‖. Although her organisational platform for leading sustainable innovation in the schools estate had been almost entirely eroded, she was enthused by the approach we were taking and retained a modicum of hope that the analysis produced through our project might stimulate a more strategic approach. Our work with a variety of other Local Authority officers on diagnosing the challenges of school energy efficiency continues.

Conclusions This paper considered the question: ‗What kind of local leadership is needed to help us make the shift to a low carbon economy?‘; framed the challenge of improving schools‘ energy efficiency as a ‗wicked issue‘ (Grint 2008); and put forward the proposition that ‗system leadership‘ can provide a fruitful response to such an ‗adaptive challenge‘ (Heifetz & Laurie 1997; Heifetz & Linsky 2002). We also outlined a conceptual framework that helps describe, analyse and support development of system leadership capacities. In the next phase of our action research project we anticipate working with a widening group of ‗system leaders‘ from the middle tier of public-services by experimenting with approaches that we believe will foster and amplify the qualities and skills of system leadership outlined above. This will include collaborative action research, discovery projects and action learning sets whose purpose will be to shift public services in general (and schools in particular) towards a more sustainable and lower carbon future. Your reflections on this thinking and action are very welcome.

References Brookes, S., & Grint, K. (2010). The New Public Leadership Challenge. Basingstoke: Palgrave Macmillan. Chrislip, D. D., & O‘Malley, E. J. (2013). Thinking about civic leadership. National Civic Review., Summer 102(2), 2–10. Clarke, E., Wilcox, Z., & Nohrova, N. (2013). Delivering Change: How cities go low carbon while supporting economic growth. London. Centre for Cities. The Global Commission on the Economy and Climate (2014). Better Growth, Better Climate: The New Climate Economy Report. London. DCSF. (2010). Climate change and schools: A carbon management strategy for the school sector. London. Crown copyright. Draper, S. (2013). Creating the Big Shift: System innovation for sustainability. London. Forum for the Future. Geels, F. W. (2011). The multi-level perspective on sustainability transitions: Responses to seven criticisms. Environmental Innovation and Societal Transitions, 1(1), 24–40. Geels, F. W., & Kemp, R. (2007). Dynamics of socio-technical systems: Typology of change processes and contrasting case studies. Technology in Society, 29, 441–445. Geels, F. W., & Schot, J. (2007). Typology of sociotechnical transition pathways. Research Policy, 36(3), 399–417. Ghate, D., Lewis, J., & Welbourn, D. (2013). Exceptional leadership for exceptional times. Nottingham.Virtual Staff College. Ghate, D., Lewis, J., & Welbourn, D. (2014). Systems Leadership: Exceptional leadership for exceptional times. Synthesis Paper. Nottingham. Virtual Staff College. Grint, K. (2005). Problems, problems, problems: The social construction of ―leadership.‖ Human Relations, 58(11), 1467–1494. Grint, K. (2008). Wicked Problems and Clumsy Solutions: the Role of Leadership. Clinical Leader, 1(2).

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Heifetz, R. A., & Laurie, D. L. (1997). The work of leadership. Harvard Business Review, 75(1), 124– 134. Heifetz, R. A., & Linsky, M. (2002). Leadership on the line. Boston: Harvard Business School Press. Lewis, J., Ghate, D., & Welbourn, D. (2013). Systems Leadership: Exceptional leadership for exceptional times. Systems leadership in practice: the views of systems leaders. Nottingham.Virtual Staff College. Moore, M.H., (1995). Creating public value: strategic management in government, London. Harvard University Press. Pearce, W. (2013). The Meaning of Climate Change Policy: Implementing carbon reduction in the East Midlands. Nottingham: University of Nottingham, PhD thesis. Rogers, E. M. (1962). Diffusion of Innovations. Glencoe: Free Press. Senge, P., Smith, B., Kruschwitz, N., Laur, J., & Schley, S. (2008). The Necessary Revolution. Boston. Nicholas Brealey Publishing Shove, E., & Walker, G. (2010). Governing transitions in the sustainability of everyday life. Research Policy, 39(4), 471–476. Smith, A., Voß, J.-P., & Grin, J. (2010). Innovation studies and sustainability transitions: The allure of the multi-level perspective and its challenges. Research Policy, 39(4), 435–448. Welbourn, D., Ghate, D., & Lewis, J. (2013). Systems Leadership: Exceptional leadership for exceptional times. Literature review. Nottingham.Virtual Staff College. Wheatley, M. (2010). Fearless Leaders. Leadership Excellence, 27(6), 5–6. Wheatley, M., & Frieze, D. (2008). Emergence. Leadership Excellence, 25(5), 10–10.

Appendix 1:

Local Leader Profile Dave Peale

Role

Head of Energy Team. Moved from manager of ‗estates‘ team of 60 to leading through influence only. Built his own domain in ‗energy and carbon‘ services from scratch.

Team context

Dave recognised that the council made money from energy supply contracts and used this to create the platform for his role and provision of a wider range of services. Team expanding due to increasing revenues. Currently team of 10. Dave is the only member directly employed by the Council. Dave frames role of team as facilitation and influencing.

Organisational context

County Council works alongside seven district or borough councils that administer the affairs of 15 towns and hundreds of villages. Increasingly services delivered on a commissioned basis. Culture of collaboration between divisions – especially with Waste division. A social enterprise ethic is emerging amongst service heads.

Local political landscape

The county has 73 elected county councillors. The largest town is the most populous urban district in England not to be administered as a unitary authority. Council Cabinet Member with energy remit has been champion of environmental issues for 20 years. New Cabinet member in last 12 months. Predominantly conservative political regime at local and national levels since 2005. Council needs to find £20million budget saving in 2014/15.

Schools energy services context

Energy supply contract through Energy Team protects schools from fluctuations in energy prices over longer period than commercial suppliers. This breeds strong customer loyalty. Majority of schools (300/350) part of Energy Management System that provides access to detail energy use data. Electricity AMR data for 85% of schools. Limited gas AMR as yet. Annual gas & electric data for all schools collected for CRC. Whole Council now falls out of CRC.

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Evidence of system innovation

Team delivered £12K surplus in first year of operation. Surplus in 2013/14 was £430K. Staffing increased from 1 to 10 in four years of operation (at a time when most services are cutting staffing). No schools data set (requested or) provided.

Collective

Regular contributor to regional and national conferences. Invited to contribute to national advisory bodies. Identified by regional informants as ‗leading edge practice‘.

Presence

He sees his role as creating benefit for the County (as a regional area) not the County Council per se. Listens closely to the interests of stakeholders; politicians, Directors, SBMs, head teachers. Understands the importance of honesty, integrity and trust in maintaining relationships. Training whole Council in ISO 50001 Energy Management standard in order to embed EM across the organisation and ensure approach sustained when key staff inevitably move on.

Relational

Strong relationship with Councillors and LA Director (having scoped the job spec.).

Platform

Created his own brief – ‗anything to do with energy and carbon ‗– which provides a clear remit. Business case for energy team aimed to save money for Council based on providing energy supply services. Team administer a large Salix fund that provides springboard for energy projects. Strong strategic partners: established common values and agreed common purpose with energy suppliers. Dave understands the importance of engaging key people in influential networks eg SBMs. Building relationships with schools via SBMs, Eco-Schools and DEC work, for example, as ‗door openers‘ to higher value technical measures.

Adaptive Capacity

The team is planning to survey of all schools to establish current needs and interests. Entrepreneurial approach – supported by local political values. Grasped opportunity provided by local Borough Council to supply energy and CRC services. Team ethos moving from commissioned service to revenue making unit. Risk tolerance. For example, sufficient energy surveys need to be converted into Salix funded projects to sustain margins. Dave adapted to the different political agendas of County and Borough Councils. Agile in responding to interests of commercial partners and experimenting with public-private partnership projects. Ambition to reduce duration of major energy projects with schools (from 18 to 6 months). Keen to involve his team in any opportunities for learning and reflective practice. Innovative approaches like ‗Carbon Trading Game‘ with around 40 schools.

System Leadership Challenge

―We aren‘t interested in working with schools that aren‘t thinking about energy efficiency, it‘s that simple – we can‘t help people that don‘t want to be helped. We have too big a problem and too big a market place to be concerned with [them]‖.

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Environmental Impacts of Production-consumption Systems in Europe - Almut Reichel, Lars Fogh Mortensen, Jasmina Bogdanovic, Mike Asquith Almut Reichel Project Manager European Environment Agency (EEA) Copenhagen Denmark

Lars Fogh Mortensen Head of Group, Sustainable Consumption and Production European Environment Agency (EEA) Copenhagen Denmark

Jasmina Bogdanovic Project Manager European Environment Agency (EEA) Copenhagen Denmark

Mike Asquith Project Manager European Environment Agency (EEA) Copenhagen Denmark

Introduction Across the world, there is growing recognition that the prevailing model of economic growth, grounded in ever-increasing resource use and pollutant emissions, cannot be sustained indefinitely. In the coming decades, with global population expected to increase to 9 billion people from 7.6 billion today, continued improvements in living standards and well-being will depend on a transition to a green economy globally that can meet society‘s needs while preserving the natural systems that sustain us.

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Increasingly, this ambition is reflected in policies and initiatives at all levels of governance. In Europe, th th for example, the European Union‘s 7 Environmental Action Programme (7 EAP) includes the vision that in 2050, we live well, within the planet's ecological limits and the priority objective of turning the EU into a ‗resource-efficient, green and competitive low-carbon economy‘. To examine what the concept of green economy means in practice and evaluate Europe‘s progress in achieving this transition, in 2012 the European Environment Agency (EEA) initiated a new series of environmental indicator reports. The first two reports in the series focused on green economy and the European environment, addressing resource efficiency and resilience (EEA, 2012), and the links between European resource demand, environmental degradation and changes in human health and well-being (EEA, 2013). This paper summarises the 2014 edition in the series, providing another perspective on the green economy transition, addressing the global value chains that meet European demand for goods and services (EEA, 2014). In doing so, it goes beyond previous reports and analysis to address the global dimension of Europe‘s economic activities. This perspective is highly relevant because European consumption and production systems rely heavily on imported resources, goods and services. In doing so, the related environmental pressures from these systems largely affect other world regions, while European consumers are unlikely to have much knowledge of these impacts and European policy makers have relatively little authority to influence them. The continuing globalisation of trade flows therefore creates a significant challenge for environmental governance. The analysis focuses on selected production-consumption systems, which link environmental, social and economic systems across the world – generating earnings, supporting ways of living, and meeting consumer demands – and also account for much of humanity‘s burden on the environment. Production and consumption are addressed together because they are highly interdependent. Only by adopting an integrated perspective is it possible to get a full understanding of these systems: the incentives that structure them, the functions they perform, the ways system elements interact, the impacts they generate, and the opportunities to reconfigure them. The overall objective is to highlight ways that production-consumption systems can be adjusted to augment societal benefits and minimise societal costs. Assessing the environmental and socio-economic impacts of highly sophisticated, global productionconsumption systems presents significant knowledge challenges. Whereas there are established indicators to track environmental pressures from production in Europe, indicators that capture the pressures embedded in imported raw materials and goods are far less mature. For most of them, both methods and data are still under development. It is out of the scope of the report to compare the robustness of methodologies and data sets used in the different projects and approaches, therefore it was decided to mainly and consistently use results generated by environmentally extended inputoutput analysis of the European Commission‘s Joint Research Centre based on the World InputOutput Database (EC, 2012; Timmer, 2012). Nevertheless, the data available allow an interesting picture to emerge of the drivers that shape production-consumption systems, the (positive and negative) pressures and impacts caused by these systems, and the types of tools that can help to mitigate these pressures and impacts. Part I of the report investigates the overall trends in production-consumption systems in Europe and related environmental pressures. It explains how these systems are influenced by an array of interlinked factors, including economic, technological, demographic and sociological factors, as well as global megatrends.

Indicator based thematic assessments Part II presents three selected production-consumption systems: food, electrical and electronic goods and clothing. These are production-consumption systems with large shares of imports to the European economy and are especially characterised by the globalisation of their supply chains. Together the three systems account for a considerable share of the pressures and impacts of European production-consumption systems on the environment. For each of the three production-consumption systems, available indicators are used to describe the characteristics and trends of the specific system, as well as the trends and hotspots of related environmental pressures and impacts. This quantitative analysis is accompanied by an assessment of opportunities to move these systems in a more sustainable direction. 182


Food Europe‘s food system is part of a global market in which food and animal fodder are increasingly traded across the globe. Imports of food and fodder to the EU are increasing, indicating that a considerable share of life-cycle environmental pressures and impacts related to food consumption in Europe is felt outside its borders. Food is the household consumption category with the highest embedded environmental pressures. Large amounts of food waste and food losses across the whole food chain are responsible for a considerable share of environmental impacts and a waste of resources. A more economically, socially and environmentally sustainable food system in Europe would imply healthier diets, less food waste and the production and consumption – including from imports – of higher-quality food with lower impacts on climate change and biodiversity in particular. Environmental impacts from food production in Europe can be mitigated through regulation and market-based instruments, including the removal of environmentally harmful subsidies. Business and civil society have an important role to play through greening of supply chains and changes in consumption behaviour. Electrical and electronic goods The production-consumption system of electrical and electronic goods is characterised by highly complex supply chains, with large and increasing imports to Europe, especially from Asia. European households buy and use ever more appliances, driven by technological development, falling prices and the trend towards smaller and therefore more households. Consumption trends have led to increased electricity consumption by European households, despite many appliances becoming more energy-efficient. The environmental impacts of the production phase of the supply chain are felt largely outside Europe. The production-consumption system of electrical and electronic goods would be more sustainable with higher-quality appliances, replaced less rapidly, and with more options for leasing appliances and for materials recycling by producers. Opportunities for reducing the life-cycle environmental impacts include making products more energy- and resource-efficient, modular design enabling upgrading and repair, take-back and re-manufacturing, and capturing more of the valuable materials from e-waste. Clothing Partly driven by the liberalisation of global tariffs, much clothing production for European consumption has relocated to countries with low labour costs. In these countries, producing fabrics and clothing often provides many jobs and generates a significant portion of national income. In Europe, the sharp decline in the relative price of clothing has increased consumer spending power. The growing consumption of cheap clothes has also augmented resource demands and environmental and social pressures across the life cycle: water and pesticide use when cultivating natural fibres, water and energy use for washing and drying, and emissions from waste. Better outcomes could be achieved if Europeans were to buy fewer, better-quality clothes from socially and environmentally sustainable sources. Businesses and civil society have a particularly important role to play in mitigating impacts outside Europe – for example through better supply-chain management, changing consumption patterns, new business models for sharing and leasing clothes, and improved handling of garments (washing and drying). Impacts from the use and end-of-life phases can be mitigated by regulation and market-based instruments.

Reflections Part III of the report concludes that the current EU policy framework that regulates and steers the lifecycle environmental impacts of production-consumption systems is rather limited: it is still mostly targeted on impacts that occur within Europe, and focuses mainly on the production and end-of-life stages. Policies addressing the environmental impacts of products and their consumption are still in their very early stages, except those on the energy efficiency of electrical and electronic goods. Furthermore, information-based instruments such as labels, which have limited or no effects on many

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consumers, dominate this policy area. Market-based instruments, such as taxes and subsidy removal, and strong regulation have only been put in place to a very limited extent. The above underlines that realising long-term sustainability visions will require fundamental transitions to make production-consumption systems – including the food, electrical and electronic goods and clothing systems analysed in this report – sustainable. Europe is locked in to certain technologies, processes and patterns of behaviour, etc. that hinder the changes needed to realise the vision of the th EU‘s 7 EAP, and transitions are therefore required at different levels. Transitions are non-linear processes resulting from the interplay between three different levels: the macro, meso and micro. At the macro level, transitions are influenced and formed by macroeconomic policies and trade patterns, as well as society-wide developments such as demographics, political ideologies, societal values and technical backdrops (Geels, 2011). The production-consumption systems analysed in this report are at what some refer to as the meso or sector level. It is at this level that transitions take place. At the micro level, niches are practices reflecting innovation and new paradigms for businesses; for public authorities at, for example, the EU, national, regional or local level; and for civil society. Niches can exemplify possible solutions and pathways towards change, and offer potential for up-scaling. The report argues that a number of societal trends and new business models are emerging, which provide some indication of how sustainable production and consumption patterns might look in the future. These include both technical innovation (such as eco-design of products and eco-efficient processes) and social innovation (such as product-service systems, collaborative and participative consumption, prosumerism), research, and social and business entrepreneurship. Cities play an important role as they have manifold opportunities to test new approaches and to create favourable infrastructure and other enabling conditions for business and civil society to experiment.

References EC, 2012, Global Resources Use and Pollution, Volume 1, Production, consumption and trade (19952008), EUR 25462 EN, European Commission, Joint Research Centre, Institute for Prospective Technological Studies. EEA, 2012, Environmental indicator report 2012: Ecosystem resilience and resource efficiency in a green economy in Europe, European Environment Agency, Copenhagen, Denmark. EEA, 2013, Environmental indicator report 2013 – natural resources and human well-being in a green economy, European Environment Agency, Copenhagen, Denmark. EEA, 2014, EEA Environmental indicator report 2014: Environmental impacts of productionconsumption systems in Europe (forthcoming), European Environment Agency, Copenhagen, Denmark. Geels, F. W., 2011, 'The multi-level perspective on sustainability transitions: Responses to seven criticisms', Environmental Innovation and Societal Transitions 1(1), pp. 24–40. Timmer, M. P., 2012, The world input-output database (WIOD): contents, sources and methods, Working paper No. 10, WIOD.T

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The Catalonia Ecodesign Award: a Tool for Sustainability - Yolanda Morcillo Ripoll, Alfred Vara Blanco, Pilar Chiva Rodríguez Yolanda Morcillo Ripoll Project manager Catalan Waste Agency Barcelona Spain

Alfred Vara Blanco Head of Prevention Department Catalan Waste Agency Barcelona Spain

Pilar Chiva Rodríguez Director of the Prevention and Recycling Promotion Area Barcelona Catalan Waste Agency Spain

Abstract Although environmental aspects are increasingly taken into account in products that reach the market today, ecodesign still requires the active support of the public authorities in order to exert an influence on all consumer products and services. In Catalonia, the public authorities have set up an award to promote the production of sustainable products and their market. This paper offers an overview of the history of the award from its creation in 2001 to the Catalonia Ecodesign Award 2015, highlighting some of its most noteworthy success stories and setting out the accompanying political strategy.

Early days: the Design for Recycling Award Ecodesign is one of the instruments that will help us achieve a more resource-efficient world, while at the same time boosting the economy and generating employment in our communities. Some companies are already using it but it is still not a widespread strategy in the conception of new products and services. Moreover, it is necessary to shift the mindset of consumers so that they value and demand these more sustainable products. In order to help change these production and consumption models, in 2001 the public authorities in Catalonia established an award to recognise innovative, high-quality and environmentally friendly products. The award was set up as the Design for Recycling Award by the Catalan Waste Agency, a body of the Government of Catalonia responsible for promoting sustainable waste management and efficient

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resource use. In its initial incarnation, the award mainly focused on the recognition of products manufactured using recycled material or designed to be dismantled and recycled at the end of their useful life. During this initial stage, the award slogan was ―recycled/recyclable products‖. The award was open to products already in the market or at the development stage, but in order to be eligible for submission they had to be designed, manufactured or distributed in Catalonia. Given that it was an award of the Catalan Waste Agency, it formed part of the Catalan Municipal Waste Management Programme (PROGREMIC) for the periods 2001-2006 and 2007-2012, and was aimed at contributing to closing the product life cycle. The agency was focused on fostering recycling, which is the stage that closes the product life cycle. In order to close this circle properly it was necessary to promote policies that enable recycled material to be incorporated in new products and for these products to find a niche in the market. This was the thinking behind the creation of the award, which was one of the first initiatives in Catalonia to apply the strategies of the integrated product policy, moving the focus from the production process to the product itself. In accordance with the shift in emphasis of European waste policy towards waste prevention, this aspect was incorporated in the award in 2011. Despite keeping its name, from this point the Design for Recycling Award also recognised products or product systems which, although not recycled, were committed to a resource-efficient and circular economy.

The award in figures. Success stories The Design for Recycling Award was held seven times (every other year) during the period 20012013. The number of participants in each call for submissions grew quickly, with an average of approximately 200 entries in the more recent awards. Across the seven awards there were over 750 entries and 59 award winners and recipients of special mentions of the jury. One of the most noteworthy winners was the Zebra bike lane separator (award winner in 2009 in the product category), manufactured by the Zicla company and designed by Curro Claret. This product is manufactured entirely from recycled materials, specifically plastic (PVC) from cable waste generated by the copper recovery process. This material contains metal traces, which makes its use in many typical plastic applications infeasible. As such, until it was used in this product the waste material was taken to landfill sites. Furthermore, the renowned designer Curro Claret was involved in the design of the Zebra, entrusted with ensuring that, in addition to taking into account environmental criteria, it also complied with the other criteria demanded of such a product (fitness for purpose, safety, ergonomics, etc.). The result was a well-designed product, shaped specifically to facilitate the coexistence of bicycle and motor traffic. Manufactured from recycled material, it is economic and fit for purpose thanks to its toughness and weatherability. Furthermore, in order to offer an even more sustainable comprehensive service, the company that manufactures and distributes the product is committed to handling the product at the end of its useful life, ensuring that it is correctly recycled. Since its launch in 2009, the Zebra bike lane separator has been the star product of the Zicla company. By the end of 2013 some 50,000 units of the various models (different sizes) had been sold, representing total sales of 1.1 million euros. It has prevented 300 tonnes of plastic waste generated by the copper recovery process from ending up at landfill sites. The company now exports the product as well: 20% of the units are for the Catalan market while 65% go to the rest of Spain and 15% to other countries. The Zebra is exported to 6 countries: the USA, the UK, France, Chile, Turkey and New Zealand. The company has also used this material as raw material for manufacturing other outdoor products, such as a modular platform for buses (product that also received an award in 2011). Special mention must also be made of the 2013 winner in the product category, Urbikes, designed and manufactured by Edse Inventiva. This is a bicycle designed for shared use in advanced urban public transport systems. As such, the product stands out for its low maintenance in the use stage. It is manufactured out of extremely durable components; for example, it has a cardan drive shaft instead of a chain, solid non-pneumatic tyres, a low-maintenance front brake disc and a back-pedal rear brake. Furthermore, the simplicity of its shape makes it possible to eliminate some manufacturing processes and save the associated energy, while its single-material components facilitate subsequent recycling. In short, this is a long-life, low-maintenance and easily repairable product that embodies a commitment to sustainable mobility.

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Image 1: Zebra bike lane separator Image 2: Urbikes Nevertheless, it must be acknowledged that not all the entries have been success stories. Some of the submitted products were highly artisanal, while others were somewhat underdeveloped, especially in the initial awards and in the project category, which was open to ideas for products that were not in the market and that were largely submitted by students and young designers. To improve these aspects, the terms and conditions for submissions have been altered for the more recent awards, excluding works of art and products that cannot be mass-manufactured. Entrants were advised to present thoroughly analysed products that were at the prototype stage.

Moving towards the new Catalonia Ecodesign Award The Design for Recycling Award (2001-2013) was a good tool for promoting specific aspects of ecodesign among design professionals and companies from Catalonia. Nevertheless, over the course of the awards it became clear that there were a growing number of market-oriented products that were of higher quality and that generated other environmental benefits in addition to being resourceefficient, recycled or recyclable. It was clear that the scope of the Design for Recycling Award needed to be broadened once again and that in order to promote eco-efficient products it was not enough to focus solely on the waste/resources aspect but rather a broader perspective was required that encompassed all environmental criteria; that is, an ecodesign perspective. Our organisation's new General Programme for Waste and Resource Management in Catalonia 2013-2020 (PRECAT20) incorporates ecodesign as an element for preventing waste generation and increasing efficiency in the use of resources. Furthermore, the strategic framework of the Government of Catalonia is also changing. The Catalonia 2020 Strategy (ECAT2020) and the Research and Innovation Strategy for the Smart Specialisation of Catalonia (RIS3CAT), in line with the respective European strategies, are aimed at leading Catalonia towards smart, sustainable and inclusive growth. These strategies have identified the design sector in general and ecodesign in particular as one of the priority sectors for driving the economic transformation of Catalonia, given that in addition to offering environmental benefits it represents a distinguishing factor and an opportunity to improve the positioning of companies in the global market. As such, the promotion of ecodesign has become one of Catalonia's priorities. In line with this political framework, since 2010 our agency has been working in conjunction with the Ministry for Territory and Sustainability of the Government of Catalonia to agree the Catalan Ecodesign Strategy (Ecodiscat), which will coordinate the various initiatives of the Government of Catalonia in ecodesign and eco-innovation matters, with the goal of promoting the offer and demand of products ecodesigned in Catalonia. In accordance with this strategy, the Catalan Waste Agency and the Ministry for Territory and Sustainability of the Government of Catalonia decided to create an award together and the Design for Recycling Award became the Catalonia Eco-Design Award.

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Image 3: Catalonia Ecodesign Award 2015 It is important to point out that the geographical scope of the award has also been broadened; it has become more international. In its new incarnation, the award includes the Euro-Mediterranean Design category, which recognises sustainable products that have been designed or manufactured in neighbouring Mediterranean countries. This change has also been brought about by the new political context of Catalonia. One of the objectives of the 2013-2016 Government Plan is the internationalisation of Catalonia (raising the international profile of Catalonia; the internationalisation of the Catalan economy; and the position of Barcelona and Catalonia as attractive places for foreign investment). Meanwhile, it so happens that our agency hosts the Regional Activity Centre for Sustainable Consumption (SCP-ARC), centre for international cooperation with Mediterranean countries that develops its activity under the Mediterranean Action Plan (MAP) for the protection and development of the Mediterranean basin, an organisation belonging to the United Nations Environment Programme (UNEP). This centre coordinates, among others, the Switchmed project. This project, funded by the European Commission, promotes the shift of Southern Mediterranean economies towards sustainable consumption and production models and towards a green economy (project to be implemented in the period 2012-2015). In this context, the Catalan Waste Agency has considered it fitting to implement this project in conjunction with the SCP-RAC and with the support of various international organisations (including the European Commission and the United Nations Environment Programme), and to use the Catalonia Ecodesign Award as a tool to promote the production and consumption of sustainable products in the Mediterranean as well. The first Catalonia Ecodesign Award will be held in 2015. The award has five categories, four of which are for participants from Catalonia: A. Products (for products already in the market); B. Products under development; C. Strategy, which means initiatives or policies implemented by public or private entities that promote the use of ecodesigned products; D. Young design, aimed at students or newly qualified professionals in order for them to present their ideas; and, finally, E. Euro-Mediterranean Design, aimed at enabling students, designers, manufacturers or organisations from EuroMediterranean countries to present their product ideas, products under development and strategies. The award will recognise the incorporation of environmental aspects in the product aimed at minimising its impact over the length of its life cycle and, also as a main criterion, will evaluate its innovation; that is, its capacity to contribute added value in respect of possible alternatives that exist in the market. Other additional criteria that will be evaluated are the socio-economic impact of the submitted entry, the use of environmental evaluation methodologies, and its potential environmental benefits, etc. Entries may be submitted in January and February 2015 and the winners are scheduled to be announced in the autumn of the same year.

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The ecodesign in Catalonia beyond the award The award is just one of the strategies that form part of the Catalan Ecodesign Strategy (Ecodiscat). The strategy also includes other initiatives aimed at incorporating ecodesign in the production process, at fostering a cross-cutting approach and knowledge transfer between the various actors involved, and at boosting the demand of a sustainable market. The award project itself is also accompanied by a series of complementary initiatives that strengthen its role in the Catalan Ecodesign Strategy with the goal of promoting resource-efficient and ecodesigned products, not only among designers and manufacturers but also consumers. The award serves as a platform for creating a buzz around these products. That is why the award ceremony itself is complemented by the following initiatives: 

In the period leading up to the submission of award entries, a series of workshops and seminars are held for students and product design professionals with the goal of raising awareness and highlighting the importance of integrating environmental criteria in products. There is usually a workshop for professionals and a series of seminars that are held in the main design schools in Catalonia (around 10 schools). We target designers in particular since studies show that in order to improve the environmental performance of products it is necessary to focus on the design stage (it is well known that 80% of the product's impact is decided in the design stage). Overall, around 200 professionals and 250 students take part in these activities every award year.

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The award-winning entries and those that receive a special mention of the jury are presented in the award catalogue, which is published in both paper format and electronically on our website.

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In addition to the generous prize money (currently 5,000 euros for each award winner), the winners receive an award trophy and an award stamp that they are entitled to use on the promotional documents of their winning product.

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Furthermore, since 2009 the ARC has calculated the carbon footprint of the award-winning products, the results of which are displayed in an attractive and accessible data sheet that can also be used as a promotional document.

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On the day of the awards ceremony, a travelling exhibition of the winning products is officially opened. This exhibition stays on the road for two years (until the next award) and visits several public and private venues in Catalonia with the goal of showcasing the products and explaining the added value they incorporate. The exhibition normally remains in each venue for around one month, which means that each exhibition travels to approximately 24 different venues.

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Following the award, the ARC, in conjunction with the main association of designers in Catalonia, organises seminars to explain the award-winning entries in detail.

Image 4. Travelling exhibition of the award Last of all, it should be pointed out that many of the products taking part in this award are included in the catalogue of the Buy Recycled Network (known by its Catalan initials, XCR), another Catalan initiative for promoting the market of these products, consisting of a virtual meeting point for buyers and sellers of resource-efficient products.

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Ecodesign is a long-term strategy that will be incorporated little by little in all the products we consume. It must lead us towards a circular economy in terms of resources and towards the sustainable use of natural resources, as set forth in the Roadmap to a Resource Efficient Europe of the European Commission. The Catalonia Ecodesign Award is a tool that represents Catalonia's commitment to this path.

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City of Copenhagen: Involving Users in the Transformation of a Nice City to a Sustainable City - Tina Saaby Professor Tina Saaby Chief City Architect City of Copenhagen The Technical and Environmental Administration Denmark

Background Copenhagen‘s vision is to become the world‘s best city to live in – a metropolis for people. In planning new urban spaces or converting existing ones, the City aims to create spaces that encourage a varied and unique urban life. To pursue this vision, the City of Copenhagen has published ‗A Metropolis for People‘ with clear goals that set the course and define criteria for the efforts to improve urban life in the City of Copenhagen (Copenhagen, 2009). Liveability is the common denominator of all architecture and urban development in the future Copenhagen. Thus, the Copenhagen City Strategy considers urban life before urban spaces, and urban spaces before buildings. (City of Copenhagen, 2010) In order to ensure innovation in reaching the goals for the city life in Copenhagen, the potential of partnerships and temporary urban space are being explored. The need to create spaces and urban landscapes, favouring temporary uses: The urban space should have room for the beautiful, the offbeat and the temporary as has been highlighted in Copenhagen architectural policies (City of Copenhagen, 2010). Here are some examples of how this is done in Copenhagen.

The Paper Island – Sharing temporary public space as strategic approach An innovative urban development process is seen on Christiansholm, a small island known as the ―Paper Island‖ in the centre of Copenhagen Harbour. For many years, the island was used as a paper storage for the Danish newspaper and printing industry. Now, the island has returned to the public sphere. By 2017 permanent plans for re-use will be established. Presently, the island‘s potential is being explored and tested through a series of temporary activities together with local businesses and start-ups. The island‘s existing buildings are used for small creative businesses, exhibitions and a large indoor urban space is being used as a temporary ―urban street food market‖. This construction is generating a dynamic local development and is being studied by the City to explore how the space can be effectively used, once the permanent development is initiated.

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(Photo: The Paper Island in Copenhagen. By Ulrich Jakobsson, City of Copenhagen)

Taasinge Square – Sharing sustainable innovation and local involvement ―In the City of Copenhagen we see temporary measures as a planning method that can be used when planning urban life and architecture in the short term. It does not replace master planning, local planning and other strategic planning tools. But it can inform, inspire and motivate planning procedures, helping to create urban life here and now‖ (Saaby & Madsen 2012). Taasinge Square is one of the first climate resilient urban spaces in Copenhagen. Through a series of temporary activities, local residents have been involved in the transformation of the square. Integrated urban renewal is characterised by creating city development on site in cooperation with the residents. The transformation of Taasinge Square is an example of how strategic use of temporary urban spaces can include residents in city development. Through a variety of different temporary projects, realised in dialogue with the quarter‘s residents, Taasinge Square has become a living part of the cityscape. This has increased creativity in the urban space raising the awareness of local communities and local ownership and has been an interesting source of ideas for the transformation st of the square. On 1 November 2014, the transformation of Taasinge Square will be completed and Copenhagen will have its first climate adjusted urban space (Sommer, 2014).

(Photos: Event at Taasinge Square in Copenhagen. By: Tina Saaby Madsen, City of Copenhagen) 192


ØsterGro – Sharing roof gardens and pocket parks against cloudbursts Like many other cities around the world which experience the effects of global warming and ever more frequent rainstorms (cloudbursts), Copenhagen City works to ensure that future flooding, however temporary, does not paralyse the city. It‘s done by for example, creating urban spaces like Taasinge Square and by increasing the number of rooftop gardens, pocket parks and green oases which can collect or delay the discharge oflarge quantities of water. In the Skt Kjelds Quarter surrounding Taasinge Square, is a roof farm on 600 m2 on the 5th floor, where a small collective of residents grow their own vegetables. This type of bio-activity stems both from an ambition to greenify as many surfaces and areas as possible in Copenhagen, as well as displaying the residents‘ wish to get closer to nature and to meet other people in the city. Urban gardening is trending all over Copenhagen and the focus is on local communities, sustainability and ecology.

(Photo: Østergro Roof Garden. By: Ursula Bach, City of Copenhagen)

Copenhagen Harvest Dinner – Sharing partnerships and entrepreneurship Another important aspect of the City of Copenhagen‘s strategy is to create more flexible urban spaces to be used by different groups for different purposes at different times. At the recent Copenhagen Harvest Dinner, the City created partnerships with 30 local ecological ‗foodies‘, entrepreneurs and educational establishments who hosted a sustainable harvest dinner in the city centre. The 30 partners co-created a big dinner, serving nine locally produced menus to more than 2500 Copenhageners. The dinner took place in a temporarily closed off street where the participants spent the night together around an 800 metre long table in the street. The event showed how it is possible to create, develop and establish new partnerships just by supporting the local frontrunners within the areas that are strategically prioritized in the city development. At the same time it shows how it is easy to transform car space into living space where city people can gather in local communities with common interests.

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(Photos: Copenhagen Harvest Dinner. By Le Lyby, City of Copenhagen)

European Green Capital 2014 – carbon-neutral in 2025 At the same time, the Copenhagen Harvest Dinner was a popular celebration of the fact that Copenhagen was officially elected European Green Capital 2014. An honour that the City has received for its focus of sustainability and it‘s motivation to share knowledge about sustainable solutions. If Copenhagen is to achieve its goal to become the World‘s first carbon neutral capital in 2025 it is crucial that municipal authorities, businesses and citizens are involved and work together.

References and Sources City of Copenhagen, 2010, Copenhagen City of Architecture: The Architecture Policy of The City of Copenhagen, The Technical and Environmental Administration, Copenhagen City of Copenhagen, 2009, ‖Metropolis for People: Visions and goals for urban life in Copenhagen 2015, City of Copenhagen‖, The Technical and Environmental Administration, Copenhagen Lindsay, R. Sommer, 2014, Klimakvarteret: Klimatilpasning i øjenhøjde, Tåsinge plads, Områdefornyelsen fortæller, 15 gode historier fra den helhedsorienterede byfornyelse, The Ministry of Housing, Urban and Rural Affairs, Copenhagen pp 42-49 Madsen, T.Saaby, 2012, ‖Urban life for everyone - Temporary measures as a planning method‖, Urban Design, Temporary Urbanism, Issue 122, Urban Design Group Journal, London, pp 19-21 Knowledge generated in Sharing Copenhagen, European Green Capital 2014,The Technical and Environmental Administration, City of Copenhagen http://www.sharingcopenhagen.dk/english

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Sustainable Innovation & Regions: Challenges & Opportunities Gianluca Salvatori Gianluca Salvatori President and CEO Progetto Manifattura and European Research Institute on Cooperation and Social Enterprises University of Trento Italy

Abstract The case study that will be presented here regards Progetto Manifattura - Green Innovation Factory, an initiative promoted by the Autonomous Province of Trento to transform Rovereto‘s historical Manifattura Tabacchi - inaugurated in 1854 - into a centre for industrial innovation in the sector of ecosustainable building, renewable energy and environmental technology. The project provides enterprises with a production framework made up of physical space, infrastructure, know-how, and specialized skills. The project was conceived at the initiative of the government of the autonomous province with the intention of realizing a vision for local development founded on the importance of an industrial policy based on specialization. Rather than proposing the project as an undifferentiated space, open to any entrepreneurial project, Progetto Manifattura believes that aggregation is required for the start up of new enterprises. This can only be achieved on the condition that a shared framework of know-how, entrepreneurial interests, approach to the market, and organizational culture exists. th

In essence the project concerns the renovation of an 18 century factory with the objective of promoting and favouring a process of production re-birth. The project guidelines can be summarized as follows:        

Plan, realize and manage environments and infrastructures dedicated to hosting green economy enterprises; Realize a/o restore buildings and plant based on the principles of low environmental impact; Provide an invigorating, inspiring and creative work context thanks to the combination of public and private spaces; Create modular work environments which are transformable in function of enterprise needs; Plan and create communal spaces designed to favour the exchange of know-how and ideas; Promote innovation through merging training, R&D, and production; Utilize and contribute to the development of innovative technology, designed to reduce the consumption of non-renewable natural resources; Pursue global sustainable objectives, both for the functioning of the structure and the relationship with the surrounding urban context.

The site‘s nine hectares are destined to host, over a covered surface area of 70,000 square metres, a cluster of start ups, enterprises, research centres, training structures and public administration services, with the objective of stimulating collaboration among the bodies and constituting a reference point/benchmark in the sector of ‗cleantech‘ at both an Italian and European level The unit which is concentrated on the sectors of environmental technology with particular focus on sustainable building, renewable energy and environmental management systems, enhances the process that, since 2005, has led to the technological district, Habitech, being accredited as a national and international benchmark in the sector of green building. Contrary to what happened to the majority of the Italian projects conceived for technological parks, business incubation centres and similar initiatives, the new Manifattura was founded on an already existing organic reality of dynamic enterprises, research centres and institutions that have shared the constitution of a district system. The new structure was conceived to host activities and projects with a consolidated background, therefore ensuring a rapid and sustainable start up.

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The project is sub-divided in 3 phases. The first, which is currently in progress, is directed for the most part, although not exclusively, (at)to new enterprises. A provisional renovation has facilitated the recovery of about 7000 square metres, almost entirely dedicated to new enterprises. In this area the process offered to new entrepreneurs is designed to transform a good entrepreneurial idea into a start up enterprise. In the 30 months of activity following the inauguration of the first operational spaces the proposals selected from entrepreneurs has numbered circa 50 (selected from about double the number of applications received). Of these about 20 have progressed from the incubation period and are now in the growth phase, while another 20 are still in the start-up phase (12 month period). The remaining 10 did not meet the selection criteria to progress to the successive phase after incubation. In function of the renovation of further production space, currently at tender, the project will dedicate progressively more space to the phases of consolidation and growth, reserving a surface area no greater than 20% of the entire space dedicated to enterprises for the incubation phase. The current economic recovery phase of Trentino, which cannot rely in a significant way on external interventions and foreign investment and which is occurring in a context of reduced room for manoeuver by the public sector, is conditioned by the interaction of different factors; 1) opening up to new markets both in terms of industrial sector and geographic location; 2) the repositioning of the traditional sectors towards those with a greater potential for growth; 3) the creation of new enterprises with a vocation for innovation, in particular those that generate jobs for young people. These three elements represent the fundamentals of the activities undertaken by Progetto Manifattura srl in the past five years. Specifically: 

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On the first point, the priority of the work consists in connecting Trentino to the increasingly strong sector of the sustainable economy (―green economy‖) which is experiencing significant growth in all international markets and in which Trentino can be positioned as ―exporter‖ ; On the second point, the commitment derives from the conviction that even traditional sectors, such as construction and related enterprises, must, in order to kick start growth, explore new frontiers in which the capability to interpret new market requirements and translate them into innovative products and services is imperative; Regarding the third point, Progetto Manifattura is already dedicating and intends to reinforce a specific and highly defined focus on enterprises consisting of young people because the productive regeneration of the Trentino economy can be achieved not only by repositioning existing enterprises but also by the creation of new innovative enterprises capable of capitalizing on the energy and the creativity of the younger generations (which the economic crisis has penalized to a greater extent in terms of employment).

Thus, Progetto Manifattura was conceived to promote the founding of new enterprises and the consolidation of existing enterprises within the context of a market defined by demand for goods and services characterized by environmental sustainability, energy efficiency and the conservation of natural resources. The reason for choosing this sector (following the analysis conducted by the European Commission, OECD, The Italian Union of Chambers of Commerce, to cite just a few, indicates growth at rates higher than the majority of other economic sectors) is based on: a. Social-economic trend analysis at national and international level b. The widespread perception, even at national level, is that one of Trentino‘s distinctive characteristics is its focus on sustainability (as indicated by its position at the top of the rankings in terms of quality of life and the environment). The Project therefore capitalizes on the enhancement of territorial advantage, rather than pursues the creation of an economic sector alien to the local fabric. Specialization in the ―green‖ economy is not a choice based on purely industrial criteria, but rather on the existence of a variety of competitive elements (a valued natural environment, a culture of a frugal use of natural resources, focus on economic and social sustainability as conditions of environmental sustainability). This can contribute to further reinforce the identity of Trentino even beyond its borders. Progetto Manifattura is therefore not an isolated initiative born from the projection of an ideal of how Trentino should be in the distant future, but instead it represents an integral part of a system of interventions and defined initiatives, developed over more than 10 years by the Province, and public

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and private bodies. Its growth is strongly linked to a provincial development strategy based on sustainability, whose objective is to stimulate further acceleration and promotion. Therefore, the set of instruments and mechanisms which Progetto Manifattura uses is not limited to the traditional physical incubation of new enterprises, but rather it consists of a coordinated system of services provided, composed of equipped spaces, training for entrepreneurs and specific tutoring and consultancy services (legal, accounting, fiscal/tax, marketing, access to financing, etc.) conceived for the already located enterprises, but accessible also to external enterprises. Public support for the growth of enterprises is in the form of services provided rather than the provision of financial grants/aid. This approach is more innovative than the traditional one, which is becoming even more unsustainable, of using a programme of economic incentives. The selection process of the entrepreneurial proposals is open, transparent and rapid. The evaluation criteria for the enterprise proposals is not conditioned by the myth of technological start ups but rather prioritizes the regeneration of traditional sectors (like construction and, in general, manufacturing). The process is not limited to accepting only new enterprises in that it intends to promote the integration of these with already existing enterprises in a context of communal growth. An essential feature of the project logic is to facilitate the creation of enterprise networks and other forms of collaboration and aggregation aimed at increasing the exchange of technical know-how and enhanced business opportunities. Thus, beyond the priority to generate quality employment for young people, a further objective of Progetto Manifattura is to act as infrastructure for the generation and spread of innovation. Alongside the promotion of innovative industrial processes open to collaboration with multiple bodies, Progetto Manifattura represents a focal point for the exchange and cooperation between enterprises and research and high-quality training & education institutions. In particular, since innovation has developed into a phenomenon much more complex than the pure transfer of technology of the research laboratory to the enterprise, Progetto Manifattura intends to adopt policies to favour the blend of a plurality of skills that can integrate in an advantageous manner in order to realize innovative processes, from the design of the enterprise organization to communication and marketing. Moreover, the project has been conceived according to criteria of economic sustainability. When all the production areas are ready and active, the company will generate profits sufficient not only to cover management costs, but also to generate a return on the investments by the Province within a period of 15 years. Finally, in order to achieve development at a local level, an important component of Progetto Manifattura is the visibility that it ensures beyond the provincial and national borders to the enterprises located within its structure, and that, in a broader sense, ―Trentino is a territory of sustainability‖. The dimensions and scope of the project are elements that contribute to that visibility, which is greater than the sum of its individual parts, and Progetto Manifattura invests efforts/energy in amplifying this ―multiplier effect‖ in the context of internationalization. The results of this effect translate into the greater appeal that Trentino offers to enterprises from other regions, the rest of Italy and beyond.

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Sustainable Innovation of Developing Smart Grids: a SocioEconomic Approach - Sabina Scarpellini, Juan Aranda, A. ArandaUsón, Eva Llera, A. Ortego Sabina Scarpellini Director of Socioeconomics Area Department of Management CIRCE University of Zaragoza Spain

Juan Aranda Department of Design and Manufacturing CIRCE University of Zaragoza Spain

Aranda-Usón CIRCE University of Zaragoza Department of Management Spain

Eva Llera CIRCE University of Zaragoza Spain

A Ortego CIRCE University of Zaragoza Spain

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Abstract It is known that developing smart grids can help reach the European Union ―2020 energy targets‖ moving towards new horizons like 2030. In fact, smart grids will increase the use of eco-innovation and new technologies, renewable resources to generate electricity in urban areas and promote new applications in mobility strategies and a more efficient domestic use of energy. It is common to find answers related to the technical considerations like: how sales of smart domestic applications evolve? How technological innovation can be switched in the actual grid? What will be the impact of the electric vehicle? Will it be, for example, a smart energy storage system promoting the distributed electricity generation? In this sense, some answers related to smart grids, the related eco-innovation development and their socio-economic related aspects have to be answered while encouraging large investments, particularly in the current international context of recession. For instance, the most suitable energy plans with effective energy policies have to be developed as well if smart grids are considered a key factor within energy sustainability. An analysis of eco-innovation related to smart grids and the cities of the futures has been carried out jointly with a basic socio-economic analysis in the early stages of implementing the technology to define investments in smart grids. The analysis and the obtained results are described in this paper with the socio-economic impact of eco-innovation on different industrial sectors that will be involved, their main environmental benefits and the social impacts of these smart grids on the whole of society.

Introduction In Spain, the first phase of adapting the grid to make it a smart grid has been driven by the replacement of the metering systems, established by Royal Decree 809/2006, which states that for new supplies as of 1 January 2007 and for meters that are to be replaced, remotely managed metering systems will be used. At the same time this decree is complemented by the Order ITC 3860/2007 that established the time limit for the substitution of current meters for remotely managed ones as 31 December 2018 and was supported with the approval of the "Meter Plan" (Plan Contador) through which users can choose to replace their meter for a smart meter early, and sign up for restricted hours tariffs that can reduce their electric bill by approximately 10%. Nevertheless the replacement of the metering systems is just one part, and surely the easiest, of the adaptation of the grid for it to work as a smart system and implementing smart grids involves overcoming the following technological challenges        

Ensuring sufficient transmission capacity to intercept the generation units, especially renewable energy sources throughout Europe Developing more efficient grid connections for off-shore systems and other marine applications Creating decentralised grid architectures to improve the integration of micro-generation systems Improving communication and protocols between all parts of the system Making demand management applications and systems available to consumers Finding the best solutions for integrating interconnection systems for distributed generation Developing domestic storage systems and integrating them into the distributed generation grid Improving the integration of electric vehicles in the grid

Due to the above the implementation of smart grids is still in its initial stages, as the majority of investment up to now has been focused on smart metering, which is now a reality. However, as we have seen, there are other challenges to overcome and therefore points of the electric system to adapt, to be able to have an electricity grid that really functions as a smart grid. Then, eco-innovation is needed in order to invest in new sustainable technologies.

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Background of the study Spain, as a member of the European Union, is faced with the challenge of adapting its electric system to new technologies, applying the principles established by the EU policies. The European Commission has proposed the Europe 2020 strategy, which considers objectives on employment, innovation, education, social integration, energy and climate change. On the subject of energy and climate change, this strategy establishes the following three objectives:   

The member states undertake to reduce their emissions of greenhouse gases by 20% with respect to the levels of 1990. A quota of 20% of renewable energy in the electric mix. An increase of 20% in energy efficiency.

These objectives were incorporated into the Spanish standards through the Law of Sustainable Economy, which set the following as the principles of its energy policy:   

Directing energy policy to guarantee supply security, economic efficiency and environmental sustainability. Setting national energy savings objectives and including renewable energy, paving the way for drawing up energy efficiency and savings plans. Boosting the diversification of energy supply sources, efficient development of the infrastructure and smart grids, and transparency and competition in the energy markets.

It is therefore established that smart grids are a key element of the future electric system, which means it is necessary to adapt the current transport and distribution grids and the metering and power conditioning equipment to the requirements of smart grids, as the current electricity infrastructure was not designed to satisfy the needs of an electricity industry with a high proportion of generation from renewable energy sources or the incorporation of equipment that manages the energy demand. It is currently difficult to estimate the impact the implementation of smart grids would entail for Spain in the coming decade. Different multidisciplinary analyses are needed that take into account the effects of this technological change on the investment, the production model, the habits of the citizens, the dimensions of the grids, etc. In this regard it may be deemed opportune to approach the analysis through the partial dimensioning of the impact, initially considering a medium-sized town, to then extrapolate the results obtained. Given these premises, at the end of 2011, the city of Zaragoza in the region of Aragon (Spain) was the subject of an in-depth analysis within the framework of a research project carried out by the authors of this paper. The city of Zaragoza is in the region of Aragon, at the centre of the north-east quadrant of Spain between the most significant Spanish regions in terms of economic activity: Madrid, Catalonia, the Basque Country and Valencia, which means it is a strategic enclave for the location of companies for both production and distribution. The main geographical and population data for the region of Aragon and the city of Zaragoza is as follows:

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Region of Aragon: 

Population: 1,346,293 inhabitants [12]



Surface area: 47,719 km [12]



Population density: 28.21 inhab./km .

2

2

City of Zaragoza: 

Population: 674,725 inhabitants [13]



Surface area: 973.7 km [13]



Population density: 692.94 inhab./km .

2

2

Figure 1. Demographic data for the region of Aragon and the city of Zaragoza, the subject of the study (authors' compilation) The analysis carried out had the following main objectives:    

To provide a global vision of the smart grid that the city would require and the modifications that would be necessary to prepare the current grid To analyse the investment that would also be required To identify the sectors involved To design a method for defining the size of the investment and assessing the jobs created by this investment

The following figure shows the process of the study carried out to define the city in terms of energy.

Figure 2: Energy definition process (authors' compilation)

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As a first step to define the city in terms of energy, we began using the results obtained from two 1 research projects carried out by the authors within the CIRCE Research Centre on the energy structure of the region throughout 2010 and 2011 and on the development of the renewable energy industry in the region in 2008, through which the following aspects were identified:      

Local energy resources Socio-economic effects of the energy sector in Aragon Energy audits (from primary to final power, distributed by sector) Energy production in Aragon using renewable and conventional energy sources Energy infrastructure in Aragon: electrical grids and gas networks The industrial sectors that consume energy and energy efficiency, and savings measures for each of them.

Using the results obtained, energy use in the Region of Aragon was defined. To do this the most exemplary projects in terms energy efficiency were taken into account in light of how easily they can be replicated or the level of innovation of the technology applied. Throughout the study the following were defined:     

14 electric power generation plants using renewable energy sources 4 electric power generation plants using conventional sources 2 electricity transmission grids 2 gas transmission grids 37 industries and other sites of energy consumption

To identify the challenges and opportunities regarding the energy structure of the region to define the strategic line to follow, the following factors were measured:       

Structure of the energy sector in Aragon Growth projection Current situation and growth projection Technical analysis of the different renewable energy technology types Socio-economic aspects of renewable energy in Aragon Feasibility of the different renewable energy systems Priority lines of R&D&I in energy efficiency

In the final study we proceeded through the multi-sector analysis of the data obtained to draw up a SWOT analysis applied to the renewable energy technology types available in the area analysed (solar thermal, solar thermoelectric, solar photovoltaic, wind, mini hydraulic, biomass) and the perspective for growth in a 10-year scenario. As result of the energy definition of the region and SWOT analysis, the following results were obtained, which were the starting point for this paper. Regarding the distribution of the electricity consumption by sector in the region, the following table summarises the consumption by the main sectors analysed. Sector

Annual consumption of electricity (MWh)

Industry 5,205,249 Transport 195,565 Residential, 4,297,260 commercial and services Agriculture and farming 263,189 Energy 775,552 Table 1: Distribution of electricity consumption per sector in Aragon ____________________________ 1

Annual consumption of electricity (%) 49% 2% 39%

3% 7%

CIRCE- Research Centre for Energy Resources and Consumption. www.fcirce.eu

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The data from the residential, commercial and services sectors (the main areas of activity in the urban nucleus of the city in this paper's case study) must be added to that of their population, building and employment in the city of Zaragoza, which is summarised in the following table.

Inhabitants Average occupation per home

2001 [16]

2011

%

614,905 2.7

674,725 2.7

9.7 0

Table 2: Data on the population and dwellings in Zaragoza. (Source: INE - Spanish National Institute for Statistics 2001 and 2011) As the last population census was in 2011 and the latest data on dwellings was from 2001, the values were corrected as follows, assuming the occupation per home has remained constant:

Where: inhab2011 : population in Zaragoza, in 2011

inhab2001 : population in Zaragoza, in 2001 homes2011 : homes in Zaragoza, in 2011 homes2001 : homes in Zaragoza, in 2001 Thus obtaining the updated result necessary for the analysis, according the table below. 2001 2011 Homes 226,479 249,898 Table 3: Number of homes in the city of Zaragoza in 2011 (authors' compilation) Finally, as result of the energy definition of the Region of Aragon and the characterisation of the electric energy consumption points of the city of Zaragoza, the following values were obtained and are considered the base of the socio-economic analysis carried out for the implementation of the smart grids.       

Number of homes: 249,898 Population: 674,725 2 Population density: 692.94 inhab./km Average consumption of electricity per household: 4000 kWh/year Number of cars per 1000 inhabitants: 426.5 [18] Number of substations of the electricity distribution company in Zaragoza 266 Number of transforming stations of the electricity distribution company in Zaragoza: 9062

Grids of the electricity distribution company of Zaragoza :   

High voltage (Unom ≥ 36 kV): 5165 km Medium voltage (1 kV ≤ Unom ≤ 36 kV): 12,177 km Low voltage (Unom ≤ 1 kV): 11,783 km

The data on the electricity infrastructure in the region is summarised below. Substations Transforming Distribution Transmission (no./1000 stations grids grids inhab.) (no./1000 inhab.) (m/inhab.) (m/inhab.) 0.19 6.47 17.11 3.6 Table 4: Data on the electricity infrastructures per inhabitant in Zaragoza (authors' compilation) Using this data a specific methodology for socio-economic impact assessment was designed, which is described in the following section.

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Methodolgy As specific methodology for the calculation of the socio-economic impact in a city of these dimensions due to the implementation of smart grids with a timeframe of a decade are not available in the literature, we opted to design a specific method for this purpose. It included the analysis of 12 variables considered fundamental for estimating the impact that the investment to be carried out in Zaragoza could have, to adapt the current electricity grid to the requirements of a smart grid. Table 5 shows the variables of the study: Number Variable 1 Costs for transmission grid 2 Costs for distribution grid 3 Costs per user 4 Number of inhabitants 5 Number of homes 6 Project execution time 7 Rate of investment deployment 8 Rate of acceptance of smart applications by users 9 Average energy consumption per household 10 Length of distribution grids 11 Length of transmission grids 12 Number of substations and transforming stations Table 5: Study variables

Unit €/m €/m €/inhab. Units Units Years %/year %/year kWh m $m Number

The first phase of the method was to carry out an analysis from generation to consumption for the dimensions of the town in the study, as indicated in the following figure.

Figure 3: Steps for the generation-to-consumption analysis in the energy definition method for Aragon (authors' compilation) As a starting point for the dimensions of smart grids it is necessary to have the parts that are considered components of smart grids, such as:   

Transmission grid and substations Distribution grid and transforming stations Consumer

All these elements comprise smart grids and, consequently, it is necessary to calculate the costs of adapting each of these parts, as the investment will be made by these parties. To be able to comprehend the investment necessary in each of these parts, we shall describe the equipment that needs to be installed for a complete smart grid:

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Transmission grids and substations The main equipment envisaged to implement smart grids is summarised in the following table. Equipment

Description

Sensors

To be able to monitor and manage it in real time, smart electronic systems will also be required that record and send information about the state of the grid to a monitoring system

Storage systems

Currently the energy is stored only by reversible hydropower plants, but to guarantee grid security this must be increased by using storage systems with compressed air and large systems of batteries that allow the integration of more renewable energy. It is expected that lithium-ion systems will reduce the cost and be a reasonable medium-term option.

New protection

To guarantee the security new current limiters will need to be incorporated.

Communication systems

Smart substations need new communications equipment and improvements to the communication networks to be able to work safely.

Elements of cybersecurity

Having such a powerful communications network must be secure against attacks. In addition the networks shall guarantee the privacy of the users' data.

Table 6: Components to install in the transmission grids and substations. (Electric Power Research Institute. 2011 Technical Report)

Distribution grids The equipment deemed necessary to update the distribution networks is listed below.

Equipment Automated distribution

Smart transformers

Smart metering

Description Integration of SCADA systems and two-way sensors is required to be able to communicate with the grid. This allows constant information on the grid parameters such as voltage or current. Thanks to the automation and communication with the substations the distribution grids can be reconfigured depending on the generation and demand. To be able to manage the distribution optimally, the low voltage transformers must be adapted for two-way operation to manage the capability of the distributed generation systems incorporated in the grid. The distribution grid will have to have nodes that are the point of union between the grid and the user; the meters will be these nodes. They must be managed remotely, with two-way operation and data recording with time restriction.

Table 7: Components to install in the smart distribution grids. (Electric Power Research Institute. 2011 Technical Report)

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User If the problem of establishing smart grids from the point of view of the users is tackled, the main equipment to install is detailed in the following table. Equipment

Description

Power conditioning systems for the generation units

The integration of renewable energy in buildings requires small invertors and power conditioning systems for this energy to be distributed through the grid.

Management systems

The definition of smart customers means the users can decide in which range of prices they will use the energy and, for this, domestic energy management systems will need to be incorporated.

Smart applications The equipment that uses the energy will have to communicate with the grid and for demand to know its state, to be able to adapt its response to its state. All appliances management would become components of the smart grid. Vehicles

The penetration of the electric vehicle will mean that grids have a large unit demanding energy and they will have to act as stabilisers, communicating and managing its charge and even discharge depending on the needs of the grid.

Storage

At domestic level, small storage units will be developed to guarantee the stability of the system. From systems of acid electrolyte to lithium-ion.

Table 8: Components to install for smart users. (Electric Power Research Institute. 2011 Technical Report) The methods used to calculate the investment to be made in the period 2011-2030 to adapt Zaragoza's grid to a smart grid have been designed sequentially as follows:

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Figure 4: Sequential method of the energy characterisation of the case study city (authors' compilation) Once the systems that, when installed in each of the components of the grid, make it a smart grid have been determined, it is necessary to know the costs its implementation would entail. For this the following economic data for the adaptation of a smart grid in the United States was used as a starting point. Distribution

Transport

Customer

$285,684,500,000

$86,229,500,000

$35,020,000,000

69.98%

21.64%

8.37%

Table 9: Investment to be made by the various parties involved in a smart grid in the period 20112030. As the values of the costs are for the USA the authors have obtained the relative costs from this report using the following indicators:   

Distribution grids (€/m): Indicates the investment to be made per metre of the existing distribution grid. Includes the costs related to the investment to be made in the transforming stations. Transmission grids (€/m): Indicates the investment to be made per metre of the existing transmission grid. Includes the costs related to the investment to be made in the transformation substations. Customer (€/inhab.): Indicates the average investment that an inhabitant would make, including in this value the costs that each inhabitant would make on average to acquire smart equipment.

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Thus we have the following values: Distribution

Transport

Customer

55 €/m

202 €/m

84 €/inhab.

Table 10: Specific costs of a smart grid. Authors' compilation using data from [20] To be able to use the values as initial values for the study in Zaragoza it was decided to compare the electricity infrastructures and the energy consumption and mobility data in the city of Zaragoza with that of the United States, obtaining the following values:

Distribution

USA

Zaragoza

Lines (m/inhab.)

12.53

17.11

Lines (m/inhab.)

2.24

3.6

Transport

Substations (units/1000 0.19 €/inhab.) Average electric energy 4800 consumption per household (kWh) Customers Inhabitants per 2.19 household Vehicles/1000 478 inhabitants Table 11: Comparison between the characteristics of the electrical grids.

0.19

4000

2.7 426.5

It was seen how the values are very similar, which validates the economic figures as starting values, although it was decided to correct these values to adapt them to the conditions of Zaragoza with the following factors:   

Correction index for the costs incurred on the distribution grid Correction index for the costs incurred on the transmission grid Correction index for the costs incurred by the customer

The values decided for these indices and their rationale are as follows:   

(0.92) to correct the more vertical town planning models of Zaragoza as opposed to the more horizontal model of the USA. (1.05) to correct an initial condition of the transmission grid that is worse than in the case of the USA.to (1.1) tocorrect the higher occupation per home and therefore lower number of smart domestic applications per user.

Distribution Transport Base 55 €/m $202 m Correction (2) A (0.92) B (1.05) factor Corrected (1)*(2) 51 €/m 213 €/m base Table 12: Specific costs of a corrected smart grid. Authors' compilation (1)

Customer 84 €/inhab. C (1.1) 93 €/inhab.

Once the method had been applied and the main data put forth, a socio-economic analysis was carried out. The principal results of this are explained in the following section.

Principal results of the socio-economic analysis As a first step in the analysis it was necessary to take into account that in all cases smart grids will have a higher or lower cost than that established depending on the technological learning curve they have. For this reason it was decided to establish two investment limits that reflected a real grid cost,

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higher or lower than the established base due to the uncertainty with respect to the real cost of the system [24]. The limits established are the following:  

Minimum: Reduction of the investment by 25% as a consequence of lower costs for the installation and adjustment of the current grids than those established in Table 12. Maximum: Increase in the investment by 25% as a consequence of higher costs for the installation and adjustment of the current grids than those established in Table 12. The result of applying two scenarios to the base prices shown in Table 12 is the following:

Graph 1: Specific costs of a smart grid in Zaragoza (authors' compilation) With this data the investment to be made by the various parties that comprise the grid for the city of Zaragoza was obtained and is summarised in the following table: Minimum (€) Maximum (€) % Distribution 471,926,672 € 737,385,426 € 50.45 Transport 413,192,299 € 645,612,968 € 44.17 Customers 50,327,551 € 78,636,798 € 5.38 TOTAL 935,446,523 € 1,461,635,192 Table 13: Investment to be made for a smart grid in the city of Zaragoza in the period 2012-2030 (authors' compilation) Using the values of the investment that would be made in the city of Zaragoza, it was decided to determine the impact that this investment would have on the creation of jobs. For this purpose we started using the following data from a preliminary study drafted in the USA that relies in from the following premises:    

Investment to adapt the transmission and distribution grid in the USA: $64,000 M Time in which all the grids would be adapted: 4 years Pace from starting work to having all the grids in the adaptation phase. Year

1

2

3

4

% implementation

30

40

25

5

Table 14: Pace of starting the adjustment work in all of the grids (KEMA January 2009) Similarly, with respect to the rate of execution of the projects, the following cases were considered:  

Time to execute a grid adaptation project: 5 years Roll-out pace of the investment to be made in each grid adaptation project.

Year 1 2 3 4 5 % implementation 15 25 30 15 15 Table 15: Rate of roll-out investment to be made in each project (KEMA January 2009) This preliminary study analyses the impact all the conditioning to be performed on the distribution and transmission grid would have on the creation of jobs, without considering the impact that this

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investment would principally have on the manufacture of domestic applications for smart grids, so that the investment the customer will make, shown in Table 12, is not considered. Therefore the authors of this paper adapted this method to incorporate the effect this investment would have on the customer, shown in Table 13. The hypotheses are:   

Time to begin the adaptation work in all of the transmission and distribution grids in Zaragoza: 2012-2020 Time to complete each grid adaptation project: 5 years Pace for starting the adaptation projects of the transmission and distribution grid: Year

2012

2013

2014

2015

2016

2017

2018

2019

2020

% implementation

5

10

15

15

20

15

10

5

5

Table 16: Roll-out phase for the adaptation projects of the transmission and distribution grids (authors' compilation) The consideration of estimating that all the projects where grid conditioning is necessary will have to begin before 2020 is taken with the premise that full installation of smart meters that will happen up to 2018 will work as a catalyst for the rest of the adaptation work. Smart grids will be more or less developed depending on the demand generated by electric mobility, distributed generation or domestic energy management technology. Therefore, the rate of users becoming smart applications demanding users in different scenarios are summarised in the table below: Year

2014

2016

2018

2020

2022

2024

2026

2028

2030

2015

2017

2019

2021

2023

2025

2027

2029

% adjustment scenario (1)

5

5

10

10

15

20

20

10

5


5

20

20

20

15

5

5

5

5


5

5

5

5

15

20

20

20

5

Table 17: Scenarios of acceptance of smart solutions by the users (authors' compilation) The scenarios considered are the following: Scenario 1 covers a progressive penetration of smart applications as a consequence of the whole adapted grid in 2020, the following years cause a high demand for applications and the later years (2028-2030) full demand from domestic smart applications by all users. Scenario 2 covers a penetration that is initially very high as a consequence of widespread acceptance of this technology, as it offer great advantages for users. This scenario is also linked to an increase in the price of energy which causes the smart energy management systems, distributed generation, rates differentiated by time bands and electrical vehicles all develop quickly and in the later years (2024-2030) the remaining 20% of users adapt to the new applications. Scenario 3 is symmetrical to 2 and shows a very low market penetration initially but in the years 20242030 there is a high acceptance of the applications and consequently it is in these years that 65% of users demand smart applications. As a consequence of the application of this method we obtain the results regarding the rate of investment made both by customers and consumers and by the transmission and distribution grids and their annual evolution, which are as follows according to the various scenarios contemplated (minimum and maximum cost) and different acceptance by the users, giving rise to the 6 scenarios shown in the following figure:

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Graph 2: Total investment to be made in the smart grid in Zaragoza (authors' compilation) Having the annual business that would move the smart grid in the city of Zaragoza allows us to transfer the economic values to job creation. To calculate them we started from the values established by the report, which establishes that in the USA the investment to adapt to the smart grid caused this impact: Jobs in the USA Grid roll-out phase

Stable

Number

number

278600

139700

Table 18: Jobs created by smart grids in the United States. (KEMA January 2009) Extrapolating these values to the figures of the investment carried out in Zaragoza provides the data on the jobs created by this investment. These values are shown in Table 19. Roll-out phase 2012-2020

Stable 2020-2030

number

Number

minimum investment

5375

2695

maximum investment

8399

4211

Table 18: Generation of jobs due to investment in smart grids in the city of Zaragoza (authors' compilation)

Conclusions It is clear that smart grids are bursting with technical and environmental advantages as they bring about the possibility of a new energy model in which the consumer will be an integral part of the grid, 211


and micro-generation systems with renewable energy and new applications such as the electric vehicle will be common elements of the future system. Nevertheless the development of the grid requires significant investments to adapt and prepare the current systems for the new requirements. Thus investment in smart grids can constitute a new economic motor that may develop new equipment and services for society and will inherently stimulate the labour market demanding applications and specific services for them. Smart grids will have more or less development depending on the social demand of the applications, but for there to be enough initial demand, policies and actions regulated by the government need to be created beforehand to boost the demand and favour the roll-out of this technology based on the improved energy sustainability they champion.

References European Commission, Smart Grids: from innovation to deployment, COM (2011) 202 Casellas, F., Velasco, G., Guinjoan, F., Piqué, R., El concepto de Smart Metering en el nuevo escenario de distribución eléctrica, 2011 www.ibm.com http://www.ibm.com/podcasts/howitworks/040207/index.shtml Mubadala Company. Masdar Project, www.masdar.ae (Accessed 01.12) Spanish Royal Decree 809/2006 of 30 June, which revises the electricity tariffs as of 1 July 2006. Spanish Order ITC/3860/2007, of 28 December, which revises the electricity tariffs as of 1 January 2008. Spanish Ministry of Industry, Tourism and Commerce. El Plan Contador ayudará a los consumidores a ahorrar electricidad y abaratar su factura, http://www.mityc.es/es-es/gabineteprensa/notasprensa/Paginas/PlanContador080609.aspx Accessed 01.12) European Technology Platform Smart Grids. Strategic Deployment Document for Europe's Electricity Network of the future, ftp://ftp.cordis.europa.eu/pub/technology-platforms/docs/smartgrids-sdd-draft-25-sept-2008_en.pdf (Accessed 02.12) European Smart Grid Technology Platform. Vision and Strategy for Europe's Electricity Networks of the Future, http://ec.europa.eu/research/energy/pdf/smartgrids_en.pdf (Accessed 01.12) European Commission. Europa 2020, http://ec.europa.eu/europe2020/index_es.htm (Accessed 01.12) Spanish Royal Decree Law 2/2011, of 4 March, on sustainable economy. Spanish National Institute for Statistics. Official population figures, http://w.aragon.es/DepartamentosOrganismosPublicos/Organismos/InstitutoAragonesEstadistica/Are asGenericas/ci.Ultimos_Datos.detalleDepartamento (Accessed 01.12) Aragonese Institute for Statistics. Statistical maps, yhttp://bonansa.aragon.es:81/iaest/fic_mun/pdf/50297.pdf (Accessed 02.12) Breto, S., Uriel, J.C., Ullo, J., Izquierdo, P., Aranda, A., Scarpellini, S., Barrio, F. and Andres, M.P., La Energía en Aragón, Ed. Department of Industry, Commerce and Tourism, Autonomous Government of Aragon, 2010. Zabalza, I., Aranda, S., Scarpellini, S., Llera, S. and Martinez, A., Energías Renovables en Aragón, Ed. Consejo Aragonés de Cámaras oficiales de Comercio e Industria, Confederación de Empresarios de Aragón and Caja de Ahorros de la Inmaculada. Spanish National Institute for Statistics. Census on http://www.ine.es/censo2001/censo2001.htm (Accessed 02.12)

population

and

housing

2001,

IDAE. Guía práctica de la energía: Consumo eficiente y responsable 2010, http://www.idae.es/index.php/mod.documentos/mem.descarga?file=/documentos_11046_Guia_Practi ca_Energia_3_Ed.rev_y_actualizada_A2011_01c2c901.pdf (Accessed 01.12)

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Aragonese Institute for Statistics. http://www.aragon.es/DepartamentosOrganismosPublicos/Organismos/InstitutoAragonesEstadistica/ AreasGenericas/ci.Ultimos_Datos.detalleDepartamento III Jornadas Sobre Líneas Eléctricas y Medio Ambiente. REE Española. 6 y 7 de octubre de 1999. http://www.ree.es/medio_ambiente/pdf/iiijornadas-ma.pdf (Accessed 02.12) Gellings, C., Estimating the Costs and Benefits of the Smart Grid. Ed. EPRI, 2011. BERR. Energy Trends December 2007, www.berr.gov.uk/files/file43304.pdf (Accessed 02.12) CIA World Factbook, 28 July 2005 U.S Census Bureau. U.S. & World Population Clocks, http://www.census.gov/main/www/popclock.html (Accessed 01.12) Fernández, J., Marco Regulatorio para el desarrollo de las redes inteligentes, IM Energía. Jornadas sobre redes inteligentes de electricidad, una estrategia para España, Madrid 17 May 2011. KEMA, The U.S. Smart Grid Revolution: KEMA‘s Perspectives for Job Creation, Ed. GridWise Alliance, 2008.

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Adapting Sustainable Product Development to Different Industries and Considering a Regional Context - Josef-Peter Schöggl, Rupert J. Baumgartner Josef-Peter Schöggl Junior Researcher University of Graz Graz Austria

Rupert J. Baumgartner Professor for Sustainability Management University of Graz Graz Austria

Abstract This paper outlines how the Checklist for Sustainable Product Development (CSPD), which was developed for an application in the automotive industry, can be adapted and applied in other industries. Secondly it illustrates how a regional context can be considered in such a sustainable product development process.

Introduction Over the last decade, the topic of sustainable development has gained importance in many industrial sectors. Depending on the industry under consideration this trend is driven by increasingly stringent regulations, potentials for product diversification and increased public awareness. The consideration of sustainability topics throughout a products entire life cycle has, at least in some industries, not only become a task for establishing a ―green‖ image but also for maintaining competitiveness in a changing business environment. As authors such as Byggeth et al. (2007) or Mascle & Zhao (2008) state, these considerations should start already in the early product development phase since in this phase not only up to 80 % of a products costs but also the majority of its environmental and social impacts are determined. Hence, an early consideration of sustainability aspects is crucial for identifying possible problems and finding solutions timely. One approach to deal with the challenge to develop green and sustainable products is the application of ―Eco-Design‖ or ―Design for Sustainability‖ methods (Abele, et al. 2007; Mayyas, Qattawi, Omar, & Shan, 2012; Spangenberg et al. 2010; Wimmer, Züst, & Lee, 2004). Examples for such methods are the Eco-Design Pilot by Wimmer et al. (2004), the Eco-Design Checklist by Brezet & van Hemel (1997), the Design for Sustainability Impact Profile of the United Nations Environment Program (2009), the Method for Sustainable Product Development by Byggeth et al. (2007) or the Checklist for Sustainability Product Development (CSPD) by Schöggl et al. (2014). Among these tools the CSPD provides a method, which allows the integration of a full life cycle perspective into early phases of product development considering all three dimensions of sustainability (environment, society, economy). Due to its characteristics it is also applicable for innovative technologies, for which only limited information and experience concerning their

214


sustainability performance is available. In the following section we describe the main features of the CSPD and show how it can be adapted to different industries and products. Then a process for integrating a regional context is suggested. Finally conclusions are drawn and suggestions for further research are given.

The Checklist for Sustainable Product Development The CSPD is a tool for sustainable product development,    

Which allows the qualitative assessment of sustainability aspects in early phases of product development, with a specific focus on innovative automotive technologies and materials, Which facilitates the integration of awareness for sustainability into day-to-day business, Which supports decisions over different technologies based on the sustainability assessment and Which aims at triggering life cycle thinking among executives, designers and engineers.

It supports designers and engineers in identifying sustainability related improvement options of technologies or products, already in early phases of product development (e.g. product vision, concept phase). The CSPD consists of a set of yes/no questions, which are categorized into the four life cycle stages engineering, production, usage and end-of-life phase. The questions aim at the consideration of sustainability aspects, which derive from a top down analysis of nine key categories for sustainability. These nine key categories are: 

resource efficiency



resource consumption



use of low-impact materials



optimization of the EOL phase



health and safety aspects



transport and logistics



social and ethical aspects



decrease of environmental pollution



economic efficiency and profitability

These are linked to one or more sub categories, which can be furthermore categorized into one or more sustainability dimensions (Sust. Dim.) and one or more of the four sustainability principles of the Framework for strategic sustainable development (FSSD) (Holmberg & Robèrt, 2000; Robèrt et al., 2002). As illustrated in Figure 1 the initial version of the CSPD, which was developed for its application in the automotive industry, comprises 47 yes/no questions which were linked to 35 subcategories (Schöggl, Baumgartner & Hofer, 2014).

215


4 Sustainability Principles

based on the FSSD

9 Key Based on an evaluation of eco-design categories tools 35 Sub- Derived from the evaluation of tools categories and a review of sustainability aspects 47 Yes/No Derived from a literature review & questions empirical assessments

Figure 1: outline of the CSPD (own illustration based on Schöggl et al. 2014) The main aim of the sustainability assessment with the CSPD is to reach a state in which all relevant sustainability aspects are taken into account. Since the application of the CSPD does not require quantitative material and process data, the CSPD can support decisions in situations when only limited information is available. However it is also applicable for more detailed assessments and for the evaluation of necessary actions and solutions for overcoming violations of the four sustainability principles identified within the CSPD (Schöggl et al., 2014).

Applying the CSPD Figure 2 illustrates the generic process of applying the CSPD. In the first assessment the designers and engineers answering the questions have to state if they already considered the certain aspect. Along with the evaluation if a certain aspect is considered or not, they have to rate the relevance of the aspect for the evaluated technology and have to give a qualitative description of the measures undertaken for its consideration. If an aspect is not considered yet in an appropriate way, necessary to-do´s have to be defined. After the first assessment is finished, the resulting to-do list serves as foundation for defining measures for overcoming the identified sustainability gap. The progress of the implementation of improvement measures is furthermore monitored and documented in follow up sessions, in which the to-dos and the status of their resolution is discussed continuously.

Figure 2: Application process of the CSPD The initial test of the CSPD with nine innovative automotive lightweight technologies showed that an optimal frequency for such follow-up sessions are 3-5 months, depending on the technology/product under consideration and the amount of defined to-dos (Schöggl et al., 2014).

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Adapting the CSPD to different industries One major feature of the CSPD method is that it distinguishes itself from traditional eco-design or design for sustainability tools by the use of specific questions, which are fitted to the respective area of application. On the other hand it serves as a basis for an adaption to different applications, respectively another industry or another product. Figure 3 illustrates the required process for such an adaption of the CSPD. As illustrated on top of the figure, the first step that has to be undertaken is to collect material sustainability aspects for the new field of application. This process can follow the one conducted by Schöggl et al. (2014) for fitting it to the application of automotive lightweight technologies. It comprises a mixed method approach of a literature review in peer-reviewed journal publications and of relevant standards/guidelines and an empirical approach with experts from the field. Possible methods for defining important aspects empirically are expert interviews, surveys or focus groups. The collection of aspects might also include company specific aspects, such as customer requirements or internal policies. In the next step the resulting list of relevant sustainability aspects is matched with the general part of the CSPD, which encompasses the four sustainability principles, the 9 key categories and the 35 subcategories. In this matching the aspects are assigned to either on of the subcategories or are used to create new subcategories. If the CSPD is applied in the automotive industry the 35 original subcategories are sufficient. For its application in other industries the matching might require to add and remove some subcategories. The nine key categories and the four sustainability principles however can stay the same since they provide a generic sustainability perspective valid for different areas. In this phase each aspect has also be assigned to one or more of the four life cycle phases engineering, production, usage and end-of-life. As it was the case with the initial CSPD some aspects were relevant in several life cycle phases. The resulting list of subcategories and aspects can be used for suggesting a set of particular yes/no questions. This suggestion is the basis for the final definition of questions in workshops with experts. The resulting adapted version of the CSPD encompasses a new number of yes/no questions and subcategories. The number of key categories and sustainability principles as well as the process illustrated in Figure 2 remains the same.

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Figure 3: Adaption of the CSPD to different industries under consideration of a regional context

CSPD in a regional context In general literature on eco-design or sustainable product development in a regional context is limited. A keyword search (Scopus and Web of Knowledge) for publications using the specific terms ―ecodesign‖, ―eco-design‖ or ―sustainable product development‖ together with ―region‖ or ―regional‖ in their title, keywords or abstracts only resulted in 25 publications from 1999 until September 2014. They mainly focus on engineering (13 publications) and environmental science (6). Screening these publications revealed that only seven of them discuss sustainable product development methods and approaches (Garcia, Gonzalez, & Garcia, 2013; Griese, Stobbe, Reichl, & Stevels, 2005; Keitsch, 2012; Mery, Tiruta-Barna, Benetto, & Baudin, 2013; Mirabella, Castellani, & Sala, 2014; Saha, 2013; Trappey, Ou, Lin, & Chen, 2011). The other publications focus on areas such as sustainable regional or urban development in general, industrial ecology, residence design or watershed management. Out of the seven publications focusing on sustainable product design, only Griese et al. (2005) particularly discuss regional implications of product development. They point out that sustainable product design demands for precompetitive collaboration along the supply chain as well as within and across regions. The CSPD has two main regional implications. Firstly, it can be used to promote regionality by emphasizing the reduction of transport distances or the collaboration regional partners. This can be done by focusing the assessment with the CSPD particularly on regional aspects. In the initial version of the CSPD eleven of 35 subcategories have such a regional implication. In the engineering phase these are the three categories ―consideration of the end-of-life phase‖, ―design for transport‖ and ―employee satisfaction‖. In the production phase these are ―health issues‖, ―resource efficient production‖, ―transport efficiency‖ and ―transport distances―. In the end-of-life phase these are the four categories ―reuse―, ―recycling―, ―further processing― and ―disposal―. If the CSPD is adapted according to the process illustrated in Figure 3 a regional context can be considered already in the definition of subcategories and questions. The extent of such a consideration might vary from industry to industry and from case to case. Secondly, a sustainable product development process can be facilitated by including regional and cross-regional stakeholders as stated by Griese et al. (2005). This particularly holds true for the application of the CSPD in early product development phases. Resolving a defined 218


to-do list may require exchanging with departments and suppliers and finding solutions together. This process can be furthermore facilitated by forming regional eco-design groups.

Conclusion This paper described a generic process for assessing and improving the sustainability performance of a product, using the Checklist for Sustainable Product Development (CSPD) by Schöggl et al. (2014). It then presented how the CSPD, which was initially developed for an application in automotive product development, can be adapted to other industries. Finally regional implications of sustainable product development and the possibilities for considering regional aspects with the CSPD were briefly discussed. It can be concluded that the CSPD is on the one hand applicable to other industries, when the adaption process outlined in this paper is applied. On the other hand it can also be used to include regional aspects into a product development process. There is however a need for testing these assumptions empirically. As a literature review revealed, additional need for research exists regarding the general coherences between sustainability product development and regional aspects, since only a few publications address these topics jointly.

References Abele, E., Anderl, R., & Birkhofer, H. (2007). Environmentally-Friendly Product Development: Methods and Tools Retrieved from http://books.google.com/books?hl=de&lr=&id=UXJ2mmOOf_cC&pgis=1 Brezet, H., & van Hemel, C. (1997). Ecodesign: a promising approach to sustainable production and consumption. Industry and environment (Vol. 20, p. 346). Byggeth, S., Broman, G., & Robért, K. H. (2007). A method for sustainable product development based on a modular system of guiding questions. Journal of Cleaner Production, 15, 1–11. doi:10.1016/j.jclepro.2006.02.007 Garcia, R. R., Gonzalez, S. M., & Garcia, L. M. (2013). Eco-design workshop: Delivering new concepts for future designs. In 2013 International Conference on New Concepts in Smart Cities: Fostering Public and Private Alliances (SmartMILE) (pp. 1–3). IEEE doi:10.1109/SmartMILE.2013.6708191 Griese, H., Stobbe, L., Reichl, H., & Stevels, A. (2005). Eco-design and beyond - key requirements for a global sustainable development. In Proceedings of 2005 International Conference on Asian Green Electronics, 2005. AGEC. (Vol. 2005, pp. 37–41). IEEE. doi:10.1109/AGEC.2005.1452313 Holmberg, J., & Robèrt, K.-H. (2000). Backcasting from non-overlapping sustainability principles — a framework for strategic planning. International Journal of Sustainable Development and World Ecology, 7, 291–308. Retrieved from http://www.fysiskplanering.se/ste/tmslm.nsf/attachments/Holmberg and Robert 2000 - Backcasting from non-overlapping_pdf/$file/Holmberg and Robert 2000 - Backcasting from non-overlapping.pdf Keitsch, M. (2012). Sustainability in industrial design: Concepts, challenges and opportunities. In Sustainable Development: New Research (pp. 157–168). Nova Science Publishers, Inc. Retrieved from http://www.scopus.com/inward/record.url?eid=2-s2.0-84896160861&partnerID=tZOtx3y1 Mascle, C., & Zhao, H. P. (2008). Integrating environmental consciousness in product/process development based on life-cycle thinking. International Journal of Production Economics, 112(1), 5– 17. doi:10.1016/j.ijpe.2006.08.016 Mayyas, A., Qattawi, A., Omar, M., & Shan, D. (2012). Design for sustainability in automotive industry: A comprehensive review. Renewable and Sustainable Energy Reviews, 16(4), 1845–1862. doi:10.1016/j.rser.2012.01.012 Mery, Y., Tiruta-Barna, L., Benetto, E., & Baudin, I. (2013). An integrated ―process modelling-life cycle assessment‖ tool for the assessment and design of water treatment processes. The International Journal of Life Cycle Assessment, 18(5), 1062–1070. doi:10.1007/s11367-012-0541-5

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Mirabella, N., Castellani, V., & Sala, S. (2014). LCA for assessing environmental benefit of eco-design strategies and forest wood short supply chain: a furniture case study. The International Journal of Life Cycle Assessment, 19(8), 1536–1550. doi:10.1007/s11367-014-0757-7 Robèrt, K. H., Schmidt-Bleek, B., Aloisi De Larderel, J., Basile, G., Jansen, J. L., Kuehr, R., … Wackernagel, M. (2002). Strategic sustainable development - Selection, design and synergies of applied tools. Journal of Cleaner Production, 10, 197–214. doi:10.1016/S0959-6526(01)00061-0 Saha, P. K. (2013). Strategic sustainability through a product development tool. In Green Design, Materials and Manufacturing Processes - Proceedings of the 2nd International Conference on Sustainable Intelligent Manufacturing, SIM 2013 (pp. 209–214). Retrieved from http://www.scopus.com/inward/record.url?eid=2-s2.0-84880125119&partnerID=tZOtx3y1 Schöggl, J., Baumgartner, R. J., & Hofer, D. (2014). A Checklist for Sustainable Product Development - Improving sustainability performance in early phases of product design. In Tools and Methods for Competititve Engineering (pp. 563–576). Spangenberg, J. H., Fuad-Luke, A., & Blincoe, K. (2010). Design for Sustainability (DfS): the interface of sustainable production and consumption. Journal of Cleaner Production, 18(15), 1485–1493. doi:10.1016/j.jclepro.2010.06.002 Trappey, A. J. C., Ou, J. J. R., Lin, G. Y. P., & Chen, M.-Y. (2011). An eco- and inno-product design system applying integrated and intelligent qfde and triz methodology. Journal of Systems Science and Systems Engineering, 20(4), 443–459. doi:10.1007/s11518-011-5176-8 United Nations Environment Program. (2009). Design for Sustainability, A Step-by-Step Approach (p. 110). Wimmer, W., Züst, R., & Lee, K. M. (2004). ECODESIGN Implementation: A Systematic Guidance on Integrating Environmental Considerations into Product Development. Springer. Retrieved from http://www.amazon.com/ECODESIGN-Implementation-Environmental-ConsiderationsSustainability/dp/1402030703

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Academic Social Responsibility: “Urban Revitalization of Mass Housing” International Think - Local Learn-Global Development Competition - Mohamed El Sioufi Mohamed El Sioufi Human Settlements Expert London Ontario Canada

Abstract Over 97 teams from 66 cities at 55 universities from 35 countries have participated, with innovative concepts, in the ―Urban Revitalization of Mass Housing‖ international concept-crowdsourcing competition. This paperless contest was designed to create partnerships in developing proposals to address issues regarding mass/public/social housing around the globe. Several innovations were introduced including ―Academic Social Responsibility‖, concept and policy database sharing, participatory hands on advocacy, as well as redefining the role of academia to support their host cities and communities with development related proposals. Innovations the competition achieved include:       

Academic Social Responsibility: Academia advises communities on development issues. Participatory Advocacy: 35 countries, 64 cities and 55 universities applied the results-based, gender-responsive, rights-based principles the Global Housing Strategy in their proposals. Data Gathering: Over 250 housing policies were crowd-sourced from the 35 countries. Furthering academic thinking: International concept competitions bring intellectual debate on development issues to the forefront of academic research and thinking. Concept Sourcing: Over 150 concepts were harvested regarding the competition criteria. Development Partnerships: Stimulating partnerships to address local development issues. Regional and international exchanges: Stimulating learning amongst peers globally.

Introduction

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Background A very high demand for housing occurred post World War II due to rapid population growth, increased urbanization, and the need to rebuild destroyed housing in many countries. Mass, public or social housing Mass was the preferred option up to the 1970s. This was usually spearheaded at a national level, is a publicly funded and administered housing development for low- and middle-income families. Mass housing has been produced in many configurations more often in the form multi-storey walk-ups or high-rise apartment blocks, mostly typically located in the periphery of cities. In rare cases, public housing is integrated within the city‘s urban texture. Mass housing challenges The majority of mass housing built in the post World War II era faces a historic milestone: the building stock is aging and in need of repair due to neglect and limited resources. It was usually produced based on modern planning with strict zoning regulations, segregating urban uses resulting in long commutes to reach urban amenities. To reduce costs and for rapid production, mass-housing was often built with prefabricated, inflexible, poorly-insulated construction techniques that do not respond to the changing needs of the end user, residents. Challenges facing older stock of mass housing typically include neglected, underutilized and unsafe open public spaces; poor management and maintenance resulting in dilapidation of the housing stock; sometimes attraction of isolated ethnic groups resulting in social segregation (ghettoization); attraction of gangs and crime tend to cause safety issues for vulnerable members of these areas, mainly women, youth and children, leading to a lack of community spirit and vibrancy. Unfortunately, in recent times, with the rapid expansion of cities, newly developed mass housing is being located farther away from urban centres and amenities, 70 kilometres in some cases. This has resulted in increased costs of services and unfeasible 3-4 hour daily commutes. As a result people do not move into these new mass housing areas resulting in vacant developments, known as ―Ghost towns‖. Need for action Overall, the majority of mass housing today does not conform to the norms of sustainable urbanism. Given the magnitude of the challenges outlined above and the perpetuation of these shortcomings today, these inefficiencies must urgently be addressed. Lessons learned from existing mass housing through post occupancy evaluation should contribute to guiding improved policy development and assist decision makers in how to better address housing needs more sustainably. To stimulate thinking and debate regarding mass housing issues, the United Nations Human Settlements Programme (UN-Habitat) organized this international competition for students and recent graduates. Competition background 1

The Global Housing Strategy (GHS) of UN-Habitat launched its first development-oriented conceptsourcing international competition ―URBAN REVITALIZATION OF MASS HOUSING‖ to advocate for its campaign of ―Placing Housing at the Centre‖. The GHS advocates the development of housing strategies based on results-based, gender-responsive, rights-based principles. This competition, advocating for these principles, was organized in partnership with the International Union of Architects, the Municipality of Medellin, ISVIMED, MISTRA Urban Futures, I‘m a City Changer, Slum Dwellers International, Habitat for Humanity and sponsored by Sida and Mojang, Minecraft. This competition aims at sourcing concepts of how to best transform existing mass housing areas to be more socially, culturally, economically and environmentally sustainable urban areas. Furthermore it explores the potential for affordability through innovations in funding, using cross-subsidies, improved management and maintenance practices. This also seeks to strengthen ties between academia, local and central authorities, professionals, the private sector and mass housing residents themselves. _________________________ 1

For more information, on the Global Housing Strategy, http://www.unhabitat.org/downloads/docs/11991_1_594827.pdf

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From the 1 of September 2013 till mid-January 2014, teams of university students and recent graduates were invited to innovate and compete within six regional groupings globally. Winners were announced during the World Urban Forum in April 2014 in Medellin, Colombia. Schools of architecture, urban planning and other institutions were encouraged to include the competition in their course work. Ministries of housing, local authorities and associations of mass housing residents, were invited to support competitors to enhance development aspects and to ensure, realistic, relevant concepts were produced. As part of Corporate Social Responsibility (CSR), the private sector was invited to sponsor local prizes contributing towards the implementation of the winning innovative concepts in their respective cities. 2

Through ‗concept-sourcing‘, a form of crowd sourcing, this paperless competition encouraged regional and international exchanges of existing good practices as well as encouraging the development of innovative concepts for project and policy implications. The proposals developed by competitors address challenges facing existing mass housing estates today and serve as guidelines when developing new residential solutions.

Vision, Purpose, Scope and Criteria Vision and purpose The vision of this development oriented competition is to comprehend and analyse challenges while learning lessons from mass housing experiences aiming: (1) to develop proposals to address the challenges facing the selected existing built contexts by providing local and national solutions; and (2) to distil key concepts to contribute to a menu of concepts and policy inputs to help guide policymakers and practitioners on how to improve existing mass housing while addressing new demand – learning from each other regionally and globally. The competition introduced several procedural innovations, discussed below. Scope To achieve the above vision, the competition comprises three components (a) learning lessons; (b) developing proposals; and (c) distilling concepts and policy implications. Learning urban lessons from mass housing: Competing teams were to analyse their national and city contexts including policies, strategies, programmes and best practices. Together with key stakeholders, particularly ministries of housing or local authorities, competitors selected a typical mass-housing locality in their own city. Participants further analysed the locality vis-à-vis location, mobility, socio-economic conditions etc. Utilizing SWOT analysis (Strengths, Weaknesses, Opportunities and Threats), or other tools, challenges and opportunities were summarized to guide development of site-specific proposals. Mass housing urban revitalization proposals: As per the design criteria elaborated below, urban revitalization proposals were to include proposed changes to: land use, open spaces, facilities, densification (or de-densification if needed), infill, mobility and infrastructure; community-related aspects; processes, participation and other soft features. ―Before and after‖ comparisons were encouraged. Concepts and policy implications Finally competitors were requested to distil concepts from proposals to facilitate transferability to other _________________________ 2

All submissions were done electronically and jury evaluations

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contexts nationally, regionally and globally. These were to address urban planning, social, economic, environmental, and partnership criteria for sustainability. The competition organizers were to create a database with these concepts for enhanced utilization. Design criteria Competitors were guided to elaborate proposals for their selected mass housing area. By addressing existing deficiencies through achieving the relevant design criteria aimed at producing better built environments with the three components of social, economic and environmental sustainability at the core of improved urban design concepts within a partnership framework: 

Urban Design: to improve the quality and utilization of public space, improve mobility by introducing mixed urban uses; and promote social interaction, cultural viability and vibrant street life.

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Economic stimulation: to introduce income generating economic opportunities, urban agriculture, and identify high-value areas based on location for investment purposes.

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Social integration: to address social mobility through improved tenure security, introduce rights-based concepts with win-win solutions, and ensure that the proposals are gender responsive.

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Environmental improvement: to achieve neighbourhood environmental sustainability; improve microclimate through productive agriculture; and promote climatically suitable design.

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Governance and partnerships: to introduce academic social responsibility and partnerships between academia, central/local government, private sector, civil society and professionals.

A process not an output Academic social responsibility Academic Social Responsibility (ASR) as a new concept was introduced to address local development challenges. Students would contribute a semester or more of their academic education serving their communities by engaging in addressing urban development issues plaguing local and central authorities within their field of education. One of the competition‘s innovations was to redefine academia‘s role to become an advisory arm of their cities‘ local governments and communities by including the competition in their curriculum. This meant becoming active development partners, joining hands with other key stakeholders to serve the cities hosting them. Students are rewarded in academic credits and practical work experience while the communities receive innovative proposals free of charge: a win-win situation. Furthermore, Professional Social Responsibility (PSR) and Corporate Social Responsibility (CSR) are encouraged though these partnerships. Process and partnerships The students and their supervisors were urged to contact key actors involved in mass housing including central and local government, owners of housing estates, NGOs, community groups, the private sector and professionals. Once on-board, they were invited to support the students in site selection; issues/challenges identification; reviewing proposals; and becoming part of the juries. This partnership process ensured a broader engagement and understanding of issues while learning from the process to potentially implement proposals or improve on future housing development. This constituted a hands-on awareness campaign involving key stakeholders aiming for improved housing design and implementation.

Advisory Board and Juries Competition Advisory Board An International Advisory Board representing local and central government institutions, academia, civil society, professionals as well as the private sector provided inputs regarding the competition. 224


The juries The competition organized three levels of jury: national, regional and international. Jury members kindly volunteered their expertise and time. The juries evaluated electronic copies of the plates and reports keeping the competition paperless and with a zero footprint. For well-rounded evaluations, juries included representatives of housing institutions, academia, professional associations, civil society, private sector and development partners. National and regional juries were composed of persons that supported the competing teams. They were thus familiar with the competition‘s criteria making them effective jury members. Three top ranking competitors were selected for each country and each of the six regions. The international jury was constituted of the advisory board that were not involved in supporting teams or the other juries. This jury ranked the top three winners globally selected from amongst the first ranking winners of each region. Selection process and evaluation criteria In ranking the winners, juries evaluated entries based on the five main criteria, listed above, and their sub criteria as per the competition guidelines to contestants. In addition they evaluated the quality of proposals; contextual considerations; innovations of sustainability concepts; endogenous solutions for fund generation; clarity of presentation of ideas and concepts as well as policy implications.

Results of the competition Country level Given that the sites were selected in the cities in which the universities and competitors are located, the proposals would be of direct relevance to their local and national contexts. Therefore, the ranking of the first three winners would provide contextualized solutions that, it is hoped, would be implemented by the concerned authorities in partnership with the private sector and other key actors involved in the process. All the entries including the winners have been placed on the competition website for open source review Regional and global results: The three global winners were from Spain, Morocco/Sweden and Bangladesh:

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First Representing Europe and other OECD states: the Improvistos team from the Universidad Politécnica de Madrid, Spain. Their entry demonstrated a comprehensive holistic approach to addressing mass housing in Valencia. Their intervention included excellent ideas for Improving public space; promoting cultural viability; introducing economic activities based on timber produced in the hinterland of the site through agricultural interventions; identifying high value areas based on location; introducing neighbourhood environmental sustainability; improving microclimate; CSR; and introducing ASR.

Second Representing the Arab Sates: the Casablanca team; Morocco. A joint venture between Blekinge Institute of Technology Sweden in collaboration with ENA Rabat Morocco. Their intervention included excellent ideas regarding improving public space; introducing economic activities and agricultural interventions; identifying high value areas based on location; gender responsiveness; neighborhood environmental sustainability; improvements to the microclimate through vegetation, urban agriculture and urban furniture as well as introducing ASR.

Third Representing Asia and the Pacific: the Shining Stars team from the Bangladesh University of Engineering and Technology (BUET). Their intervention included improvement of public space and mobility; a strong focus on the introduction of economic activities particularly through agricultural and animal rearing practices; addressing social mobility via improved tenure security; neighborhood environmental sustainability; improvement of microclimate through vegetation, urban agriculture and urban furniture, initiating contact with central and local government, private sector, civil society, professionals & academia; and the introduction of ASR. Winners from the other three regions included: Africa, Loconsult Group, University of Nairobi, Kenya; Countries in Transition, Memo team, Faculty of Architecture, University of Belgrade, Serbia; and Latin America and the Caribbean, Chico Mendes team, Universidade Federal de Santa Catarina, Florianópolis Brazil.

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Library of concepts

Given the universal similarities of mass housing typologies and forms, sometimes rubberstamped in various countries without much modification or contextualization, similar problems are nearly everywhere. Given the diversity of social, economic, cultural and climatic contexts transferability of ideas should be done cautiously. The organizers of the competition requested the jury members to evaluate each entry against the 15 sub-criteria of the competition. This therefore allowed the identification of the best proposals under each sub-criterion even though some of the entries might not be ranked amongst the winners for their overall proposals. As a result, it has been possible to organize the innovative ideas under each sub criterion and to create a library of concepts making it possible to benefit from all innovations in the competition. Under each sub-criterion between six and 12 concepts have been harvested. This menu of solutions constitutes a useful resource for policy and decision makers as well as planners and designers of mass housing. These serve both for retrofitting existing mass housing complexes as well as in guiding the design of new ones. Prizes The Swedish International Development Agency, Sida, as part of their support to the Global Housing Strategy, sponsored staff time for managing the competition. The Municipality of Medellin provided the first prize: an invitation to the first winning team to join their design team to plan a project in their city. Mojang, the creators of the popular game Minecraft, provided the remaining 5 regional winners with financial prizes. Interestingly, as we were crowd sourcing the prizes, they were not announced until during the award giving ceremony – and yet there was a high level of participation – as per the invitation that participation was part of ASR. Certificates of participation were also given to all contestants.

Innovative outcomes of the competition The competition aimed to achieve several innovations in the context of the United Nations as outlined in section 20 of its brief. The majority of these have been achieved. Below is a summary of these innovations. 

Academic Social Responsibility: The competition introduced the concept of academic social responsibility, which, if applied to a greater number of university students would have a positive impact on development at the national and local levels. To achieve this systematically, academic institutions, with local partners, would have to dedicate a semester or a full year of their students‘ academic coursework to address real issues facing their cities and communities, aiming at improving living conditions for the urban poor.

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Participatory Advocacy: By utilizing social media, the international competition, proved to be a cost-effective advocacy tool. Over 1800 individuals from 90 countries initially registered their interest in the competition. Finally, over 360 competitors from 35 countries, 64 cities and 55 universities participated. Furthermore, the engagement of key stakeholders to guide the students as well as to act as jury members engaged them all intellectually by addressing the

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results-based, gender-responsive, rights-based principles promoted by the Global Housing Strategy within their own contexts. 

Data Gathering: Over 250 national and local policy, strategy and programme documents regarding urban planning, housing and slum upgrading were crowd-sourced from the 35 competing countries. An invaluable resource for the Global Housing Strategy Database of Documents.

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Furthering academic thinking: International concept competitions like this one would also contribute to academic thinking by bringing burning issues into the lab and classroom while dedicating attention as well as the exchange of concepts and solutions among institutions, learning from each other within each country and from global sources.

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Concept Sourcing: In addition to the to the 97 entries of site specific solutions, over 150 concepts were harvested under the various criteria seen as important to achieving sustainable mass housing environments.

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Development Partnerships: Stimulating partnerships through the competition is hoped to start longer relationships that aim at addressing local development issues through endogenous resources.

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Regional and international exchanges: There is a lot of interest to engage in international competitions as they raise the standards of engagement and create a high level of competition among participants, almost independent of material rewards.

References The Global Housing Strategy framework document in English: http://www.unhabitat.org/downloads/docs/11991_1_594827.pdf Competition website: http://www.masshousingcompetition.org

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Sustainable Innovation of Glass Design and Craft - Maria SparrePetersen Maria Sparre-Petersen Scholar and Lecturer The Royal Danish Academy of Fine Arts Schools of Architecture, Design and Conservation School of Design Copenhagen Denmark

Introduction The aim of the research reported in this paper is to reveal a possible connection between aesthetic innovation and implementation of ideas of sustainability into glass design and craft processes. To do so the following research question is currently under investigation: In what way, if any, can principles of sustainability inform the creative process and contribute to generation of aesthetic innovation within glass craft and design? The basic assumption is that sustainable practices along with more focus on cross disciplinary international interaction and collaboration, information and communication technology, networking and entrepreneurship will supply the tools for the next generation to develop new ways and possibilities for maintaining and sustaining human life as well as natural diversity on our planet. As opposed to other creative fields, e.g. fashion, textiles, furniture and more, barely any research has been done into implementation of sustainable principles in the field of glass design and craft. A common tendency among students and practitioners is to consider it desirable but problematic if not impossible to develop a ―truly sustainable practice‖. Generally glass crafts people and glass designers aim to explore new aesthetic possibilities for the material, and see sustainability as a hindrance for aesthetic freedom, thus contributing to what Fry, in his book ―Sustainable by Design‖ (2009), observes as the mainstream understanding of design that lacks deep understanding of the full holistic impact of our actions on the planet. This is counterproductive to sustainable development and combined with the fact that only few countries in the world are effectively recycling their waste glass there would 1 seem to be reason to examine the current practices from a critical analytical perspective. A critical analysis of the existing practices as well as development of a new best practice may imply changes across the national and field specific boundaries toward a more rational sustainable behaviour, and may be an incentive to begin to unfold the glass field‘s possibility to make a contribution to the general sustainable development. By changing the practice of the researchers in the main educational institutions and especially by changing the way we teach the subject of glass design and craft from using non-sustainable methods, materials and techniques to include sustainable principles, the new glass designers will learn skills that will enable them to change an immediate future that will be increasingly influenced by over population, mass migration, massive environmental devastation, and accelerated garbage accumulation. ________________________ 1

In Denmark 88% recycling of waste container glass was reported in 2009 (Miljøministeriet 2014). In the US around 34% of the used glass was recovered for recycling, according to the US Environmental Protection Agency (2014), in England 60 % is recycled according to the national recycling campaign ―Recycle Now‖ (2014). Glass that is not recycled end up in landfills or in incineration plants where it produces clinker that cannot be upcycled.

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The practical approach of engagement of students in hands-on experimentation with sustainable materials and techniques may imply or provoke a shift in the attitude of my peers from believing that sustainability automatically fosters a specific ―green aesthetic‖, toward envisioning or at least acknowledging the possibility of aesthetic freedom generated by using sustainable ideas as triggers for innovation. This paper will address how we may implement sustainable ideas in our material specific creative practice and how this may initiate a shift of paradigm away from the current common practice of the field mainly focussing on concept and form and towards a practice that is concerned with form on the basis of a deep understanding of impact as Fry (2009) calls for. The sustainable impact of recycling is evident. Glass can be recycled indefinitely and no new materials are needed in the melt. By using recycled glass instead of new raw materials a reduction of the energy consumption for melting the glass can be obtained, resulting in a reduction of the CO2 emission of approximately 315 kg per ton glass (Waste Online 2011). Today glass production predominantly consists of window glass, glass wool for insulation and containers such as bottles and jelly jars. Glass household products and artistic work hold only a fraction of the market. Still there is reason to believe that generation and implementation of new knowledge about sustainability in the fields of glass craft and design is desirable since, according to Friedman (2004), these fields influence trends in the patterns of consumption, through what is defined as the trickle-down effect.

Method Walker (2006) argues that engaging in the practice of designing is a transformative step that distinguishes design from many other types of inquiry, and that theoretical ideas inform the design of an artefact and in turn, contemplation of the artefact can advance the development of ideas. Building on Walkers thesis, a practice-based qualitative research methodology is adapted in this research. Hence, the empirical material is generated through experimental hands-on activities carried out by myself in the lab as well as through field work in the form of workshops with a variety of focus groups. This paper will describe and discuss a specific case study that took place at The Royal Danish Academy of Fine Arts, Schools of Architecture, Design and Conservation (KADK), Nexø Campus, in the spring of 2014 on the Island of Bornholm, a rural Danish region located in the Baltic Sea. The case study consisted of a workshop involving students of glass craft and design in a process that introduced them to sustainable principles. This study will be briefly compared with experiences from an earlier study: a workshop held at KADK, Copenhagen Campus, in Copenhagen, the capital city of Denmark, with students of design with no previous experience in glass making. The two workshops st both included 1 year students. The first had 10 participants the second had 15, the numbers being average for classes offered in glass making at most higher education institutions, although not sufficient to constitute a broad representational material. In addition to the discussion of the case study, it is addressed how a research-institution may contribute to bridge a gap between regional and urban sustainable developments. The empirical material is described and discussed in a narrative fashion and the conclusion that is produced is meant to suggest a best practice.

Bridging the gap between the urban and the regional sustainable initiatives KADK, Copenhagen Campus has 1500 students at BA, MA and PhD level, the Nexø campus on the island of Bornholm has 70 students at BA level. The Copenhagen campus is providing the necessary platform for educating researchers on PhD level; in close proximity to a research environment, fellow students, partner institutions, networking opportunities, exhibition venues, course offers, major businesses of the trade etc. The Nexø Campus is offering great lab facilities to a group of dedicated glass students at BA level. This enables a symbiosis where the research performed mainly in the city benefits from the regional support for the countryside campus as well as from the opportunity to engage the students in research activities, and the region benefits from the research performed at the city campus that supports the local education.

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In the 2012-vision for development of the region of Bornholm, one of the four main focus points was called ―Bright Green Island 2014‖ addressing issues of sustainable innovation (Bornholms Regionskommune 2014). The fact that the island is remote and isolated was considered an advantage for working with sustainable development by the local administration, because it is easy to monitor especially the energy-consumption. For the purpose of carrying out the workshop where we planned to use recycled soda-lime glass (bottles and jars) as an alternative to the more toxic and less easily recyclable barium crystal preferred by most Danish glassblowers, the intimate relations between the islanders and the regional focus on sustainability constituted a solid platform. The curriculum taught at the Nexø campus has included glass design and craft for almost two decades, using the traditional barium crystal for all educational activities, except for a few occasional recycling efforts initiated by individual students. The suggestion of infesting the kiln pots with recycled soda-lime glass that had been rejected on previous occasions was now warmly welcomed by the staff members who saw the necessity and potential of the idea. The school workshop manager contacted the local recycling centre that supplied the glass for free. The glass had already been crushed and divided into three different colour fractions and just had to be washed before the melting could start. Thus, the conditions for supporting the research were readily available and the research for supporting a BA-level educational activity with sustainable content was enabled due to the collaboration across the boundaries of a regional and an urban context.

The workshop “Glass and Sustainability” The workshop named ―Glass and Sustainability‖ took place at the Nexø campus over a period of four st days. The participants were 1 year students most of whom had previous professional experience in glass making. As explained in the introduction, the idea was to work together with the students and explore how their aesthetic experimentation could be influenced and innovated by changing from the traditional barium crystal glass to the more environmentally friendly soda-lime glass, and through this exercise begin to find out if it was at all viable to influence the way students think and act in their formative years as creative professionals. The workshop included the following activities:      

Lecture based on my research Discussions in plenum Research of existing sustainable glass projects Making tools for experimentation Experimenting in the workshop Tutorials, questionnaire and evaluation

Lecture and following discussions During the first presentation it was revealed that most of the students did not actually know much about the different properties of the different types of glass other than the fact that mixing containerglass and crystal in a melting pot will result in glass that is incompatible with itself and therefore eventually will break. They had even less knowledge of the principles of recycling glass although they were aware that colored glass will tint the whole pot of glass if recycled in a clear melt – which is basic knowledge when working in a blowing facility. We talked about natural occurrences of glass, recycling 2 and the positive influence of re-melting shards (recycled glass) on the CO emissions from the melting process. It became evident that the students had very different views on the subject of sustainability. Some of them were extremely positive others showed up because it was mandatory and one student did not show up at all. Discussion of issues of outsourcing, of how to create a competitive business, of how to make interesting work and of the students‘ professional interests indicated frustrations about the subject. Some were very personal and others more concerned with their creative practice. A general issue came up when asking about their expectations for the course: they did not think they had the power to change the negative impact of our trade on the environment and the socio-political balance of the global community, even if they would like to. Along with the feeling of powerlessness the most common issue was the fear of limiting their creative and expressive freedom.

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Research of existing sustainable glass projects We went on to find out more about already existing initiatives to expand the knowledge of possible strategies. The most common sustainable idea for recycling glass is to transform existing glass bottles into new products like vases and drinking glasses, by cutting off the bottle neck (figure 1). This idea can be manufactured by most people with basic technical skills, and a few simple tools. The internet offers a number of do-it-yourself kits for this type of recycling. Results rarely escape the stereotypical recycled aesthetics.

Figure. 1. Cut glass bottle

Figure. 2. Hot manipulated bottle

Glass makers with refined tools and excellent skills can alter container glass by reheating and manipulating existing bottles (Figure 2.). In this case results also mostly fall within the stereotypical recycled aesthetics. Access to a furnace where the glass can be melted enables the glass maker to diversify the experimentation significantly and therefore hopefully will expand the aesthetic possibilities. Experimenting in the workshop and creating tools and techniques When experimenting with molten glass it is important to be able to carry out an experiment several times to begin to find out how the material reacts to the way it is manipulated. The manipulation of the glass is highly sensitive to small changes in the procedure that cannot ever be exactly the same when working by hand. Occasionally it is necessary to make the tools for manipulating the glass as well as making the actual glass. For mass production extremely expensive metal molds are used. This is not an option for smaller operations and especially not for most students. This calls for creation of cheap tools. Wood and plaster are the most common mold-making materials for small scale production and experimentation. To expand the possibilities of techniques for utilising the soda/lime glass I had tested high temperature concrete as a mold material prior to the workshop, and it had proven to have great potential especially for casting- and press molds. The workshop included an introduction to the techniques of glass pressing and glass casting, techniques that are very suitable for working in soda lime glass because this glass stiffens quickly. These techniques are used for crystal glass too, but mainly in mass production processes. They are rarely used by small operation glass manufacturers and in educational contexts because blowing glass is generally thought to be more fun and versatile. By switching to soda lime glass it became 2 relevant to include pressing and ladling the glass which again made concrete mold making useful. Thus, the introduction of sustainable glass in the creative process caused possibilities for explorations of new aesthetic expressions.

__________________________ 2

Ladling hot glass into a mold is a technique used for e.g. production of tiles.

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During the experimental phase with the concrete mould making as well as with the glass in the workshop the students‘ attitude changed dramatically. The fact that the soda/lime glass had other properties than the crystal and the potentials derived from those properties inspired the students to begin to work in different ways which again sparked new ideas and the use and development of different techniques. The opportunity to blow in full coloured glass, as opposed to the normal procedure of blowing in clear glass and adding the colour on the individual pieces on the pipe was warmly welcomed, as well as the fact that the material was free as opposed to the expensive crystal. Blowing the hot molten soda lime glass proved to be harder than blowing in crystal but not nearly as hard as we had imagined. Some of the students even enjoyed the challenge of having to work faster. We evaluated the test pieces every day after opening the annealing furnace. The results were promising but needed elaboration and refinement. Therefore the students decided to continue working in soda lime until the end of the semester, to become better at mastering the material and to make more experiments. One experiment that showed potential was the pressing of the soda lime glass into a concrete mold (Figure 3.).

Figure 3. Pressed soda lime glass in concrete mold

Comparison with the previous workshop In the previous workshop where the students were novices to glass they showed no sign of resistance to working in recycled container glass. But in the group of glass students, they knew the technical and aesthetical differences between the soda/lime glass and the crystal glass, and being used to the qualities of the crystal they did not see why they should ―compromise‖. In the previous workshop the two issues of artistic freedom and powerlessness that concerned the glass students never came up, neither in the introduction nor during the course work and evaluation. The students without previous knowledge of glass believed they would be able to push design in the sustainable direction no matter which materials they worked in and they were much less worried about technical and material obstacles in the creative process. On an individual artistic level this may indicate a difference between being new to a field and being immersed in the culture and habits of a field.

Conclusion The workshop was successful in the sense that students changed habits and attitudes. The hands-on experimental approach was welcomed by all the students who generated a series of innovative experiments with new tools and techniques as well as wonderful mistakes and failures pointing to new aesthetic expressions to explore in their future work. The physical results of the workshop were promising although not taken to a high level of refinement – due to the short duration of the course. The workshop indicated that when the material is changed, the working habits change too which again leads to potentially new insight about aesthetic possibilities, evidence to support the assumption that principles of sustainability may indeed inform the creative process and contribute to generation of aesthetic innovation within glass craft and design. More experiments of my own and more workshops

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with focus groups are needed to be able to build a solid argument for the proposition that aesthetic innovation of glass craft and design may indeed benefit from the introduction of sustainable principles in the design process. As of now the results suggest the relevance of further explorations into the subject matter. The city of Copenhagen involved provided the research environment and the region of Bornholm provided the platform. The workshop contributed to the realization of the regional vison of creating a ―Bright Green Island‖, and this vision paved the way for generation of empirical material for the research that flows back to the research environment in the city.

References Bornholms Regionskommune 2014, Bornholms Udviklingsplan 2012 [Homepage of Bornholms Regionskommune], [Online]. Available: http://www.brk.dk/indflydelsepolitik/planer/sider/udviklingsplan.aspx [3 September 2014]. Friedman, K. 2004, Of Course Design Pays: But who Says So, and How? Center for Design Forskning, Copenhagen. Fry, T 2009, Design Futuring - Sustainability, Ethics and New Practice. Berg, Oxford, UK. Kaysen, O & Tønning, K 2014, Statistik for genanvendelse af emballageaffald 2009 [Homepage of Miljøministeriet, Miljøstyrelsen], [Online]. Available: http://www2.mst.dk/udgiv/publikationer/2011/10/978-87-92779-32-8.pdf [11 September 2014]. Recycle Now n.d., Glass bottles [Homepage of Recycle Now], [Online]. Available: http://www.recyclenow.com/facts-figures/how-it-recycled/glass-bottles [11 September 2014]. US Environmental Protection Agency 2014, WARM Version 13 [Homepage of US EPA], [Online]. Available: http://www.epa.gov/epawaste/conserve/tools/warm/pdfs/Glass.pdf [16 May 2014] Walker, S 2006, Sustainable by Design – Explorations in Theory and Practice. Earthscan, London, UK. Waste Online 2006, Glass recycling information sheet [Homepage of Waste Online], [Online]. Available: https://dl.dropboxusercontent.com/u/21130258/resources/InformationSheets/Glass.htm [11 September 2014].

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Transition to Sustainable Cities a Socio-technical Approach for Transformative Innovation- Fred Steward Professor Fred Steward Innovation & Sustainability Policy Studies Institute & Climage KIC University of Westminster UK The presentation argues that cities have become a key location for the ambitious innovation that is needed to make a transition to a sustainable low carbon society. Reasons for this include:   

The rise of a new mode of challenge led, broad based transformative innovation which needs the interaction of a diversity of organisations and individuals through multiple types of technological, organisational, behavioural and business model innovation; The presence at city level of the key socio-technical systems of buildings, mobility and urban infrastructure (energy, waste & water) which are critical contributors to greenhouse gas emissions, along with local political and business responsibilities and influence on these. The continued initiation of climate mitigation actions at city level which suggests a persistence of political enthusiasm at the subnational levels of governance in contrast with some faltering by national governments.

For these reasons there has been a wide range of significant achievements in the engagement of cities throughout the world in the promotion and pursuit of climate mitigating innovations. Among these are:    

Expanding commitments to create city level climate change policy with aspirations to make significant contributions to greenhouse gas emission reductions. An increasing range and diversity of climate change experiments at city level which are ‗purposive interventions which attempt to reconfigure urban sociotechnical systems in the name of climate change‘ (Bulkeley & Broto 2012). The growth of extensive transnational learning networks between cities such as ICLEI, the Covenant of Mayors, C40 etc. New metrics and reporting initiatives to enable more effective city level monitoring of climate mitigation actions and greenhouse gas emissions.

Although this is an impressive range of achievements, if we take stock of their impact on the world‘s strategy for addressing climate change we see a rather mixed and contradictory picture. 



The IPCC Fifth Assessment Report from Working Group III on Mitigation of Climate Change reflects this trend in city based activities by including for the first time a specific chapter on Human Settlements, Infrastructure and Spatial Planning. Yet the panel tends to remain cautious about cities overall contribution to the global challenge of climate change and remains focused on technology driven sectors such as electricity production. International events such a Rio+20 show a very prominent presence of city authorities from across the world yet their formal role in climate change governance or innovation policy remains very limited. These spheres remain dominated by national governments and their priorities and do not express the aspirations of the international network of cities. The recent EU 2030 Framework for Climate and Energy Policy now includes cities and regions (following lobbying over a draft which didn‘t mention them) but only in a marginal role.

It is suggested that there are two priorities for building on what has so far been achieved. 

At the city level we need to develop and embed a more explicit and knowledgeable capacity to monitor and enable sustainability transitions in city wide sociotechnical systems. This is illustrated through discussing the results of the European Institute of Innovation & Technology

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

(EIT) Climate-KIC Transition Cities project. This involves a partnership of 6 cities – Birmingham, Frankfurt, Castellon/Valencia, Bologna/Modena, Wroclaw & Budapest. It is develop a transition policy capability to facilitate transformative low carbon innovation in three major end use sectors – buildings, transport, and energy networks. It introduces perspectives on new methods so achieve this through transition clusters and transition pathways. At the national and international level it is important to promote a new strategy for the transformation of place based system innovation. This will require the reconfiguring of innovation and climate change policy from their current one dimensional perspective. Elements of this are all being promoted by important players, such as the transnational city networks, the OECD technology and innovation policy unity, and DG Regio. However it needs integration with a higher general policy profile.

Finally there is a discussion of some contemporary arguments which are critical of mainstream climate innovation policy but also question the role of cities in the promotion of a transition to a low carbon society 



The role of business organisations and of community groups receive much deserved attention but these are sometimes presented as more realistic or more popular alternatives. It is proposed that without the facilitation and guidance of cities in a more formal sense (the Council chamber and administration) these initiatives are likely to lack strategic direction and synergies. The aftermath of the financial crisis has been interpreted by some as to mean that explicit policy to address climate change should be displaced by a reliance on achieving these goals through the indirect consequences of more economy focused policies. There is no doubt that cities are experiencing financial pressures through austerity policies. However it is argued that the transition to a low carbon society will need deliberate rather than emergent policy in which publicly led system innovation actors will play a critical role in partnership with a range of private and knowledge actors. Cities offer the most credible option for this. New thinking about the green economy with a greater emphasis on place suggests that this could be combined much more effectively with desired positive economic outcomes. .

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Individual Upcycling Practice: Exploring the Possible Determinants of Upcycling Based on a Literature Review - Kyungeun Sung Kyungeun Sung PhD Candidate Nottingham Trent University Nottingham UK

Tim Cooper Professor Nottingham Trent University Nottingham UK

Sarah Kettley Senior Lecturer Nottingham Trent University Nottingham UK

Abstract Individual upcycling – the creation or creative modification of any product out of used materials in an attempt to generate a product of higher quality or value than the compositional elements – has recently been advocated by many as a means to reduce waste, yet is still marginal. Considering the implied benefit to sustainable production and consumption, the most relevant question at this point may be how to scale up this marginal practice into mainstream practice to make a bigger impact in society and environment. In order to generate effective scaling-up strategies for change, it is essential to understand the determinants of upcycling (i.e. what drives and facilitates it). This paper reviews relevant contemporary literature and identifies a set of determinants. The synthesized result, despite its partiality, shows possible examples of design and policy implications for scaling-up, and leads to future research suggestions.

Introduction Upcycling is often considered as a process in which waste materials are converted into something of higher quality/value in a second life. The Oxford Dictionary (2014) defines ‗upcycle‘ as ―reuse (of discarded objects or material) in such a way as to create a product of higher quality or value than the original.‖ The Dictionary of Sustainable Management (2014) defines it as ―the process of converting

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an industrial nutrient (material) into something of similar or greater value in its second life‖. As shown by comparing these two definitions, upcycling is being used both at product/object level and industrial material level. At both levels upcycling has been increasingly recognized as a promising means to reduce material and energy use. For example, at the product level, Szaky (2014) sees object upcycling as one of the most sustainable circular solutions in the waste hierarchy, positioned between reuse and recycling, since upcycling typically requires little energy input and can eliminate the need for a new product. At the industrial material level, McDonough and Braungart (2013; 2002), pioneers of industrial upcycling (i.e. the cradle to cradle concept), have advocated radical design innovations for perpetually circular material reuse as opposed to current recycling practice, which is considered as ‗down‘-cycling. This paper considers the former perspective, product/object level upcycling, and defines it as creation or creative modification of any product out of used materials (e.g. second-hand products and waste materials) in an attempt to result in a higher quality or value product than the compositional elements. Product level upcycling has been actively promoted and practiced by some entrepreneurs as part of waste management strategy and towards sustainable production (e.g. TerraCycle, FREITAG) (Szaky, 2014), as well as by some individuals who pursue product upcycling as a lifestyle of reduction and towards sustainable consumption (Frank, 2013). Recently and arguably, there is also an increase in the overall number of upcycling practitioners aided by more readily available physical resources (e.g. Maker Faire, Hackspace, Makerspace, etc.) and digital resources (e.g. Instructables, Etsy). In the USA and the UK, most notably, an increasing number of Hackspaces/Makerspaces have become the central place for such emerging practitioners (including local small business entrepreneurs, artists, hobbyist makers, crafters, hackers and tinkerers) to get access to an affordable public workshop, to utilize used materials (more popularly referred to as hacking), and to share their skills and knowledge on hacking and upcycling, as well as fixing and making. Despite the increasingly visible emerging practitioners, with growing resources (e.g. workshops, website), the upcycling practice is still marginal. Taking into account the potential of product upcycling as a means towards waste prevention, and sustainable production and consumption, the most relevant question to ask at this point, from the perspective of sustainable design, may be how to scale up this marginal practice into a mainstream practice to make a bigger impact on society and the environment. A logical solution to create a meaningful level of scaling-up would be to generate effective strategies and tactics for change, which requires understanding what drives and facilitates upcycling (i.e. its determinants). In this respect, noting an apparent dearth of publications dealing with the determinants of upcycling, this paper reviews relevant contemporary literature and presents the drivers and facilitators identified accordingly.

Method and theoretical framework Acknowledging the relative newness of the term ‗upcycling‘, and the similarity between individual upcycling (as a way of creating something by oneself) and craft, DIY (Do-It-Yourself) or making, broad literature in renaissance crafts, new ways of DIY and the emerging Maker Movement were considered for review. The literature evaluated as the most relevant and contemporary by the time of writing (as part of a literature review in the first author‘s PhD research) was used for synthesis. The identified drivers and facilitators were synthesized on the basis of the framework of Triandis‘ Theory of Interpersonal Behaviour (TIB) (Triandis, 1977). TIB was selected due to the inclusive nature of the theory: compared with other theories (e.g. Attitude-Behaviour-Context theory, expectancy-value theory, norm activation theory), TIB is the most comprehensive social psychological theory of behaviour and change (Jackson, 2005), incorporating four factors suggested by Stern (2000) for an integrated model of environmentally significant behaviour (i.e. attitudes, contextual factors, personal capabilities and habits).

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Figure 1 Modified version of Triandis‘ Theory of Interpersonal Behaviour The TIB framework suggests that social factors and affect/emotions, along with attitude, play the key role in forming intentions, that past behaviours exert a significant influence on present behaviour, and that the influences from intentions and habits are moderated by facilitating conditions which can be interpreted as ‗material‘ (e.g. infrastructure, equipment, tools, products) and ‗competence‘ (e.g. skills, knowledge, capability) from the perspectives of social practice theorists such as Shove (2012). To put it another way, this paper is based on an understanding that ―my behaviour […] is a function partly of what I intend (influenced by social, normative, and affective factors as well as by rational deliberations), partly of my habitual responses, and partly of the situational constraints and conditions under which I operate‖ (Jackson, 2005, p. 111). The paper also views practice as collective behaviours, with continuity and habitualization not only triggered by individual needs and motives but also affected and shaped by social and cultural factors (Tuominen, et al., 2005). Attitudes Attitudes are shaped by perceived consequences and value of the consequences. ‗Perceived consequences‘ refer to the subjective probability that certain consequences will follow a particular behaviour, and ‗value of consequences‘ refers to the extent which one reacts to actual consequences in either good or bad way (Triandis, 1977). This paper only includes ‗perceived consequences with positive value attached to the expected and experienced consequences‘, which can simply be translated into ‗perceived benefits‘. Social factors Triandis (1977) illustrates social factors with three elements: norms, roles and self-concept (or selfimage). Norms are ―beliefs that certain behaviours are correct, appropriate, or desirable‖, while roles are ―sets of behaviours that are considered appropriate for persons holding particular positions (e.g. father, leader, salesperson) in a group‖ (Triandis, 1977, p. 8). Self-concept or self-image refers to ―a person‘s ideas about who he or she is‖ (Triandis, 1977, p. 9). Affect/Emotions Affect toward a behaviour refers to ―the emotions a person feels at the thought of the behaviour. […] positive or negative and strong or weak. A behaviour may become associated with pleasant stimulation or with disgust, anxiety or distress.‖ (Triandis, 1977, p. 9). Habits and facilitating conditions The habit to act is ―measured by the number of times the act has already been performed by the person.‖ (Triandis, 1977, p.10). Facilitating conditions are those such as ―the ability of the person to carry out the act, the person‘s arousal to carry out the act, and the person‘s knowledge.‖ (Triandis, 1977, p.10). This paper uses two sub-categories of facilitating conditions, ‗material‘ (e.g. tools, products) as arousal and assistance in enhancing knowledge and ability, and ‗competence‘ (e.g. skills, knowledge).

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Results Attitudes: Perceived benefits Economic benefits: (1) fulfilling needs with less financial resources and (2) ‗long tail‘ market opportunity. Frank (2013) describes upcycling as a way of saving money and creating something useful and inexpensive or even free. Reuse and upcycling were common practices for thousands of years before the Industrial Revolution and are still common in developing countries for financial reasons (Szaky, 2014). Starting a new business is another potential economic benefit of upcycling (and making/crafting). There are thousands of emerging entrepreneurs who are ―industrializing the ‗DIY 1 spirit‘‖ (Anderson, 2012). Some such entrepreneurs find their niche and play in their ‗long tail ‘ market (Lang, 2013; Frank, 2013). Creativity benefits: (1) production of something pleasing, useful, authentic and personal, (2) creative self-expression as a mark on the world, and (3) simply being creative. The process of MUC (Making, Upcycling and Crafting) may be rewarding because something pleasing and useful is produced and homemade things carry the authentic and personal touch of the creator, which makes the creation special (Gauntlett, 2011). End products are for both practical use and creative self-expression (Frank, 2013; Gauntlett, 2011; Parker, 2012). They are expressive of a personality, and of a presence in the world; MUC has been described as a means by which individuals are able to make their mark in the world (Gauntlett, 2011). Parker (2012) has highlighted the importance of craft for women as a space for personal thought and self-expression. Soule (2008, p. 5) correspondingly says ―Being creative is important […] because I feel myself to be a more complete person when my creativity is expressed.‖ One interviewee of Levine and Heimerl (2008) pointed out the importance of being creative in the process, saying ―I don‘t think our generation really likes to be told what to do. We really like to have a lot of wiggle room for experimenting and being creative‖ (p. 94). Experience benefits: (1) a meaningful journey and (2) learning experience. Some authors see MUC as a journey or adventure in which process is often more valuable and meaningful than the outcome (Frank, 2013; Lang, 2013; Gauntlett, 2011). The journey through selfdiscipline, discovery, failure, doubt, experimentation, exposure, change and the unknown is the real reward (Frank, 2013). Similarly, Turney (2009) mentions that craft/making is a journey in which the travelling is more important than arrival at the destination. MUC also allows participants to learn new skills and knowledge (Frank, 2013; Lang, 2013). In fact, the learning efficiency is higher when people are doing and making things than merely being taught about them (Gauntlett, 2011). Lang‘s formulae of ‗making (fail) = crappy thing + learning + story‘ in contrast with ‗buying (fail) = crappy thing‘ highlights the value of even unfinished/unsuccessful projects (Lang, 20) Empowerment benefits: (1) self-reliance and (2) unlocking potential and becoming more capable. Self-reliance is viewed as another positive consequence of MUC (Lang, 2013; Frank, 2013; Gauntlett, 2011). Lang (2013) says that he personally wanted to become more self-reliant and self-sufficient: he felt that craftspeople built their lives on more stable ground and were better prepared for the world than he was. MUC can also unlock people‘s potential (Frank, 2013), which helps to cultivate a sense of the self as an active, creative agent (Gauntlett, 2011) and offers a means of confidence in one‘s own ability to do things (Turney, 2009). Making is even considered as a ‗weapon of resistance‘ to the constraints associated with the idea of femininity, enabling women to actively produce things in the world (Parker, 2012, p. ix). A sense of a team/community. MUC has team and community perspectives, too. Several authors portray making as a team activity and often Do-It-Together (DIT) rather than Do-It-Yourself (Lang, 2013; Gauntlett, 2011; Levine & Heimerl, 2008). One interviewee of Levine and Heimerl (2008) said ―I feel very connected to people __________________________________________ 1

‗The theory of the Long Tail is that our culture and economy is increasingly shifting away from a focus on a relatively small number of hits at the head of the demand curve and toward a huge number of niches in the tail.‘ (Anderson, 2014)

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whom I have never met in person. […] it is a really wonderful sort of collaborative, supportive, noncompetitive network‖ (p. 50). A way to burn stress and relax. For some people, MUC may be a way to combat stress, since the activity can solve a problem or make an improvement, crossing off the ‗to-do‘ list (Frank, 2013). Even if it does not work out as planned, it may still provide a good way to relax and curb anxiety (Gauntlett, 2011). Clutter clear-out. Home-based upcycling may be a means to get rid of clutter, thus meeting a need within the home: it has been described as a lifestyle course in which one can learn to create with the purpose of clearing out unwanted clutter and minimizing maintenance (Frank, 2013). Facilitating conditions Physical workshops: (1) community workshops to share tools/equipment and meet with others and (2) school workshops for future generations. There are estimated to be nearly a thousand Hackspaces/Makerspaces with shared tools and equipment in the world, and the number of such spaces is growing rapidly (Anderson, 2012), mostly as grassroots, co-operative style organisations (Lang, 2013). In the USA, they have attracted the attention of the Obama administration, which launched a school workshop programme in 2012, bringing Makerspaces into schools in order to create a new generation of designers and innovators (Anderson, 2012). Internet: internet platforms as communities and marketplaces and for learning materials. The Internet has made it easier for people to share any MUC outcome with others, while at the same time expressing one‘s emotions and ideas (Gauntlett, 2011). Such shared online projects (through, e.g. Instructables) have become inspirational for some people, offering opportunities for collaboration and allowing individual practitioners to be globally connected, resulting in a Maker Movement (Anderson, 2012). The Internet does not only provide a community but also a new marketplace. The rise of Etsy, a web marketplace for makers, allowed nearly a million users to sell more than $0.5 billion worth of products in 2011 (Anderson, 2012), suggesting that such platforms can create a new st economic infrastructure for the 21 -century artisans (Lang, 2013). The Internet also plays a role in providing learning materials: Google and YouTube alone hold the answers to many of the burning questions of MUC practitioners (Lang, 2013; Gauntlett, 2011). Personal fabrication technology. Emerging personal (digital) fabrication technology such as laser cutters, 3D printers and other computer numerical control (CNC) machines is now increasingly affordable for a small group of people, able to create consumer-ready products, and easy to learn without a design or engineering degree (Lang, 2013). The new technology is giving individuals power over the means of production, allowing for bottom-up entrepreneurship and distributed innovation (Anderson, 2012). Teachers, companions, and collaborators. Through personal observation of making (upcycling/crafting), Lang (2013) concluded that participants were active in seeking out teachers, creating or joining like-minded groups, collaborating with strangers, and co-creating together (DIT), often through social media, community workshops and Maker Faires. Affect/Emotions ‗Everyday creativity‘ activities such as MUC arouse a range of emotions such as excitement and frustration, but most especially a feeling of joy, according to Gauntlett (2011). The following emotions have been explicitly described in the literature. Inherent pleasure. Inherent pleasure in ‗making and doing‘ has been identified, along with understanding/learning, as a primary reason why craft (making) has been able to survive in the modern era (Gauntlett, 2011). It is a sense of being ‗alive‘ during the process of making and being participants, instead of being mere

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viewers and relying on outside stimulants (e.g. multimedia entertainment) (Frank, 2013; Gauntlett, 2011). Sense of accomplishment and pride. Frank (2013) claims that MUC offers a sense of accomplishment, self-fulfilment and pride from the tangible outcome. It is not only the end result that is satisfying, but the learning process of developing one‘s interests and talents, which is considered to bring satisfaction and pride (Frank, 2013). Happiness from goal-oriented activities and autonomy. MUC are goal-oriented activities that participants intentionally choose to engage in. They have been found to be a major contributor to happiness through meta-analysis and comparative studies (Lyubomirsky, et al., 2005; Sheldon & Lyubomirsky, 2009). Social factors Environmental and social sustainability concerns (norms). People have frequently been encouraged to reduce their consumption and find new ways to reuse/upcycle in response to environmental concerns (Gauntlett, 2011; Szaky, 2014). Some prefer to make/upcycle something rather than purchase a mass-produced product, as their ethical and political choice, since certain industries (e.g. clothing) are notorious for the lack of corporate social responsibility (e.g. bad working conditions) (Gauntlett, 2011). DIY spirit and maker mentality (self-concept). The ‗DIY spirit‘ may be viewed as a self-concept of MUC practitioners (Szaky, 2014; Frank, 2013; Gauntlett, 2011). This DIY spirit helps people to be more willing to learn new skills and reduce their dependency on commercial services (Frank, 2013). Without it, far fewer people might be willing to separate and clean waste for upcycling purposes (Szaky, 2014). The underlying DIY culture encourages people to engage in MUC that draws upon their creativity and character in contrast with seeking a generic, ‗expert‘ solution (Gauntlett, 2011). Slightly different from the DIY spirit, maker mentality is often regarded as universal human nature (Lang, 2013; Anderson, 2012). ―We are all makers. We are born makers: just watch a child‘s fascination with blocks, Lego, etc. It‘s not just about workshops, garages, and man caves. If you love to cook, you are a kitchen Maker and your stove is your workbench. If you love to plant, you are a garden Maker. Knitting and sewing, scrap-booking, beading, and cross-stitching – all Making.‖ (Anderson, 2012, p. 13). Habits The importance of childhood making as an important influence on whether people ultimately become an adult maker has been recognized in the field of innovation. One of the leading voices in this field, AnnMarie Thomas, carried out an extensive research into the childhoods of famous inventors looking for the early signs of making and found that great innovations and inventions were almost always correlated with childhood making experiences (Lang, 2013).

Discussions and conclusion The synthesized results, mapped above on the TIB framework, indicate that attitude (perceived benefits) and facilitating conditions (mostly materials rather than competence) appear more frequently as drivers and facilitators than emotions, social factors and habits. The different frequency may suggest relative importance of each element: the more frequently it appears, the more likely that it is perceived to be significant as a driver or a facilitator by people. If so, this implies that effective service design for community workshops (for example) may be more successful when focusing on the ways to reinforce the perceived benefits and facilitating materials. To give more details on this, such workshops may be able to attract more non-practitioners and better retain existing practitioners by providing (1) a design guide for upcycling with less time, efforts and money; (2) opportunities for semiprofessional practitioners to generate income, linking with local businesses; (3) top tips to become micro sellers in Etsy, Folksy, etc.; (4) a regular marketplace for bartering, lending, trading, renting, gifting and swapping materials/products; and (5) a matching system in which people can readily find suitable teachers, companions and collaborators. If the effective service design for community

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workshops is the best answer for successful scaling-up, convincing local authorities to allow people to have sufficient access to such workshops may be a prerequisite for improving the service. This example is, however, unlikely to be either the only or most effective way for successful scalingup of upcycling in the UK, given the following limitations to this study. First, about half of the cited literature is from the USA and might not be applicable to the UK. Secondly, the review is at a preliminary stage and neither comprehensive nor conclusive. Thirdly, the literature reviewed relies mostly on personal experiences and opinions (Anderson, 2012; Frank, 2013; Lang, 2013; Szaky, 2014; Soule, 2008) or limited empirical evidence (Gauntlett, 2011; Levine & Heimerl, 2008; Parker, 2012; Turney, 2009). Finally, most of the literature does not focus specifically on upcycling. A more comprehensive literature review as well as empirical research on drivers and facilitators for upcycling in the UK is thus required. In order to be able to propose upcycling scaling-up strategies and tactics confidently, further studies are suggested, as follows: (1) determining relative importance among identified UK-specific drivers and facilitators; (2) identifying and prioritizing barriers for nonpractitioners; (3) learning from best practice in other fields; and (4) strategizing based on (1), (2) and (3). Despite these limitations, this short study could be informative and inspirational for academics, designers, entrepreneurs, government officers or social workers interested in developing a charity, social enterprise or other type of organisation aiming to involve local communities in learning and sharing how to effectively utilize second-hand products or waste materials for social, economic, and environmental benefits, whether at individual or community level.

References Anderson, C., 2012. Makers: The new industrial revolution. London: Random House Business. Anderson, C., 2014. Longtail.com. [Online] Available at: http://www.longtail.com/about.html [Accessed 16 9 2014]. Braungart, M. & McDonough, W., 2002. Cradle to Cradle. Remaking the Way We Make Things. New York: Vintage. Frank, C., 2013. Living simple, free & happy: How to simplify, declutter your home, reduce stress, debt & waste. Ontario: Betterway Books. Gauntlett, D., 2011. Making is connecting: The social meaning of creativity, from DIY and knitting to YouTube and Web 2.0. Cambridge: Polity Press. Jackson, T., 2005. Motivating sustainable consumption, Surrey: Sustainable Development Research Network. Lang, D., 2013. Zero to maker: Learn (just enough) to make (just about) anything. 1 ed. Sebastopol, CA: Maker Media, Inc. Levine, F. & Heimerl, C., 2008. Handmade nation: The rise of DIY, art, craft, and design. New York: Princeton Architectural Press. Lyubomirsky, S., Sheldon, K. M. & Schkade, D., 2005. Pursuing happiness: The architecture of sustainable change. Review of General Psychology, Volume 9, pp. 111-31. McDonough, W. & Braungart, M., 2013. The upcycle: Beyond sustainability - Desining for abundance. New York: North Point Press. Oxford Dictionaries, 2014. Oxford Dictionaries. [Online] Available at: http://www.oxforddictionaries.com/definition/english/upcycle [Accessed 16 9 2014]. Parker, R., 2012. The subversive stitch: Embroidery and the making of the feminine. London: I B Tauris & Co Ltd. Sheldon, K. M. & Lyubomirsky, S., 2009. Change your action, not your circumstances: An experimental test of the sustainable happiness model. New York: Edward Elgar. Shove, E., 2012. The dynamics of social practice: Everyday life and how it changes. London: SAGE Publications Ltd.

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Soule, A. B., 2008. The creative family: How to encourage imagination and nurture family. Boston: Trumpeter Books. Stern, P., 2000. Toward a coherent theory of environmentally significant behaviour. Journal of Social Issues, 56(3), pp. 407-424. Szaky, T., 2014. Outsmart waste. San Francisco, CA: Berrett-Koehler Publisher, Inc.. The Dictionary of Sustainable Management, 2014. The Dictionary of Sustainable Management. [Online] Available at: http://www.sustainabilitydictionary.com/index.php?s=upcycle [Accessed 16 9 2014]. Triandis, H. C., 1977. Interpersonal behaviour. Monterey, CA: Brooks/Cole Pub. Co.. Tuominen, K., Savolainen, R. & Talja, S., 2005. Information literacy as a sociotechnical practice. Libray Quarterly, 75(3), pp. 329-45. Turney, J., 2009. The culture of knitting. Oxford: Berg

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Macro to Micro, Mature to Emergent – the Information Flow from Innovators in Fashion Hubs; Can Micro Entrepreneurial Innovators in Sustainability Hubs Inform Bite Sized Sustainability Solutions in Globalised Fashion Industry Supply Chains? - Mo Tomaney Mo Tomaney Subject Leader Fashion & Business University for the Creative Arts Epsom Surrey UK This paper examines the potential for entrepreneur driven creative design at the micro and localized fashion hubs to inform sustainability innovation in global macro supply chains for apparel, in the context of resource consumption and socio environmental interventions. There are many examples of artisanal production models where the application of design solutions to build innovation combines aesthetics and sustainability as part of an intrinsic process or product, often highlighting a creative intervention at a particular point of creation (rather than holistic value chain componentry). Designer-makers often use terms indicative of a sustainable or ethical supply chain in marketing at point of sale (eco fashion, fair trade, green etc), even if transparency is not fully documented throughout the production chain. Often a process or skill that provides an important aesthetic hook to the product, is communicated as an eco story in the context of a local or community story (a traditional textile embellishment skill that is delivered via a community or social enterprise, or a field to product processing technique). One effect of this has been to focus the popular face of sustainable fashion (in the mainstream) onto single issues within supply chains, for example consumer behavioural change, sustainable agriculture of fibres in fabrics or the creation of social impacts through sourcing. The evolution of consumer engagement with ethical fashion is somewhat dependent on the translation of issues into fashion by designers and consumers, which can be subjective if no third party framework in in place. While micro entrepreneurs communicate issues via design and mode of production, sustainable fashion presents more complex challenges to multi national apparel brands whose CSR policies are the remit of sourcing teams rather than designers. The globalised industry has been slow to develop upscaled sustainable approaches that fit both business models and its sustainability objectives. Unlike small independents, macro and branded mainstream fashion is part of a global manufacturing industry, with many business and logistical demands competing with creative and sustainability demands, thus the bottom up developments in production of textiles are often challenging to macro supply models. Socially responsible industry innovations, for example social audits in garment factory's or engagement or social enterprise as a link within a supply chain, well embedded in many international apparel brands and stables, such as H & M Kering and VF, have posed a challenge designers for such brands, who, while driven by aesthetics and markets, would like the product to disseminate a social responsibility story that engages the consumer. For the most part, macro socially responsible interventions have no visibly conveyed message; at the most challenging, they often address concerns that the consumer would prefer not to consider, child labour, bonded labour, unsafe or unjust working conditions. Corporate sustainable innovation must be auditable and applied within a framework of often extremely fractured & complex supply chains defined by tight business models that offer little margin for creative approachesl; consumer purchase decisions are equally complex, fashion choice are rarely rational. Creatives in the corporate fashion industry have, until recently, leveraged limited effect on issues relating to infrastructure, labour concerns, the processing of textiles and mainstream apparel supply chains, areas where upscaled sustainable interventions

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driven by CSR professionals have potential for far reaching social and environmental impacts but are not necessarily related to aesthetics or product. Fashion design and branding is intrinsically usually top down, led by markets and driven by consumers. Traditional and governmental approaches to developing sustainability within supply chain ―chunks‖ have largely been focused on bottom up, often directed towards the empowerment of producers who are extremely remote from notions of consumption or the end (fashion) product. In recent years there has been a movement towards redressing a disconnect between the triangle of creatives, business and sustainability professions in fashion. Fashion academia, in design, marketing and apparel engineering has embraced sustainability, nurturing cross sector partnerships and research in which technical/creative/economic interests can evolve in tandem, with an noticeable impact on an industry that relies on young creative talent. Meanwhile, governments and NGO‘s have tentatively begun to learn the language of fashion, while fashion professionals and the industry have been obliged to engage with external conversations, taking on board the complexity of issues beyond seasonal fashion calendar demands; Disruptive innovation within the sector has come from diverse actors and unlikely collaborations, often with a focus on specific elemental interventions that support community development or socio-environmental dimensions with some success in innovating production methods at identified points within value chains, such as Vivienne Westwood‘s collaboration with the ITC Ethical Fashion Africa programme, or the YSL bag that utilizes artisanal skills in Burkino Faso, both of these examples engaging with projects focused on social and economic change at a local community level. In both, finish and design fit brand DNA, created to be marketed as luxury branded products in conventional fashion markets with some success; design and quality is matched by designers to an existing local skill that can be ustilised at a specific point in the value chain. Value is maintained through high quality finishing of the product (stitching, quality management, branded embellishments etc), however the core value is in strong brand management through marketing and campaigns that the luxury consumer expects. These examples have been be adopted by businesses attached to strong profit driven models, however the impact of localized networked training on local enterprise evolution is significant, with the emergence of local brands flowing from the development of creative skills and exposure to international markets, Creatives within local sustainability hubs have been included in these conversations, in some unlikely parterships between corporates and micro enterprise, for example the collaboration between From Somewhere and Top Shop, Recalim to Wear – an upcycled fashion brand sold in multiple Top Shop stores, produced by a social enterprise with production in Peckham. London, and Veneto Italy. From Somwhere, having upcycled pre consumer fashion waste for 15 years, was also responsible for an upcyclde childrenswear collection for Tesco‘s Florence & Fred line in the UK. The collection utilized cutting floor waste from a Tesco‘s Sri Lankan supplier/ Stella MAcCartney, part of the Gucci stable, recently showed an upcyled collection at London Fashion Week following a similar design methodology. The integrity of brand and product through good design disseminates the visible exploitation of a socio-environmental dimension to the fashion product directly through design intervention, telling the story & adding sustainability equity to the brand without losing product value or profit margin. The story has the power to stimulate conversations (between brand and consumer) that themselves touch on wider CSR activity - in a way that intensive and costly efforts to audit supply chains, though necessary, cannot deliver. Designers traditionally have a strong relationship to the consumer; whether part of a local or virtual sustainability community, or a global mainstream business, an important element of their role is to reflect wider cultural drivers for consumption through fashion; technology, community and sustainability are all part of that. The potential for design to drive systemic change related to overconsumption, environmental production or social accountability, in commercial fashion, has been difficult for companies to communicate, in part because the outcomes are rarely black and white, in part because they are not always clear to the consumer whose appetite is for fast fashion and the new; design is an important tool in meeting this challenge, however applying learnings from SME design companies to macro fashion brands requires real engagement between design rationale and manufacturing process. While smaller, local and independent fashion enterprises are often design and skill led, their size and market proximity means they are flexible and better able to influence sustainability within their direct supply chains. A small designer who is sandwiched between market and supply can tailor a production model that ensures environment and ethics is at its heart; this might be dependant on, or may highlight, one aspect of sustainable production. An example of this is Junky Styling‘s upcycled model, in which design and sustainability are interdependent – the fabrics and upcycled elements of

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the garments (in its previous incarnation) are at the same time what the design is, and what the sustainability is. Design is central to the products‘ positive sustainable impacts, we do not immediately question the processing of the fabric, or the wages paid to the artisan who stitched the garment – we care and understand that this is garment brought back to life. The sustainable intervention is close to the market facing end of the supply chain, with the consumer sometimes participating in the creative conversation, so it has higher visibility than, say, an organic cotton Tshirt, sold by an international multiple, which appears to be exactly the same as its non organic neighbour, both in manufacture and appearance. In measurable sustaibability it may be far more impactful, yet the Tshirt consumer can only engage with the story through marketing material, rather that the product, while the Junky Styling consumer is literally wearing his sustainable credentials on his sleeve. The micro entrepreneur has limited means to map sourcing, and fewer supply chain choices; she has a different kind of toolbox at her disposal, she can actively innovate both through creative and systemic responses to markets, campaigns, partnership. The converse challenge to mainstream corporate fashion brands has been the adaptation to scale of innovative sustainability intentions, finding ways to fit new systems, that are proven at small scale, into its demanding macro business models, while delivering accountable social and environmental impacts. While many in the industry aim towards a long haul objective of 100% transparency across the entire value chain, local and community entrepreneurs are successfully developing design solutions that engage craft or technology and are proven to work in a discreet market, often lacking the organisational networks and capacity to deliver effective accountable transparency. In contrast, corporates work behind the public façade to measure social or environmental targets in existing supply routes, some with a high degree of integrity, others more questionable. A market focussed and considered design intervention complements overarching CSR strategies, driving PR for genuine, if ring fenced, green credentials, arguably countering accusations of greenwash. Thus visible design equity in the end product (through textiles, embellishment, manufacture etc.) can be used communicate and support less visible CSR work (auditing a supply chain, cleaning up textile processing etc) without exploding the costing models upon which big business fashion depends and is reluctant to sacrifice. Good and market relevant design is useful to the sustainability agenda as an effective communication tool at all market levels and business scales. It is a paradox that many of the pioneers of ―eco fashion‖ were not primarily designers, rather campaigning individuals whose primary vision was social, environmental, rather than creative; it is only recently that serious established designers have taken up the challenge, repairing a somewhat tarnished reputation (aesthetically speaking) for ethical fashion. Good design can be used to drive fashion‘s engagement with innovation within supply chains whilst also offering a key transparent identity that will be interrogated by the consumer. In the mapping of sustainable supply chains, a skill or material provides a tight design framework for creative interpretation. This challenge demands the vision and experience of an excellent designer if it is to deliver fashion excellence that leads to sustainable impacts. It is a given that the product must be market right, desirable, not necessarily "worthy" – at least not obviously so at first glance. It is not uncommon for a luxury fashion product, designer or brand to be well known for a design feature that relates to a specific material or skill (Erdem prints, Vuitton tooled leather, Mathew Williamson‘s embroideries, Stella McCartney‘s non leathers etc). In production terms this is a highlighted supply chain intervention, communicated (from the primary consumption perspective in aesthetic and market terms) as design; i.e. skill or material focused fashion design represents manipulation of a process to delivers the designers‘ vision and becomes his or her USP. If a fashion designer can build a whole brand identity around such a design aspect, and theres is no good reason why good design and market awareness cannot build a market around a specific skill and material combination in the context of ethical fashion to support specific social enterprise, or sustainable materials to address an environmental impact. The micro designer-entrepreneur‘s business agility can off greater freedom to adapt the value chain to support a specific skills, material or supplier intervention by which the consumer and the market will define both the product and the sustainability profile of the brand - for example, working with a specific indigenous skill, a non animal material or a low impact materials process. If the design aspect utilises a process that is sustainable, then it can be very effective in defining the transparency or sustainability of the product as a defining charachteristic of the whole brand (up-cycling at Junky Styling, Henrietta Ludgate‘s use of British milled fabric, Fairtrade cotton at Topshop). These examples and others illustrate case in which design innovations effectively communicate a sustainable story on which to hang an ethical approach to a holistic supply

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chain, simultaneously opening a conversation between brand, consumer and supplier. Sustainability = design = brand thus become the brand /consumer interface. Business agility differs significantly between the micro and macro sectors of the market. The mainstream fashion industry is a cyclical business and must negotiate the global machine of its complex links alongside its (many would argue self imposed) value chain limitations. Business agility has historically focused on profit; the ability to shift production between suppliers, sourcing hubs, etc. has been a driver for innovation; the role of the designer is to invigorate markets with new product - a definition of innovation that is focused on more product, more consumption, more waste, and shorter lifecycles. It requires flexibility to alter skills, materials supply, even sourcing hubs, in order to accommodate the whims of consumer markets. Profit margins that are locked into brand or retail equity leave limited scope to initiate sustainability through newness or creative outputs, so, until recently, sustainable innovations have been systemic rather than design led. Designers have been asked to fit into sustainability intiatives designed by sourcing departments (with a business objective) or CSR (with a sustainable objective that does not always comprehend the market or the creative impulse). Until recently the creative team was outside of the conversation, thus design integrated sustainability might be something of a seasonal add on. For a fashion company, the challenge a holistic & joined up approach to sustainability must engage the aethetic that is the essence of the product, alongside the conventional (less visible) implementation of CSR. Designers are instinctively innovators; by dint of its being market connected, they brings a business and market focused pragmatism to support longer term goals, embedding them in a the historic DNA of the brand. A fashion business is unique in its need for ongoing renewal, in effect it is the very antethesis of the meaning of sustainability; the designer is intrinsic to this continuum, without the compliance of the design team the machine (of fashion‘s constant renewal) cannot be slowed. Innovations in sourcing and production depend on the designer‘s instinctive ability to connect innovative interventions to the consumer if they are to be truly sustained. Innovative that is driven by environmental or social considerations in all aspects of fashion - design, marketing and retailing and PR - is driving the sustainable fashion story toward a tipping point, with the macro adopting micro within supply chain ―chunks‖ that can thus be manipulated to add value as well as delivering sustainability, with the potential for integrity and longevity. There is a current exchange beteen both the mainstream global businesses and the micro entrepreneur who is embedded in a sustainability community and whose commitment to issues is greater than her commitment to fashion that goes in both directions. New systems emerging from outside of conventional fashion and luxury borders indicate solutions that are driven both by business models (such as making circular economics work within the greedy fashion brand model) and creative influences within supply chains, proving that fashion can adapt sustainability into its inflexible value model while delivering the brand equity that is required in fashion markets.

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Green Development and Innovation in China - Yi Wang Professor Dr Yi Wang Director General Institute of Policy and Management Chinese Academy of Sciences China

Summary For addressing financial crisis, climate warming and domestic resources and environmental issues, the paper analyses experience and lessons of green economy and puts forward that China‘s development in next decade should be lead by the concept of green development. The green development model must establish a new comprehensive development framework and be oriented by resource and environment efficiency, restructuring and co-benefit effects in order to integrate relevant ideas such as circular economy and low-carbon economy. Green innovation would be a key way to realize the green development. The green development will contribute to both a green China and the global sustainable development. Key words: Green Development, Green Innovation, Transformation of Economic Development Pattern, China With its peaceful rising in international arena, China has become a major player in the process of global economic growth and sustainable development. In the context of globalization, the experiences got and challenges faced by China in its course of development are of global implications due to its large population and size of economy. Over the last sixty years, particularly over the past three decades, China has achieved outstanding results in its economic development. Even in 2009 against a backdrop of global financial and economic crisis, China‘s GDP still grew by over 8%, triggering another round of heated discussion on ―the China Model‖. However, it should be noted that due to a number of factors (e.g. its specific development stage, national conditions, and international division of labor), China is confronted with a series of challenges in addressing such issues as poverty reduction, employment, population ageing, and, in particular the negative impacts of resources and energy consumption and pollution on the global environment. For this reason, China is expected to play a crucial role in re-shaping the sustainable development worldwide, i.e. a green China is also needed. In addressing various challenges both at home and abroad and promoting sustainable development, China is trying to explore the way of green economy and development with Chinese characteristics. We have proposed developing green economy to achieve green growth in the new stage. This is done to realize three fundamental objectives: 1) giving top priority to solving the domestic resources and environmental problems; 2) leveraging technical progress to enhance the energy efficiency and green competitiveness, achieve green recovery, and address such issues as economic growth, poverty reduction and employment, among others; and 3) shifting gradually from fossil fuels to new, low-carbon or carbon-free energies to develop energy conserving and environment friendly industries, and to promote the ‗greening‘ of the economic system by means of transforming the growth mode, in particular the green transformation, with an ultimate goal of addressing long-term challenges in climate change and sustainable development. The years between 2010 and 2020 are a key decade for China to accelerate its pace of industrialization and urbanization drive, and transform its development mode. By 2020, China is expected to fulfill its commitment of reducing carbon dioxide emission intensity and other indicators in addressing climate change, implement the Circular Economy Promotion Law of the People‘s Republic of China, and build a resources-saving, environment-friendly and low carbon-oriented society by constantly improving the efficiency of resources utilization and the environment quality. As a result, we believe it is necessary to integrate the development of green economy, low-carbon economy and

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circular economy into the framework of green growth, and highlight green growth as a key component of sustainable development strategy, in order to address the aforementioned three challenges. Great efforts should be made to accelerate the process of industrialization and urbanization through green transformation, and to explore a low-carbon growth mode with Chinese characteristics and achieve green revitalization and sustainable growth by building green industrial, construction and transportation systems. Against a backdrop of rapidly changing conditions at home and abroad, China needs to develop a practical green development strategy and invest in green innovation in order to achieve its goal of green growth and provide favorable conditions for its long-term sustainable growth in the period of th ‗12 Five-Year Plan‘ (2011-2015) and beyond. As many areas are involved in green development and innovation, China should give top priority to the following aspects: Speeding up institutional innovation, and giving top priority to the development of green development-related policies. Developing green economy needs to fully leverage the legal, administrative and economic means, and constantly adjust and make innovation in the policy instruments. During the period of 2010-2020, more administrative means have been adopted to promote the efforts of energy conservation and emission reduction. However, in the next 5-10 years, it is necessary to use more economic instruments on the legal basis and supported with appropriate administrative measures. Investing in green scientific and technological innovation. To strengthen the role of policy in guiding green innovation, the government is required to increase the related scientific and technological input and improve the national capacity in this area. Meanwhile, emphasis should be put on enhancing the efficiency of R&D through appropriate institutional arrangement, creating the model of integrating government, industry, education and research, as well as the model of public-private partnership (particularly combine the strength of relevant research institutions, enterprises and capital market), coordinating different actions to promote the corporate innovation capacity and competitiveness, and facilitating the growth of strategic, emerging industries. In addition, efforts should be made to expand opening to the outside world, learn from the international best practices, and strive to be the leader and provider of technologies in energy conservation, emission reduction and green innovation. Adjusting the foreign economic cooperation strategy and promoting the social and environmental responsibility in overseas development. With the increasing international focus on China‘s rise, it is critical for the country to adjust its strategy of foreign economic cooperation against the new circumstances. Four priority areas need to be paid attention to: 1) developing new strategy in foreign economic cooperation in the new era; the energy conservation and emission reduction and that of addressing climate change should be taken into account as the key factors in guiding the foreign economic cooperation, speeding up the transformation of foreign economic development mode; more wisely use the overseas resources and energy, and leverage overseas assistance funds to directly or indirectly boost the development and use of overseas resources and energy; 2) adjusting the strategy of foreign investment, developing guidelines on the corporate behavior for the Chinese companies to operate overseas, in which the Chinese companies are not only requested to follow necessary business rules and international practice, but also to shoulder their social and environmental responsibilities in the local areas where they operate; and 3) transforming its overseas assistance pattern, making energy conservation, environmental protection, and addressing climate change as key components in overseas assistance to build a new green image for its enterprises and the nation as a whole. Boosting the development of strategic emerging industries that are resources-saving and environment friendly. These industries include new energy, energy conservation and environmental protection, electric car, new materials, as well as the industries that are related to green industry, construction and transportation. Specific plans will be developed at the national and local levels to define the development objectives, technical roadmap, spatial layout and incentive policy, enhance the building up of talent and technologies, and avoid redundant construction. In addition, those industries will gradually grow up on the basis of implementing related plans, accelerating the demonstration process, and the building of markets.

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Sustaining Bike-Sharing Systems in China: Case Studies - Lihong Zhang, Jun Zhang, Zhengyu Duan, David Bryde Dr Lihong Zhang Liverpool Business School Liverpool John Moores University UK

Dr Jun Zhang Assistant Professor School of Design Hunan University China

Zhengyu Duan Lecture and Master Instructor School of Transportation Engineering Tongji University China

David Bryde Professor in Project Management School of the Built Environment Liverpool John Moores University UK

Abstract This paper seeks to understand how bike-sharing systems contribute to reducing a reliance on the use of private vehicles in urban environments. Bicycles are a sustainable form of transportation for many reasons, including the fact that taking a bicycle is environmentally-friendly, economically costeffective, a way to keep fit and healthy and, on occasions, an enjoyable social activity. The empirical study analyses bike-sharing systems in five Chinese cities. Not only is China suffering from the severe negative consequences of high private vehicle usage in high and densely populated cities but there is a long history of bicycle usage in the country which provides the potential for such a form of travel to be a viable alternative to motorised vehicles. The findings show that bike-sharing systems have been introduced with varying degrees of success. The configurations which maximize 251


contributions to sustainable travel both consider and integrate elements relating to transport planning, system design and choice of business model. Key conclusions are that those responsible for developing policy and practices in relation to bike-sharing systems need to understand aspects of value from a user perspective, which, in part, reflects the diverse reasons for wishing to engage with such a system. They also need to recognise that public bicycle sharing is a complex and evolving Product Service System in which appreciating the interplay between design of the physical product and the service being offered is crucial to its success.

Introduction In the transition towards sustainable consumption and production patterns, mobility is one of the priority areas (together with food and energy). Sustainable mobility suggests seeking an effective way to integrate both product innovation and the innovation on the level of the production & consumption system within which the product is placed (Vezzoli and Ceschin, 2008) and which satisfies a particular demand for transportation. A move towards sustainable mobility necessitates a reduction in the inefficient use of private vehicles and an increase in the access to environmentally sustainable transport for low-income communities. So recent years has seen a rapid development and implementation of public bicycle systems, or ―bike-sharing‖ systems. Depending on the measures used it is estimated that there have been some 461 bike-sharing programmes set up in 28 countries (Beroud et al., 2010); or, alternatively, more than 500 programmes in 49 countries (Larsen, 2013). Technological advances, such as bike tracking, solar powering, tele-communicating and on-line shopping, have helped transform the idea of bikesharing from an aspiration to reality. This aspiration dates back over 50 years to when people initially tried and failed to introduce bike-sharing schemes in the 1960‘s (DeMaio, 2009; Beroud et al., 2010). It is in the context that China has joined other wealthy countries in developing bike-sharing schemes. Part of the reason for this is that China is, like many other countries, is suffering greatly from the negative consequences of an over-reliance on motor vehicles as a primary mode of urban transportation i.e. congested roads causing journey times to be high and carbon emissions from vehicles contributing to pollution of the air, fossil fuel demand and to greenhouse gas emissions. There is a relatively long history of bicycle ownership and use in China which means it is a logical focus for policy makers seeking alternatives to motor car use in the congested urban conurbations. This history shows three distinct stages of bicycle use in China, as follows: 

The early stage from the 1950‘s to the end of 1970‘s. The take up in bicycle use was initially very slow but it gradually started to become part of people‘s daily life as a means of transportation.

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From the 1980‘s to the end of the last century saw rapid growth in usage. By the end of this stage there were some 400 million bicycles in use throughout China.

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From the start of the 21 century to the present day saw a period of relative decline, with motorized vehicles taking the place of bicycles. Despite this trend the serious concerns relating to transportation, energy consumption and environmental pollution saw concerted efforts to encourage Chinese citizens to opt to ravel by bicycle as a green and sustainable form of transportation (Zhao, 2013).

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The fact that a bicycle is a cheap and green form of transport, with the attendant sense of freedom that having access to a bicycle brings to its rider, are at the heart of the marketing of the bike-sharing philosophy. As highlighted in recent reports on bike-sharing (see, for example: Fong, 2009; Weber, 2010; Hickman, 2010) the concept of community bike-sharing involves an individual checking out a bicycle from one of several public locations, usually called a docked station and returning it at another location. The principle is to provide an alternative or complementary form of public transport to cover short journeys within city limits. The interest in bike-sharing has come at a time when environmental concerns, issues relating to sustainable development and corporate social responsibilities at the macro-level are challenging policy-makers to rethink ways of creating shared value (see, for example, Grous, 2011; Davies et al., 2006; Porter and Kramer, 2011). Hence value can be defined in terms of reducing carbon-dioxide pollution, smoothing traffic flows and encouraging a healthier commute to and from work for human beings. This conception of value provides the background to the bike-sharing business: its advantages, benefits to the public, and its limitations (Beroud et al., 2010; Fong, 2009).

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Bike-sharing is seen as a valuable approach to foster clean and energy-efficient modes of travel in urban areas to make bike-sharing systems sustainable, though, it has been highlighted that three fundamental factors that are interrelated need considering: the exogenous factors such as bike-ability and safety; the institutional factors such as ownership and work relationships of stakeholders; and the physical design factors (OBIS, 2011). Whilst there has been an increase in the number of bike-sharing systems and attendant interest in the topic from an academic perspective (DeMaio, 2009; Lin and Yang, 2011; Shaheen et al, 2012; Fishman et al, 2013), there is still a need for further research in order to gain a full understanding of the contribution a bike-sharing system can make in reducing the reliance on the use of private vehicles in urban environments and how the systems are configured to maximise the contribution. Such research needs to consider a number of different perspectives which are likely to encompass planning, design and business-related issues. The specific research questions that this study seeks to answer are as follows: What are the similarities and differences between individual bike-sharing systems? What are key success factors in developing an effective bike-sharing system? What is the role of a bike-sharing system?

Conceptual Framework In establishing a conceptual framework to guide the study it is useful to view a bike-sharing system through a number of lens: firstly, they are seeking to meet new conceptions of value, whilst, secondly, being a mode of transport that can be sustainable for not only bicycle users but also for suppliers, who, thirdly, have to consider financial and economic imperatives. As such, we argue, any analysis of bike-sharing systems cannot be fully complete by taking a single perspective. Hence in developing a conceptual framework for our study we consider bike-sharing systems from the following points of view: 1) Transport planning 2) System design 3) Business models. In the next sections we consider each of these in turn. Transport planning In terms of transport planning a public transit-oriented mode has been officially recommended for most cities in China (Wang, 2002). This indicates that a top priority is given to developing mass public transit systems, such as urban rail transit (metro, light railway) and BRT (Bus Rapid Transit). The land resource of China has become increasingly scarce rendering a car-oriented transport mode unsustainable at least in the urban areas; where most cities in China have chosen high-density urban development models. Early in 2005, China‘s General Office of the State Council and the Ministry of Construction promulgated several notices for giving priority to developing public transit (General Office of the State Council, Ministry of Construction, 2005). "Transit Priority" and "Transit City" has become a shared view within all government levels in China. As bicycles can be used as a complementary means to public transit systems a bike-sharing system stands an opportunity to integrate into urban development. Transport is one of the most challenging issues in sustainable urban development (Wang, 2002). The ultimate purpose of "Transit Priority" and "Transit City" policy is to establish an open regional transit system and to build a transit oriented urban spatial structure (Yang and Zhang, 2011). Bike-sharing is a convenient and ―green‖ transport mode, and therefore plays an important and complementary role in the comprehensive transport system. Cycling has several advantages over other transport modes, it requires less facilities, can reach some under-served destinations, and a bicycle is relatively inexpensive to purchase and maintain. Research suggests that a bicycle is an ideal transport mode in 2km to 5 km travel distance (Li, 2009). Using bicycles to connect with buses can solve the problem of the "last mile" in public transit modes. From a sustainable transportation planning perspective, though, the core issue of bike-sharing is: who would be served by such a system? Commuters and tourists are the two largest groups of transport demand in an urban area. To these groups a bike-sharing system can be an innovative and sustainable solution. In large cities of China, 253


such as Beijing, Shanghai and Guangzhou, the average time of commute is 42 minutes, which is ranked as the longest in the world (Guan, 2011). For tourists, riding a bicycle is an attractive activity. Bike-riding can help to protect scenic spots and historical conservation areas and it can also slow down citizens pace of life and improve their quality. For this and many other reasons, local planning government departments in Shanghai, for example, are considering building ―slow traffic facilities‖ (Wang et al., 2010). Here they are mirroring Barcelona in Spain and Hangzhou in China which are quoted as the most successful examples of such initiatives (Hangzhou BSS Website, 2009). System design From a system design perspective bike-sharing can be seen as a complex Product Service System (PSS). A PSS requires companies to provide a mix of both products and services, so that sustainability in regard to both consumption and production is possible (Goedkoop et al. 1999; Cook et al., 2006). Further, it is argued that PSS offers opportunities to dematerialise the economy and reduce the environmental impacts of industrial activity (Duygu, 2006). At the same time a recent surge of research on PSS had given us new opportunities and challenges in terms of understanding aspects of sustainable development. A common view amongst many theorists is that sustainable development requires a system discontinuity, meaning that radical changes in the way we produce and consume things are needed. In this context PSS has the potential to accelerate the transition to a sustainable society since PSS is not merely focused on selling material products but also on providing intangible services (Mont, 2002, 2004). Eco-efficient PSS innovations, then, represent a promising approach to addressing aspects of sustainable development (Ceschin, 2012). From PSS and innovative design perspective, a bike-sharing system should offer a ―Use Orientated‖ approach (Manzini, Vezzoli, 2003) to the ownership rights of the material artefact. The service provider retains the ownership in this PSS configuration and the customer purchases the use of the product/system over a given period of time or units of service. Bike-embedded eco-mobility schemes require fewer cars-per-kilometre travelled per person (Cook et al., 2006). Bike-sharing systems, therefore, have a great potential to increase the use of public transport and hence to decrease the environmental load of personal mobility activities. The capability of PSS as an attractive solution to bike-sharing systems depends on a number of factors that are commonly considered to belong to the design domain but also closely relate to the requirements of the potential customer. The role of designers is to crucially and critically define an effective and attractive PSS for bike-sharing. Designers need to find their own methodological approach to the design of a PSS (Nicola, 2006). PSS also requires the focus being shifted from designing and selling only physical products to selling a system of products and services which are jointly capable of fulfilling specific clients‘ needs (Manzini, Vezzoli, 2003). PSS needs to consider consumer‘s behaviour and hence ―need-feature-benefit‖ analysis is useful in designing a sustainable bike-sharing system (Mont, 2002; Vezzoli, 2007). Business model A number of business models have emerged for local, national and international stakeholders to manage bike-sharing service provisions (Shaheen et al., 2010, DeMaio, 2009). Stakeholders, among others, include city councils, advertising agencies, communities and private sector organisations such as bike providers. Recent studies suggest that for a bike-sharing system to be successful it is essential to run operations as a not-for-profit charity and to be subsidised by local government or other funding bodies whose ultimate multi-dimensional goal is to reduce environmental impact, lessen traffic congestion, enhance mobile connectivity, and finally improve public health (DeMaio, 2004; 2009). Others identify a precondition as being a suitable market for a sustainable business profitmaking model as they eventually pass a start-up stage (Shaheen et al., 2010; Beroud et al., 2010). It is a moot point how each of these specific and sustainable business models are (co-) created to manage a complex and bespoke bike-sharing system. The process of creating a viable business model will take in the stages of design, development, implementation and operations. It iteratively relates to the issues of transport planning, infrastructure consideration and sustainable service design. (See sections 2.1 and 2.2 above.) A business model is a series of activities that are created to add value to the customers (Magretta and Stone, 2002; Demil and Lecocq, 2010). A bike-sharing system, by this definition, is developed to make something (such as a short-distance riding service, service guidance or advertising services) and then to sell them to a variety of customers (being it tourists, commuters or companies). As

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reported in many studies (see, for example, Shaheen et al., 2010 and Beroud et al., 2010), there are many challenges that face bike-sharing operators. Logistics, for example, will need to consider the location and size of bike stations, the forecasting and scheduling of customer demands, route choice and development, bike maintenance and bike-redistribution systems. In doing so bike-sharing operators will also need to deal with specific issues such as theft and vandalism and to undertake relationship-based marketing to harmonise potential and even direct competition from local taxis, buses, and bike owners. A business model for a bike-sharing system will need to create insight about value, and a first-rate plan with an economic twist that increases revenues and lowers costs (Magretta and Stone, 2002). A shared value (Porter and Kramer, 2011) will need to be created in order for stakeholders to stay in business over the long-term. In developing a business model and of value co-creation one must take into account the fact that a bike-sharing system is designed and implemented to be unique, bespoke and one-off. In addition one must recognise that the stakeholder relationships are likely to be interdependent, multi-embedded and, sometimes, intangible (Mills et al., 2013; Frow and Payne, 2011). The complex system and performance requirements in bike-sharing have been described as interactions between infrastructural complexity (e.g. buildings, enabling facilities and hardware) and transactional complexity (e.g. performance involving high degrees of embedded knowledge) (Lewis and Roehrich, 2009). Uncertainty, complexity and ambiguity tend to be commonplace in the management of a complex PSS (Zhang, 2013). Organizational learning provides the means for an enterprise to adapt to such a complex environment (Espinosa and Porter, 2011) and to reduce uncertainty in operating a complex PSS (Colen and Lambrecht, 2012). Some stakeholders are interested in the bottom-line figure while others seek non-finance performance. The nature of the complex bespoke system may mean that small business orientation and franchising are feasible management strategies in achieving complex performance targets in bike-sharing (Zhang and Zhang, 2011). Other issues concerning achieving satisfactory performance include managing the supply chain (Ashby et al., 2012), recycling bike materials, reverse logistics, maintenance, bicycle redistribution and customer problem-solving, such as quality assurance, service recovery and service guarantee. To summarise the review of the literature which informs the conceptual thinking that frames this study, there are three areas of concern and consideration of each is crucial to gain a full understanding of the contribution a bike-sharing system can make in reducing the reliance on the use of private vehicles in urban environments. As highlighted in the preceding sections these areas are: 1) transport planning, 2) system design and 3) business model.

Methodology Desk research was undertaken for the data collection. The empirical context was cities in China that had introduced bike-sharing systems. Four students of Year Three from a Chinese key university participated in this process of secondary research. Under a close guidance of the researchers, students worked as a group to present their findings in a module called ‗sustainable design‘. They spent eight weeks searching internal and external sources about bike-sharing systems in China, that is, five metropolitan cities - Beijing, Shanghai, Hangzhou, Wuhan and one mid-size city- Zhuzhou. Media reports, expertise opinion-based articles and academic papers were collected and issues and key elements were extracted. From this a working diagram showing the meta-system for bike sharing was derived. The diagram facilitated the organisation of the data and an understanding of how key elements in the bike-sharing system interact, support or conflict with each other. MEPSS (Methodology for Product Service System) was adopted as a framework to guide this process. According to van Halen, Vezzoli, Wimme, (2005) MEPSS helps designers to think ‗outside the box‘ and actively use visualisation techniques to aid understanding of potentially complex interactions that have taken place in setting up a PSS. It harnesses different methods from various fields of expertise that are needed to cover the various aspects so as to take into account key elements in developing, implementing and operating a PSS. This inductive data collection encompasses issues relating to the PSS concept design and implementation and success and failure factors in the development and implementation of PSS.

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Findings and Discussion Overview of the cases – similarities and differences Table 1 summarises the elements of the bike-sharing systems in the five case cities in China. City Population (m) Territory (KM2) Cycling pop(year) Set up time and location

Main users Development

Business model Ways of Revenue No of stations No of bikes Bike use (per day) Maintenance repairing cost Operations Design

Main issues in the system design

Beijing 19.6 16,410 66% (1970), 31% (2007) May 2007, eight private bikesharing systems cover entire city centre Commuters, tourists Set up to welcome Beijing Olympic 2008. Service provision virtually stopped. For-profit Subsidy (v low) + fees mainly + ad 1020 10,500 0.3 High (¥2000/year) Service free: 30 minutes Ratio of bike to slot: 1:1 Ratio of bike to card: 1:0 No information system. Links lack between these eight bike systems. Few bikes available and capable. Station squeezed with personal bikes.

Hangzhou 8.7 3,068 61% (1997), 34% (2007) Jan 2008, one system cover West-Lake and entire city centre

Shanghai 23 6,340 67% (1981), 31% (2009) Sep 2009, one bike-sharing system cover Min-Hang district

Wuhan 9.78 8,490 ?

Zhuzhou 1.1 853 ?

Oct 2008, two bike systems cover QingShan and other districts

Tourists, commuters Expanded after 4 phases from initially 2,500 units and spread to other cities as a system solution Transportagency Subsidy (v high) + fees + ad 2670 65,000 5.6

Commuters, shopping Expanded from initially 4,000 units to welcome World Expo 2010. Struggled to operate

Commuters, shopping Expanded from initially 20,000 units. Struggled to operated

May 2011, one bikesharing system cover entire city centre City dwellers

For-profit

Advertising

Subsidy (low) + fees

Subsidy (middle) + ad

Government investment Subsidy (v high) + fees

567 20,000 4.2

1118 50,500 2

1015 20,000 10.6

Medium (¥1600/year) Service free: 60 minutes Ratio of bike to slot: 1:2 Ratio of bike to card: 1:2 Up-to-date info system. Upgrading bike hardware. Use of ‗green corridor‘. Corunning with other public transit systems.

Medium ( ¥1800/year) Service free: 30 minutes Ratio of bike to slot: 1:1.3 Ratio of bike to card: 1:11 Lack of info sharing and coordination. Stations far and between, minisystems not interchangeable.

High ( ¥2000/year) Service free: 120 minutes Ratio of bike to slot: 1:1.2 Ratio of bike to card: 1:3 Poor design of the bike system, lack of user info stations easily broken, bikes wore and stolen, no tracking system.

Low (¥600/year) Service free: 180 minutes Ratio of bike to slot: 1:1.5 Ratio of bike to card: 1:5 High cost and quality bikes together with real-name savings deposit. Slots and bikes available, corunning with public transport system.

Table 1: Bike-sharing systems in China – 5 city cases

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Expanded after 2 phase construction and spread to other city as a system solution


Sources include: He (2011), Yang, et al. (2011), Shen (2010), Li et al. (2009), Huang & Wu (2010), Zhao (2013), Yao and Zhou (2009), Huang and Wu (2010), Shaheen, et al. (2011) and Liu et al. (2010) All the bike-sharing systems that were developed in Beijing, Shanghai, Hangzhou, Wuhan and Zhuzhou were designed to harmonise urban life and cope with huge populations. It has been a widely supported idea that bike-sharing contribute ‗significantly‘ to lower carbon emission, energy shortage and increased travel distance. Instead of freedom and mobility local people talked about convenience, a peace of mind over theft and vandalism over personal bike and social equity and life quality. There sense apparently a big cry on fast road building/expanding but never catching up with exponential increase of fossil-powered vehicles. Even those who bought new cars joined to recall those good old days of ‗the biggest cycling nation‘. All bike programs started recently from 2007 to 2011. Some due to specific events such as Olympics 2008 in Beijing and world Expo 2010 in Shanghai. Others were initiated as part of governments‘ urban development outlines. Leading and investing in bike-sharing no doubt helped governments gain intimacy and loyalty from the public, or multitudes, and sympathy from international societies. These and other driving forces mentioned above set up a warm tune and speedy pace towards developing bike-sharing systems in the foreseeable future. This partly explained the multi-phase expansion of bike systems in the cities like Wuhan and Shanghai even though the systems struggled to operate smoothly and profitably. In Beijing new bike systems were proposed and co-ordinated by the city planner. Most operators of the systems were (partly) privately-owned but government of varying levels provided administrative support in land use and a source of ‗venture capital‘. Ways of revenue were restricted to local situation. For example it was afraid that advertising may create eye pollution and therefore was not allowed in Shanghai. While in Hangzhou and Wuhan advertising is the main source of income because local governments promised to not to cost a penny from taxpayers. The total number of stations and that of bikes would suggest an economy of scale. Yet none of the current bike systems was running close to break-even point. Zhuzhou the most successful system was running at the highest bike day use (10.6 per day) and lowest maintenance and repairing cost (estimated RMB600 per year) tend to suggest the most successful operations. Operations design varied from 30 minutes free of charge to 3 hours – long enough to cycle through the whole city. Prolonged free service though did not seem to generate high usage of bikes like experienced in Wuhan. Card uses are also specific to the city‘s situation and policy. Shanghai showed the highest card purchase (1:11). But over 40% were observed dormant. It seemed the best practice of bike/slot ratio is between 1.5 and 2. There were problems, though, in some cities in relation to technology integration, operations efficiency and effectiveness, abuse of the bikes and the upgrading of the software. The interface design and evolution between products, services, facilitating systems and urban infrastructures posted challenges to the development of the complex product-service systems. The success of certain systems seemed to rely on the strong and visible hand from the government to provide ‗seamless‘ co-ordinations among departments and communities. All systems were initiated by city authorities, either the city administration or the city planning department. The systems were then design-built by a consortium of design institutes, original equipment manufacturers, universities and key suppliers. Entrepreneurship was typically evident (in this multidisciplinary approach) and managing the network played a key part in success as well. These factors may explain why some bike-sharing systems like Hangzhou survived and even prospered while some like in Beijing virtually stopped functioning. Most of the systems observed seemed to be commercially unsustainable without some sort of public subsidy. We have compared the above five public bike systems in China suggesting a varying degree of operations conditions as well as a common trend/determination towards developing and upgrading bike-sharing systems. Sustainability is a complex issue (of, say, performance) which needs a multidisciplinary approach/perspective. More importantly it needs local and unique approach of enterprising to the design, implementation and successfully running of the complex system. In the next sections we analyse the specific characteristics of the bike-sharing system in each city. Beijing Beijing is the capital city of China. It is the centre of economic, politics and culture and has high levels of tourism. Its regular population reached 22 million in 2010, with over 100 million tourists travelling to

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Beijing annually. Beijing suffers from the large number of private vehicles on its roads. There is heavy traffic congestion in the city centre and there is very poor air quality, in part due to the carbon dioxide emissions from car exhausts. In such a crowded city centre, where bike lanes do exist, they are constantly encroached onto by motor vehicles. The risk of accidents and injury to cyclists means it is not a very safe form of travel. Public bike-sharing in Beijing was launched in 2007. The program was sponsored by the anti-theft arm of the Municipal Public Security Bureau and the Beijing Environment Protection Bureau, as the original intention was to focus on addressing the issue of theft of bicycles. Since then there have been 10 private companies and advertising agencies that have invested in and built bike-sharing systems in Beijing. By the end of 2010 most had terminated their involvement. For example the biggest contributor, Fangzhou, declared their intention to close down their operation November 2010. The Beijing bike-sharing system relies completely on a private-sector the business investment & operation model. The government only provides policy support by approving advertising rights to the operators to enable them to recoup their investment. This model relies on adequate advertising revenue from on the chassis of individual bicycles and on the facilities where bicycles are docked between rentals. The intention is to allow for reduce rental costs and hence stimulate demand amongst price sensitive consumers. The reality though is that the bicycle chassis advertising business model does not have enough support and guidelines at the policy level and lacks a strong legal foundation. So for the company‘s involved a lot of investment was made that was not recovered leading to breaks in service – between providers – and in some cases files for bankruptcy. A typical was Fangzhou which was established in 2008. Fangzhou was the biggest and oldest entirely private-equity company in China to operate a bike-sharing system. By 2009 it had built up a system consisting of over 10,000 bikes and 575 docking station sites. Yet by 2010 with the system beset by problems and service quality declining rapidly the company went into deficit and declared their intention to cease trading in 2010. Typical problems, for Fangzhou as well as other providers, include a lack of clarity as to responsibilities at docking stations – some being in part-public ownership and a failure to carry out regular vehicle maintenance – mainly due to the lack of working capital. Hangzhou Along with Zhuzhou, see section 4.6 below, the system in Hangzhou can be classed as a successful implementation. The bike sharing system of Hangzhou was built by the government in 2008, and the owner and operator is Hangzhou Public Bicycle Transportation Development Co, Ltd, which is a stateowned company affiliated to the Hangzhou Public Transportation Group Corporation. The urban area and population of Hangzhou is far less dense than big cities such as Beijing and Shanghai, which makes it more practical and operable to travel by bike. By 2010, the number of public bikes in Hangzhou was over 50,000, bicycle service points had reached more than 2,000, and you could find a service point every 100 meters. Hangzhou is famous for its beautiful west lake and the human historical monuments in southwest mountains. The first 20,000 public bicycles were mainly distributed in the west lake scenic area, where tourists were encouraged to ride bicycles to explore the natural surroundings. In the early stage of the bike-sharing system, the government provided 150 million Yuan start-up fund and 270 million Yuan subsidized loans in order to expedite the establishment of the system. Furthermore, advertising at service points and on the bicycles was granted to the operators, and this guaranteed them a stable source of funding. The management system developed included a monitoring system, scheduling system, information publishing system etc. This management system was very successful and was promoted to the cities of Dongguan, Foshan, Jiangyin, amongst others. It generates a business income of more than 60 million Yuan. In addition the city governors spent a great deal of effort on the details of the system, such as locating convenient service points, leasing modes, charge rules and fees, and the selection of vehicles. This detail was done taking both the characteristics and geographical typology of Hangzhou and the Chinese living habits into consideration. Shanghai Shanghai has a huge transport demand and a relatively well developed public transit system. By the end of 2009 it had built an urban railway system with 11 lines and 355km rail. Shanghai started a bike-sharing project in Minhang District in March 2009. The government invested 78.361 million Yuan

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to build 376 parking sites and provide 10,000 bicycles. After 2 years the system had only been implemented in on small area of the city and had not rolled out to the whole of Shanghai. There were many problems in the process of implementation. In terms of the business model the system is supported by both government investment and business operations, with the operating cost covered by public money and advertising revenue. There were two main operators in the early period of the system‘s implementation and this led to unclear lines of responsibility and other operational problems. This issue was subsequently addressed by the government solved. The system was beset by technical problems. The information system adopted was unstable in the early running period, which caused a great deal of frustration to the individuals attempting to either hire or return bikes at docking stations. The system was also prone to security breaches which made it susceptible to people seeking to steal bicycles. Shanghai's transport planning after 1990 did not pay enough attention to the bike-sharing system. There were no reserved spaces or public facilities for bicycles and in many areas no plans for bicycle lanes. Finally, there was no attempt to counter the negative effect of the rapid growth of motor vehicle usage. Most of Shanghai's empty urban spaces including some pavements and bicycle lanes, where they exist, are typically occupied by motor vehicles. Motor lanes were broadened and in the city centre area the footways made very narrow. Wuhan The urban area of Wuhan is even bigger than Shanghai since it is made up of three large districts: Wuchang, Hankou and Hanyang. Each of these is the equivalent of a medium-sized city in China. By 2011 the number of public bicycles in Wuhan was over 50,000 and bicycle service points more than 1,000. The Wuhan bike-sharing system, which adopted a mixed government-led/support and business investment/operation mechanism, was built in 2008 by two Investment and Media companies. It was billed as the first free-of-charge (free-deposits and free-rent mode) public bicycle system in China. The two companies, XINFEIDA and LONGQI, built their own systems in different city areas. This led to two systems running in parallel which do not talk to each other. A bicycle rented from a docking station which belonged to XINFEIDA could not be returned to a station belonging to LONGQI and vice versa. This incompatibility greatly reduced the efficiency of the bike rental. The system relies on a mechanism of government support and business operations, which means a private company is the main stakeholder that invests in and operates the system. This includes investment in the infrastructure and the bicycles, system operation and day-to-day operations management. The government provides support by approving advertising management rights to the operators. Hence the operators can utilize the vehicles, rental and information points and other outdoor facilities in order to recoup investment and operational costs through advertising revenues. The free deposit and rent-free policy made it very accessible but was accompanied by problems, such as a lack of bicycles to rent, docking stations broken, bicycles worn, broken or stolen. Although the operator later changed the rental procedure to involve a deposit fee these deep-rooted problems were not easy to address, especially given the lack of vehicle tracking technology and robust information systems. The result was it became very difficult to find and rent a good quality bike in Wuhan. Zhuzhou With Hangzhou, the other notable success story is Zhuzhou. As a medium sized city with a large presence of heavy industry Zhuzhou has a lay-out which mixes newer and centrally planned districts with older areas that evolved more organically. In recent years the city has built up a low-carbon public bus system and it became the first electric bus city in China. In May of 2011, the Zhuzhou public bike-sharing system was officially launched. After more than one year and two phases of construction it is estimated that the Zhuzhou municipal government poured around 1.5 billion RMB into the project. The system has achieved a scale of more than 20,000 bikes, 1000 docking stations, supported by an infrastructure of 170 km special cycle lanes which cover nearly the whole of the city – new town and old. The distance between each docking station is no more than 500 metres. The daily average usage rate of the bike-sharing system has reached approximately 150,000 people, with the peak rate rising up to 180,000. A participative planning process took place with citizens being invited to contribute to the decision-making on the positioning of docking points and the system management and maintenance. The system involved a government-led business model, with the initial investment being covered by the local municipal government as a public infrastructure project. Besides the construction budget the annual operation/running costs also comes from government funds. In the first year of operation this equated to 8.5 million RMB, with annual rises anticipated. 259


There is an integrated managing system in place. Each bicycle has an on-board authentication and tracking system linked to an individual‘s personal identification card which ensures a smooth rent and return process. Police and city inspectors are involved in the daily maintenance and security processes and there are relatively low levels of cases of theft. There is a focus on high specifications in the design of the bicycles. All 20,000 bicycles have a no-chain design, aluminium frames, baskets for shopping and parent-child seats; all of which are well received by users. Such high product quality results in a high usage rate, 2 years more than systems in other Chinese cities, but relatively low maintenance costs. Whilst the cost of a bicycle exceeds 1000 RMB – compared with 500-600 RMB per bike for other systems the maintenance fee is typically only 600 RMB per year. The role of a bike-sharing system The experience of the 5 cities reveals a multi-faceted role for bike-sharing systems, encompassing use by commuters, urban dweller and tourists. Conventional understanding about the role of such systems is that they act as a supplement to travel on other forms of public transport (Shaheen et al., 2012; Beroud et al., 2010). This is the so-called first/last mile connection to the mainstream traffic system such as buses, railways and underground metros (DeMaio, 2009). The experience of China, particularly in the city of Zhuzhou suggests that a significant portion of people choose a public bicycle system to complete their entire urban journey i.e. not only travelling the first/last mile but also from door-to-door. To these city dwellers and the other types of user a bike-sharing system provides them with the most convenient, reliable and cost effective way to commute, go shopping, tour, undertake recreation, visit families and friends, exercise and relax. Having a successful bike-sharing system in place as in Hangzhou and Zhuzhou leads people to cycle more frequently and for longer distances. Understand this multi-faceted role and positive impact on usage patterns requires the government to reconsider and redefine bike-sharing systems as having an important part of public transport systems and as being an important means of meeting environmental, economic , social and cultural sustainability goals. For example the bike with a baby saddle introduced in Zhuzhou was considered to be a solution to peak parking problems at schools and sight-seeing inside big parks. Bike sharing programs provide did huge opportunities for people to gain cycling skills, multi-means traffic knowledge and the travelling experience. Advocate believe the road right to be shared by everybody. Bike sharing should act to protect vulnerable road users by reducing car uses. Bike sharing provided most suitable parking solution to local open market and mini-supermarket. As part of this redefining, in urban areas with dense populations and a need to reduce the overreliance on motor vehicles, a bike-sharing system may provide a complete solution to sustainable mass transportation. Bike sharing are conceded to be mostly suitable to middle and a small cities and cities with cultural and historical resorts. To these urban areas narrow roads and other road conditions made modern traffic means inaccessible or historical building and city layout would need to be destroyed to introduce buses. To consider bike sharing, or cycling, as a mainstream transportation may lead to policy changes that have physical, institutional and financial implications (Weber, 2010). Key success factors A key success factor is the selection of the business and operations model that integrate the system with the latent values of the users. Evidence showed that up to 70% of cycle lanes in the Chinese cities were occupied by cars, commercial vans and buses. Even bike-stations are filled with personal bikes. This leaves bike sharing an un-pleasant or painful journey. In some cities and advertising is strictly restricted in bike sharing. This prohibits bike sharing sustain commercially. Public values such as de-pollution, traffic jam reduction and culture and the natural protection are hard to calculate. This raises a question of ‗who‘s going to pay for the public value?‘ The case studies suggest that a value chain in the bike-sharing service provision needs to be integrated at the operations level – for example, in a model of transformation (Slack et al., 2007) - so that both inputs and outputs of a bikesharing system are clearly defined and properly related. Business and operations models are currently at their infant stage and attention need to be paid to designing a bike-sharing system that meets as yet unfulfilled needs in order to provide the widest possible benefits for stakeholders. Relating to this business and operations model is a clear and un-replaceable role played from governments. There are opportunities such as Beijing Olympic 2008 and Shanghai Expo 2010 that boasted bike sharing programs. Local governments joined to invest in and subsidise bike sharing in an effort to promote and coordinate urban green development. Program and project champions are most likely government officials who played an entrepreneur role in sporting/connecting business partners, enforcing business ideas and strategies and adopting public opinions/‘elite‘ professional 260


advisers. Developing a sustainable bike sharing program can be viewed as crucial political achievement and political branding. In other words, the Chinese governments pay the effort and the money to deliver the public values designed in bike sharing and the whole transport system. A further key success factor is recognising that the sharing of bicycles by members of the public involves a complex PSS that is constantly evolving (Neely et al., 2011). Citizens have a choice as to whether to own a bicycle/car or not to own and instead to share one through a public sharing system. Unless a bicycle and a slot at a docking station is always available and functioning correctly when required they will still need to own a bike/car as a back-up, which will reduce the desire and need to use public bicycles. To solution providers, unless usage reaches a critical mass they will be reluctant to invest in such systems. Evidence showed the multi-phases expansion model of bike-sharing systems and surviving operations of varying size from few bikes to a few thousands. This evolving nature of PSS requires providers to carefully consider the location and size of the operations, the application of product lifecycle management, cycle of services, process design and people management in the complex PSS of public bike-sharing. Inclusive design has recently started to address the multi-facets of this and other types of social and economic systems (BSI, 2005). As in Zhuzhou, where there was participation in the transport planning process, involvement of key stakeholders, such as citizens, needs to extend into areas such as design and help to inform the next stage of bike-sharing system development (Zhang et al., 2011).

Conclusions This paper sought to explore the contribution a bike-sharing system can make in reducing the reliance on the use of private vehicles in urban environments. It also considered how the systems are configured to maximise the contribution. These aims were addressed by analysing the bike-sharing systems set up in the Chinese cities of Beijing, Hangzhou, Shanghai, Wuhan and Zhuzhou. This analysis revealed a wide range of outcomes in terms of contribution. At one end of the spectrum is the experiences of Hangzhou and Zhuzhou which has seen bicycle sharing become established and expanded. At the other end is Beijing where service provision has virtually stopped. In between are the cases of Shanghai and Wuhan where the systems have been beset with problems and as a result are struggling to gain traction. Where the systems have become established they are making a significant contribution to reducing the reliance on private vehicle usage in cities. In some cases, bike-sharing systems are used by urban dwellers for whole journeys in which not only a reliance on private vehicles is reduced but also on other, less sustainable, forms of public transport i.e. buses are more expensive, generally less green and don‘t provide the same health benefits that one gets from cycling. The city examples show multi-faceted uses of such systems; as just mentioned, urban dwellers using the system as their sole means of travel, commuters using them as a supplementary form of travel for the first/mile of their journey to and from work and tourists wishing to explore the natural and the built environment. The cases show the different elements that make up a successful configuration of a bike-sharing system. From a transport planning perspective these include a proactive and supportive local government that puts in place the right infrastructure i.e. cycle lanes and, crucially, enforces its correct use. The more enlightened local authorities will engage potential users through a participatory process. They will also involve other agencies, such as the police, in ensuring the smooth operation of the system. Experiences to date of the most effective business models show that government-led investment, with high levels of subsidy have worked. Where they have been led by the private sector, with little subsidy and revenue mainly sourced through advertising, as in Beijing and Shanghai, they have been less effective. Entrepreneurial approach and project championship from governments led bike-sharing to a successful development. The design of a bike-sharing system needs to recognise that it is a complex and evolving Product Service System. Focus on the product in the best configured systems, such as Zhuzhou, sees initial capital investment in high specification equipment justified in relation to the delivery of public values in general and the particular service desired by users and, from a business model perspective, offset by lower operating costs i.e. in terms of maintenance repair. Focus on the service requires a clear understanding of what value is attached to bike-sharing systems by potential users i.e. purely functional to get from one point to another or as a form of recreation or for keeping fit and healthy and, through value chain analysis, designing a system to meet these requirement. The overall conclusion, 261


though, is that any configuration has to consider all these disparate elements together. For example, a system that provides high specification bicycles with sophisticated tracking systems and high technology lend-and-return mechanisms is unlikely to be successful if the infrastructure, such as cycle lanes and docking stations, is not in place. This paper highlights the governments leading, co-ordinating and entrepreneurial role in initiating, developing and implementing bike-sharing programmes in China. It confirms the relevance and usefulness of the multi-disciplinary approach in the concept design, package design and process design of a ‗bike-sharing‘. It is trendy and increasing pressing for every city to introduce bike-sharing. The development, though, should be treated as one-off project to a specific complex setting. The research, however, is secondary-data based and therefore its findings are subject to criticism and may be limited to drawing a generalisation across countries and industries. Future research can look into interface design between products, services and facilitating systems (i.e. infrastructure) to syntegrate complex bike-sharing, and to maximise the value of bike-sharing for the customers of both private and public. In this regard, interview-based in-depth research may harvest rich understanding in mapping out value chain and in developing sustainable business and operations model (Boons and Lüdeke-Freund, 2013). Quantitative and simulation-based research may lead to the optimised design of the docking stations and operations improvement in terms of quality, capacity, supply chain and process technology. Bike-sharing represents a good economic example of green consumption and an innovative solution to urban life in the future. A survey-based research may yield the link between consumers‘ eco-friendly attitude/behaviour and the use of bikesharing (for or against social changes/stability, Cheah and Phau, 2011). It also will benefit the development of a new corporate approach of CSV (creating shared value, Porter and Kramer, 2011)

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