Transition Management in Urban Contextacceleratingtransitions.eu/content/uploads/2014/03/... · Transition Management, a governance approach that aims at influencing the pace and

Transition Management

in Urban Context Guidance manual - collaborative evaluation version

November 2012

Authors

Chris Roorda

Niki Frantzeskaki

Derk Loorbach

Frank van Steenbergen

Julia Wittmayer

This report is aimed at inspiring and guiding city officers who

work on creating a sustainable future of their city. It introduces

Transition Management, a governance approach that aims at

influencing the pace and direction of societal change dynamics.

It illustrates the approach by experiences from five European

cities. This is a collaborative evaluation version. You can

contribute by sending your feedback.

Drift – Transition Management in Urban Context – Guidance manual, collaborative evaluation version

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Authors: Chris Roorda(1), Niki Frantzeskaki, Derk Loorbach, Frank van Steenbergen, Julia Wittmayer (1) Corresponding author: [email protected], +31 (0)10 4088824 This report is published by DRIFT (Dutch Research Institute for Transitions, Erasmus University Rotterdam) as part of its work in the INTERREG IVb funded MUSIC project (Mitigations in Urban Areas, Solutions For Innovative Cities). See also www.drift.eur.nl and www.themusicproject.eu. The authors wish to thank Pepik Henneman (Meneer de Leeuw) for his inspiration and feedback, and the partners from Aberdeen, Ghent, Ludwigsburg, Montreuil and Rotterdam as well as the participants to the transition arenas in these cities for their great work and their reflection. And also hope to thank you, reader of this document, as you might send your comments, questions and experiences on this collaborative evaluation copy and thus contribute to the final version (to be published by the end of 2013). A free transition training will be available as a prize for the best contribution. Please cite this report as: Roorda, C., Frantzeskaki, N., Loorbach, D., Steenbergen, F. van, Wittmayer, J. Transition Management in Urban Context - guidance manual, collaborative evaluation version. Drift, Erasmus University Rotterdam, Rotterdam, 2012.

This work is licensed under a Creative Commons Attribution-NoDerivs 3.0 Unported License.

Visit http://creativecommons.org/licenses/by-nd/3.0 to see a copy of the license.

mailto:[email protected]

http://www.drift.eur.nl/

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Contents

Introduction ............................................................................................................................................. 4

I. Setting the scene for Transition Management ..................................................................................... 9

II. Exploring dynamics in your city ......................................................................................................... 12

Intermezzo: the transition arena........................................................................................................... 16

III. Framing the transition challenge...................................................................................................... 17

IV. Envisioning a sustainable city ........................................................................................................... 20

V. Reconnecting long term & short term .............................................................................................. 23

Intermezzo: going beyond the transition arena .................................................................................... 27

VI. Getting into action ........................................................................................................................... 28

Intermezzo: Learning ............................................................................................................................. 32

VII. Engaging & anchoring ..................................................................................................................... 33

Epilogue ................................................................................................................................................. 36

Appendix A. Glossary

Appendix B. Further reading

Appendix C. Monitoring & evaluation framework

Appendix D. Systems analysis methodology

Appendix E. Actor analysis methodology


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Introduction

Cities seeking pathways towards a sustainable future

Cities host more than half of the global population, and are responsible for the bulk of national income and employment. It is therefore no surprise that cities strongly contribute to sustainability issues such as depleting energy and material resources, decreasing food security, increasing levels of greenhouse gas emissions and environmental degradation. In addition, a great many cities of the world face as of yet unresolved air and water quality issues, frequently culminating or exacerbating existing socio-economic tensions. However, cities offer the opportunity for decisive local action in order to address these issues. Alternatives can emerge from local action and become the inspiration or blueprint for urban projects elsewhere, or be implemented more systematically at higher levels of governance. Actions at urban level can thus have global impact. Many cities recognise this and have adopted ambitious sustainability targets and agenda’s. City officers who take on and assume the leadership of these ambitions are confronted with the limitations of the policy instruments that are available to them, leaving a room for manoeuver that is apparently insufficient to deal with the complexity of the unsustainability issues. No clear-cut solutions exist to achieve such ambitions. Persistent problems are deeply embedded in our society and have to be overcome, such that incremental improvement is not enough. Transitions are required. Transitions are fundamental shifts in structures, mind-sets and practices, involving actors from many different domains and scale-levels. Fortunately local governments do not stand alone in their desire to realise structural changes toward sustainability. Many citizens, companies and NGO’s set up initiatives which, each in their own way, contribute to a sustainable future. Moreover, each and every citizen makes decisions every day that could contribute to this ambition piece by piece. But how can city officers with ambitions to transition to a sustainable future tap into this potential? How can they get a feeling for the dynamics of societal change in their city? Furthermore, how might they identify, access and engage with these dynamics to strengthen, connect or streamline emerging sustainability initiatives or create conditions for the emergence of others? This manual is aimed at inspiring and guiding city officers who struggle with these questions and seek ways to realise their ambitions. After providing the reader with a brief overview of the MUSIC Project (Mitigation in Urban Context, Solutions for Innovative Cities), the remainder of this Introductory Chapter provides a brief outline of Transition Management (TM), a governance approach based on the insights from transition studies, and applies TM to sustainability issues at urban level. Chapters I to VII of this manual provide a more in-depth guide to processes characterising each phase in TM, drawing on experiences with five European cities involved in the MUSIC project to illustrate these processes (see boxed text).


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The MUSIC project

The adaptation of Transition Management to the urban context and its transnational

application constitutes an important part of a European project named MUSIC (Mitigation in

Urban Context, Solutions for Innovative Cities). This Interreg-funded project is a co-operation

between five cities in North-Western Europe and two research institutes (Drift, Erasmus

University, Netherlands and CRP Henri Tudor, Luxembourg).

The overall aim of the MUSIC project is to catalyse and mainstream carbon and energy

reduction in urban policies, activities and the build environment. In this project Drift assists

the cities in the application of the Transition Management approach, mobilising stakeholders

to take action towards CO2 reduction. In close collaboration with the five cities, Henri Tudor is

developing a Geospatial Urban Energy Information and Support System to integrate ‘Energy’

in urban planning and to enable the monitoring of effects. Moreover, each city develops pilot

projects to put energy reduction measures into practice. The cities involved are:

Aberdeen (Scotland), 210,400 inhabitants. Known for being the ‘Granite City' with the

majority of it buildings made from granite sourced from local quarries. Industrial activity

in Aberdeen was originally characterised by fishing, paper-making, shipbuilding and

textile industries and now mainly by the activities of North Sea oil and gas industry. The

Aberdeen City Council aims to reduce its own CO2-emission by 42% by 2020 (relative to

2008).

Ghent (Belgium), 240,000 inhabitants. Ghent played a major role in medieval European

trading. Nowadays, the city is characterized by its historical centre, big student

community and significant harbour activity. The city administration formulated the

ambition of Ghent becoming a CO2-neutral city by 2050 and started the Ghent Climate

Alliance to involve a large number of stakeholders in realising this ambition.

Ludwigsburg (Germany), 87,000 inhabitants. Originally a small settlement adjoining the

biggest baroque castle in Germany, Ludwigsburg is now a prosperous centre located in

the Stuttgart region in the South of Germany. It is home to some of the most renowned

knowledge institutes in the field of climate mitigation and is very active with regard to

sustainability participation and CO2-reduction.

Montreuil (France), 102,889 inhabitants. Formerly an agricultural and industrial city,

Montreuil is now the third most populous suburb of Paris. Within France, Montreuil is a

leader in the field of CO2 reduction; attributed in part to the fact that its mayor is a

former French Minister of Environment with a strong position in EU debates and

networks.

Rotterdam (Netherlands), 600,000 inhabitants. Rotterdam is characterised by an

international atmosphere and home to one of the biggest ports of the world. The city

administration aims for 50% CO2 reduction in the city and its harbour by 2025 (relative to

1990). To support these targets, it developed the Rotterdam Climate Initiative and also

takes part in the Clinton Climate Initiative.


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A transitions perspective to urban sustainability challenges

The last decades a new field of research emerged that attempted to understand and explain the dynamics of fundamental, long term societal change: transition studies. From a transition-perspective the ambitions of European cities to make structural changes toward sustainability represent fundamental changes in institutional frameworks, mindsets and practices. It is questionable whether societal change can be planned or managed. Nevertheless this is a key assumption that politicians, city administrations, NGOs and businesses make: they analyse and formulate clear challenges by dissecting them from their societal context, define clear targets aiming at incremental improvement on the short term and implement clearly laid out plans with milestones and SMART-goals. While dominant, this approach frequently fails because it does not take account of confounding issues beyond the primary focus of the intervention, nor underlying pathologies. Often we do not know what these (underlying) problems are; let alone how to solve them. Even if we do understand the more complex and intangible challenges inhibiting interventions, addressing them involves a myriad of interrelated actors, domains and scale-levels, with no obvious starting point at which to begin. In addition, each of these interrelated actors brings forward different perceptions and (partial) knowledge of the problem context, increasing the complexity of both the problem understanding and the formulation of consensus solutions. Transition studies also indicate that even small interventions can have a big impact, although it is not possible to predict their exact effects. Transitions, rather than being managed, can be initiated, supported and accelerated by playing into existing dynamics and embracing complexity and uncertainty as opportunities rather than as something to ignore or control. Basic criteria for influencing transitions include:

- Insight into the system. The complexity of the challenge has to be fully acknowledged. Acquiring an insight into the dynamics and interlinkages of multiple domains, actors and scales is essential to identifying opportunities to address them integrally. Examine the challenges thoroughly by questioning assumptions, problem perceptions and dominant solution.

- System innovation in incremental steps. Apart from system improvements and optimisations, aim for system innovation. System innovation becomes feasible by taking small but radical steps, guided by a long-term perspective. Question mindsets and allow ideas and actions that go against the current.

- Diversity and flexibility. The future cannot be predicted nor planned, so keep options open by exploring multiple pathways when working on strategies and actions. Anticipate resistance and barriers. Involve diverse perspectives to enable cross-fertilisation and prevent a mismatch between shared ideas of equally minded stakeholder groups. If an idea is to work, it needs to arise from consensus across a pluriform society.

- Co-creation. Neither local government nor any other single actor can address sustainability challenges on its own. Every day, all kinds of people and organisations make decisions that influence the future. Multiple stakeholders must be engaged beyond a role of input provision and it has to be acknowledged that everybody is a decision maker and can contribute from its own position and perspective.

- Creating opportunities for change agents. Achieving ambitious targets is difficult when, in creating consensus, you need to account for vested interests and stakes. Look for actors who are already adopting new ways of thinking and doing (change agents), as they can be


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influential in mediating transitions. Actively engage and empower them to give them the resources and opportunities they need to realise innovations.

- Social and institutional learning. Learning is essential in societal change. Open up to actors with other backgrounds to gain better insights in challenges and opportunities for change. Work on short-term action in line with a long-term vision to learn about new practices and current constraints. Fulfil conditions such as time for reflection, mutual trust and openness to each other’s perspectives to support learning processes.

Influencing transitions: the transition management approach

‘Transition Management’ (TM) has been developed based on empirical and theoretical insights of sustainability transition studies and aims at influencing the direction and pace of societal change dynamics in the context of contributing to sustainability. The approach is broadly applied to stimulate sustainability transitions on the scale of regions, cities and neighbourhoods, as well as to initiate transformations in socio-technological systems such as energy, water and mobility. This guidance manual introduces a specific operationalisation of Transition Management, specifically aimed at cities. The approach is operationalised by a process structure and a selection of methods. It builds upon and adheres to the ‘basic criteria for influencing transitions’ outlined in the previous Chapter. A central instrument in this approach is the transition arena, a setting that provides an informal but well-structured space to a small group of change-agents from diverse backgrounds (businesses, government, research institutes, citizens). This is organised in such a way that it helps to build a group of ambassadors that are inspired to go beyond current interests and daily routines. The participating change agents engage in a series of meetings to jointly develop a new and shared visionary story which they can directly link to their own everyday practice. The arena group has a temporary character and subsequently works on structuring a transition challenge (phase III), drafting visionary images (phase IV) and developing transition paths and a transition agenda (phase V). The outputs guide the search for strategies to transform existing structures, cultures and practices and to realize new projects, collaborations and experiments. Transition Management creates a new interface between policy makers and other societal actors. It is complementary to other governance activities and influences but does not replace them; outcomes can for example serve as inspiration for strategic planning and regulation formulation. To local governments Transition Management is also a learning process during which opportunities are created to build upon the transformative capacity of citizens, businesses, institutions and other organisations. Other actors, in first instance the arena participants, are provided with a space and opportunity to think and work beyond ‘business as usual’ and are stimulated to take ownership for the ambition of a sustainable city.


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Process outline

The process structure and methods provide guidance for implementing the transition management approach. Note that this is not a blueprint approach that is universally applicable to different contexts. Instead, it should be adapted to the specific circumstances in your city and the dynamics that emerge throughout the process. The figure and table that follow broadly outline the process structure. The following Chapters elaborate on the different TM phases, illustrate the process with experiences from five European cities and discuss the challenges and implications that the process brought to the fore.

Phase Process steps

I II

Setting the scene for Transition Management Exploring dynamics in your city

The Transition Team is formed to drive the TM process and start to explore the cities dynamics (takes about 3-6 months)

III IV V

Framing the transition challenge Envisioning a sustainable city Reconnecting long term & short term

The Transition Arena group is formed and engages in a series of meetings to jointly structure the transition challenge, draft visionary images and develop transition paths and a transition agenda. (takes about 6-12 months)

VI VII

Getting into action Engaging & anchoring

Effort is put into disseminating the vision and transition agenda; initiating actions in line with the vision (transition experiments); and engaging more actors and networks.


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I. Setting the scene for Transition Management

What

In this phase the approach is tailored to a specific (urban) transition challenge, its focus adapted to policy priorities and related ongoing processes. The issue to focus on could for example be the (un)sustainability issues of a selected neighbourhood, or the citywide mobility challenges. In terms of objective, the focus could be to create a broad perspective on challenges and opportunities, or to initiate actions in line with a long-term vision. Regardless of the choice of issues and objectives, a platform for joint coordination has to be created. A first step is the setting up of a core team (transition team). The transition team drafts a process plan and searches for appropriate resources (budget and time). The transition team is responsible for building personal commitment and curiosity within the organisation.

Why

The approach is adapted to policy priorities and elaborated in a process plan in order to account for the use of resources and to enable the positioning of this approach with respect to other on-going policy efforts. The elaboration of the process plan also helps to get a better grip on the innovative approach. Arranging for an ongoing platform for coordination (‘organisational space’) and including budget, facilities and support increases the chances for continuity of the process. Personal commitment and curiosity of policy officers is needed in order to succeed in tapping their expertise and resources and to engage them in a learning process about challenges and strategies. Outcomes such as a vision and experiments will relate to various policy domains. The potential impact depends on the support or opposition of agents involved. It matters whether they feel attacked (“mind your own business”) or perceive the approach as contributing to their work (“there is something in for me” or “it contributes to my daily work”).

How

Transition Team formation Given on the focus of the transition process and its desired outputs, a transition team is formed by the initiating agency of the process. The transition team is the core team that adapts and drives the TM process. Ideally, the transition team consists of 3 to 5 people and is a strategic and content based mix of employees of the initiating organisation, plus possibly external experts in the field under study (e.g. energy policy experts), transition management experts, and/or a process facilitator. The transition team manages and facilitates the TM process, organises the internal and external communications, and relates the TM process to ongoing (policy) processes. Moreover, the transition team co-ordinates the logistics, process facilitation as well as the substantive input for transition arena meetings and also takes the outcomes forward. All of these are demanding and time-consuming tasks. It is therefore important to clarify the roles, responsibilities and time investment of every team member at early stages of team formation.


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Process design First, the transition team decides on the focus (topic and objectives) of the process, and subsequently on the expected intensity of the phases. It also aligns the approach to other activities, ambitions and secures funding and support for the whole process. The team specifies the contextualised process steps and formulates time planning, communication, etc. in a ‘process plan’. The process plan describes the following decisions:

- The issues and objectives of the transition management process; - Their relation to relevant ongoing processes and projects (within the department, other

departments and the city in general) as well as to planned activities and programmes; - The depth of systems and actor- analysis required to understand the range of actor activities

that touch on the issues and objectives in question; - The estimated number of transition arena meetings and their scheduling over time; - A first consideration of the facilitation methods that can be used during the transition arena

meetings); - The role of and support for possible transition experiments as outcomes of the TM process; - The modes and extent of documentation and communication; - The resources available for the process (in terms of time commitment, human resources,

financial resources, etc.); - The division of tasks and responsibilities within the transition team; - The involvement of external parties and supporting policy actors; - An outline of the proposed monitoring framework (see Appendix C)

As such, the process plan is an outline of the foundations that will ultimately guide the transition process, but undoubtedly will be adapted over the course of the process. Internal networking Networking with other policy actors (i.e. public administrators and officials) is needed, not only to create a positive attitude towards and support for the process, but also to find links to other policy efforts. The transition team can also aim for commitment from relevant peers who can contribute with expertise, time, communication channels and/or contacts.

Experiences

Ludwigsburg The city of Ludwigsburg was already quite active in terms of organising participation processes accompanying the drafting and implementation of their sustainability-related policies. The ´setting the scene´ phase therefore concentrated on unravelling the differences and synergies that these different approaches to participation could bring about and took almost a year. This process was taken on by a transition team consisting of two policy officers, a trainee from the department of sustainable urban development, the head of the department of civic engagement, a transitions expert and a facilitator. They presented and discussed the transition management approach with different audiences from within and outside the local government. The fact that the approach was part of a European project was an advantage: to some people this gave the platform higher status, while others considered it as an inevitable requirement to access financial support for the pilot that was also part of the MUSIC project. The TM approach fitted into an ongoing initiative focussing on a ‘city development concept’, which is accompanied by a participatory meeting every 3 years. Transition Management was the selected approach to address the Energy theme. It was framed as a


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process in which the citizens and professionals would dig deeper in this subject than in earlier participatory processes. Rotterdam Just as for Ludwigsburg, for the city of Rotterdam it was also important to link the transition management approach to ongoing developments within the municipality and the city as a whole. The transition team (consisting of five city officers from different departments and two transition experts) held a great number of internal meetings, with participants ranging from a handful of critics to 20+ people from several departments, so as to ensure the relevance of the approach to other flagship projects. The MUSIC project enjoyed support from several influential individuals within the municipality (e.g. heads of departments, aldermen). It was incorporated in the International Architecture Biennale Rotterdam (IABR) 2012 and linked to an existing envisioning process that focused on the inner city and provided a compelling vision in which densification and greening of the inner city of Rotterdam leads to a sustainable city. The central theme of the IABR was the notion that people living and working in Rotterdam could “make” their own city. A transition arena was set up to gain insight from frontrunners on what might entail a ‘making of the city’ without the municipality being in the driving seat. As such the approach was used to reflect on the current and future roles of the municipality and other actors in Rotterdam. The positioning of the TM process as an additional reflection to an ongoing envisioning process made the application of the approach in Rotterdam very different from the application in other cities.

Challenges

How to get internal support for an exploratory approach that does not have fully predictable outcomes? That is the first challenge in this first step. The answer is that it is a balancing act between getting just enough support and too much support for the transition management approach. On the one hand, getting a significant amount of support is crucial to execute the project. This support is crucial, because while the process is less controllable and more unpredictable than ‘usual’ policy processes, it is also time consuming and heavily reliant on the trust and commitment of its participants. On the other hand there exists a danger of lobbying for too much support that can result in disproportionally oversizing participant. In order to prevent putting too much pressure on participants and freeing the process from vested interests and stakes, the TM approach should ideally stay in the “shadows of attention”.

Finding a framework that can match the approach to the local context is another balancing act: this increases the acceptation of the approach. This linking with existing projects can be a powerful strategic move to get support as well as to enrich existing projects. This option however could mean that the process is ‘snowed under’ and that the original focus of the project (in terms of issue and objectives) can become sidetracked or deprioritised in order to fit in other agendas.


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II. Exploring dynamics in your city

What

The previous Chapter outlined the first phase of the TM process, emphasizing the collective definition of the main issues and objectives of the process. This second, partially parallel phase aims at exploring, pointing out and understanding urban dynamics in light of the chosen change issues. The transition team performs a system analysis to get an integrated overview and understanding of the topic; and an actor analysis to map the actors relevant to the topic at hand. The actor analysis is related to the system analysis: the system analysis provides a starting point for exploring which actors are relevant to the issue, the actor analysis indicates which actors could be interviewed to explore perspectives as part of the systems analysis. This may involve desk research, interviews and expert discussions.

Why

The system analysis is performed to (in as far as possible) account for the complexity of the world we live in. In order to work towards a sustainable future, one needs an overview and understanding of the current situation: How and by what is it influenced? How has it developed from past situations? The systems analysis stimulates a systemic understanding of the current situation; an insight into long-term change dynamics and the interaction between multiple domains. The systems analysis distinguishes between symptoms and deep-rooted problems, and shifts the focus from superficial solutions to systemic challenges and opportunities. Moreover, a system analysis encourages holistic thinking and views a chosen change issue from a long-term perspective. It supports those involved in looking beyond their own expertise, questioning their beliefs and value frameworks, making different perceptions explicit. As such a system analysis is important for preparing the transition team for the participatory framing of the transition challenge and the collective envisioning process. Moreover, systems analysis provides participants who have different backgrounds and knowledge with a common information base and enables mutual understanding of the system under analysis and examination. The actor analysis forms the basis for a well-founded selection of participants for the different phases of the TM approach, as it provides a structured overview of the actors that are related to the selected issue and to the selected objective. The mix of participants in the transition arena meetings strongly determines the quality of discussions and outcomes.

How

Systems analysis A tailored systems analysis methodology has been developed as part of the TM- approach; it aims at unravelling complexity and enabling a co-creation process with participants from various backgrounds. The level of detail of the systems analysis depends on how it will be used by the transition team in the process. On the one hand, it could be a limited exercise, only aimed at preparing a presentation as an informed kick-off of the first transition arena meeting. On the other hand, it could be a very


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elaborate analysis that takes into account in-depth expertise knowledge and a wide range of perspectives. Methods typically include desk research, interviews, expert meetings and (participative) analysis workshops. The system analysis consists of the following four steps:

Delineate the system boundaries in space, time and themes (e.g. CO2 emissions from energy use and mobility in the wider city region, looking at the past 40 years).

Structure the system by defining relevant stocks (e.g. labour force, air quality, housing stock), covering social, environmental and economic domains. Define characteristics and indicators for each of these, and the relationships between them.

Collect data required to evaluate the state of the system. This involves qualitative and quantitative data from studies, policy documents and statistical databases. Personal interviews with potential candidates for the transition arena, experts and stakeholders bring diverse perspectives into the system analysis. This step is performed in conjunction with actor analysis.

Analyse the data. The analysis of the data can be realised by the transition team (also but not always) including external advisors or policy makers. Stakeholder meetings or expert sessions can be applied when analysing and structuring the data.

The analysis in the last step should lead to:

An overview of the system and a detailed systematic analysis of its state and characteristics. In this overview, the properties and elements of the system as well as the links and interdependencies between them are identified;

An analysis of the history of the system including historical evolution pathways and historical events that mark its historical evolution. A system’s historical development can explain historical path dependencies and create historical parallels;

Problem identification and formulation from a systems perspective. By analysing the system and its properties, problems can be revealed. The understanding of the interdependencies of system elements provides an understanding of what the problem is, and gives insight into causes and symptoms.

The local context determines the extent of the analysis, the choice of specific analysis techniques and the type of reporting (ranging from presentation to formal policy document). See Appendix D for a detailed introduction to the systems analysis methodology. Actor analysis Several methodologies and techniques for actor analysis can be applied. What differs from other approaches is that actors are approached as individuals and not as representatives of the organisations they work at. The analysis also takes into account personal competencies and power that an individual can exhibit. Methods may include desk research, interviews and (participative) analysis workshops. The actor analysis includes three parallel steps:

First of all, an initial long list of relevant actors is generated and a set of basic criteria is developed to assess the relevance of actors. Actors are identified using suggestions from the transition team, input from the system analysis and the “snowball-method”, in which the actors already identified are asked who else they think fit the criteria given the issue and objectives of the process.


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After creating a list of candidate actors, the actors on this list are analysed by using various categories as well as mapping tools. The mapping helps to determine categories of actors that have different backgrounds, competencies, interest profiles and interests. Another mapping method distinguishes between different types of power: innovative power (the power of new ideas), transformative power (capacity to mobilize others for change), and reinforcive power (position within the dominant hierarchy). This step also helps in identifying any gaps in representation.

The third step is actor selection based on the application of self-defined criteria and appropriate representation for each of the phases of the transition management process.

One of the results is a short list of appropriate actors for the transition arena, which is used by the transition team for subsequent invitation of arena participants (see ‘Intermezzo: the transition arena’). See Appendix E for a detailed introduction to the actor analysis methodology.

Experiences

Ghent In the first two months of the process, the Ghent transition team1 discussed the system definition and started to gather data from reports, statistical data, newspaper clippings and websites. The data gathering was extended into the two following months when about twenty interviews with selected change agents and some key stakeholders were held. The team also approached colleagues from several municipal departments for their input. To identify whom to interview and to invite to the transition arena, the transition team devoted one afternoon to an actor analysis exercise, using a structured discussion with an extensive list of change agents and stakeholders as a starting point. Twenty people were invited to become part of the transition arena, 15 of whom became active arena participants. The arena group consisted of a mix of people involved in companies (both small and big), cultural centres, youth work, the university, NGOs, the harbour, and the city administration. At the same time, the system scope and preliminary analysis of the collected data was discussed in transition team meetings and subsequently in an expert workshop involving policy officers from various departments. Although limited by time constraints, the transition team succeeded to elaborate the systems analysis by analysing the data using several techniques, and presented the insights as a kick-off for the discussion in the first transition arena workshop. After the participatory problem structuring (see Chapter III), the insights from the systems analysis were documented in a variety of ways: a power point presentation, a Master’s thesis and at a later stage, in a magazine article summarizing the outcomes of the transition arena process.

Montreuil The city of Montreuil contracted a local energy agency to support them in co-ordinating the TM-process. The transition team consisted of 6 people from the municipality and the energy agency, initially supported by a transition expert from research institute Drift. Fuelled by a few intensive brainstorm sessions and some 40 interviews with frontrunners, the team formulated a transition

1 At this stage, the transition team of Ghent consisted of two policy officers from the environment department,

a sustainability consultant, a process facilitator and a transition expert from Drift. In performing systems

analysis, the transition team was assisted by a Master’s student who elaborated the methodology.


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analysis. Part of this analysis involved the broadening of the original focus on climate mitigation to include all relevant domains of urban policy making. This broader focus resulted from applying a systems perspective on the situation of Montreuil. The system analysis covered the following topics: local economy, ‘green city’, conviviality and participation, soft and peaceful mobility, mixed use development, diversity and social cohesion.

Challenges

The main challenge of this phase is not underestimating this phase. The reason we state this is mainly because this phase is meant to challenge you to leave a possible comfort zone and to challenge your possible indolence ( “we already know this” / “done this before”). Getting a feel for system dynamics in your city and for actor and network dynamics to a large degree determines the success of the transition efforts. However, accepting the complexity and diversity of the dynamics in your city is a time consuming and challenging endeavour: crossing boundaries is harder than staying inside delineated boxes. Questioning one’s assumptions and practices asks for an inquisitive and open setting. Of course this is something you do in a participatory setting in the transition arena as well, but in order to engage with and challenge stakeholders in your city, you first have to be in a learning mind-state yourself. If you start a transition arena when still in a comfort zone and with assumptions unquestioned, it will be reflected in the transition arena, which can potentially limit its transformative and innovative capacity.

There are two main challenges in this phase. Firstly, both the systems and actor analysis can become either intuitive exercises or fact-based reports. This choice (or mix) depends on the preferences of the transition team as well as on the formulated goals of the analyses. However, this might cause difficulties within the team or when presenting to a diverse audience in regard to the varying level of expertise, time restraints, in that the added value of each of these two approaches may not be clear.

Second the selection of change agents for the arena group can be challenging. Selecting participants to a large degree determines the outcomes of the transition effort, but there are several tensions behind the concept of selective participation. Undoubtly, questions of democratic legitimacy will be raised. This can be addressed by stressing this is not a decision making process, and also by questioning the approach of inviting “everyone”, which is also selective in a way as then it is the participants who select themselves to defend their stakes, or because they are present and vocal. Also there might be pressure by colleagues or politicians to include or exclude certain individuals. Therefore the criteria for selection should be defined upfront and selection of participants can be justified on the basis of the actor analysis. Diversity in backgrounds (sector, domain, hierarchical, age, gender, etc.) is key here, and should be in line with findings from the system analysis.


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Intermezzo: the transition arena A key instrument of the Transition Management approach is the transition arena: a setting in which different perspectives, expectations and agendas are confronted, discussed and aligned. The arena has a temporary character, consisting of a series of meetings in which a small but diverse group of change-agents engage in critical reflection and innovative envisioning. These meetings provide an informal but well-structured space, in a ‘safe space’ that is in as far as possible protected from current stakes and daily routines. The transition arena is a multi-actor governance instrument, intended to tap into the transformative capacity of change agents and create new future-oriented networks. After the preparation and exploration of the first two phases of the Transition Management processes, a group of change agents is selected to take part in a series of transition arena meetings. During the next three phases, the arena group subsequently structures the transition challenge (phase III), drafts visionary images (phase IV) and develops transition paths and a transition agenda (phase V). This is organised in such a way that it contributes to building a group of ambassadors who are able to link the emerging ideas to their own everyday practice and who can ideally draw on and engage their social networks in that process. The outputs of the arena meetings should provide concrete guidance for the development of strategies to transform existing structures, cultures and practices as well as realise new projects, collaborations and experiments. But who are the participants that form this arena group? An arena group consists of about 10-15 change agents who are selected and invited by the transition team on the basis of the systems and actor analysis. The transition team will not approach parties as stakeholders, but instead invites people on personal title. They look for individuals who they consider to be change-agents because of their willingness to go beyond business-as-usual. Further requirements are that individuals are intrinsically connected to the issue and have the openness to appreciate other perspectives. The key for a fruitful arena group is diversity. Therefore the group should consist of people from various backgrounds (e.g. businesses, government, research institutes, citizens), domains (e.g. energy, culture, education, mobility, youth work, industry) and with various competencies (e.g. leadership, creativity, analytical skills, coalition building skills).


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III. Framing the transition challenge

What

The first transition arena meetings take the initial system analysis as a starting point from which to exchange knowledge and perceptions about the issue at hand (as selected in phase I). The participating change agents further explore the issue in group discussions, differentiating between symptoms and causes and identifying underlying problems. This leads to a shared understanding of the issue and a framing of the transition challenge, encouraging identification of what needs to change to overcome the problems underlying the issue. The meetings form the input for a further elaboration of the systems analysis by the transition team and a starting point for collective envisioning of the nature of a transition process.

Why

The discussions following transition arena meetings place the topic in a broader context and frame the issue at hand in terms of a transition challenge, thus creating a sense of urgency. The system analysis is enriched through the discussions, which bring forward additions to as well as any inconsistencies of information emerging from the systems analysis and so enables an improvement of the analysis. A shared understanding and insight in each other’s perspectives and values enables the participants to exchange and build on each other’s knowledge and experience. Participants collectively place this knowledge in a framework of long term change dynamics and interaction between multiple domains, which provides the foundation for the envisioning and transition experiments in later phases. In the first transition arena meetings, participants become acquainted with each other and are likely to see their own input placed in a broader context. The shared perception of the problem can create collective ambition and further motivate the group to commit to the process. The group of participants can still be adjusted: the transition team will, possibly with the arena participants, reflect on the composition of the group and if appropriate invite new people with qualities or expertise that are lacking (o stop inviting a participant who disrupts group chemistry).

How

Participatory challenge framing One or more transition arena meetings are dedicated to the framing of the transition challenge. The discussion between the participants is set off with a short and inspiring presentation of the systems analysis by the transition team. This analysis brings forth a certain framing of the selected issue and focuses on certain problems, triggering in-depth discussion evolving around questions like: What are the most evident barriers to CO2-reduction and why do they persist? How is lifestyle related to mobility use? What are the trends in attitude towards energy within the building sector? What are strenghts of the city that should be sustained? Initially characterised by diverging and exploratory discussion, the formulation of the transition challenge requires a convergence of ideas. If the discussion is spread over multiple meetings, the transition team can use the insights of each arena meeting to further elaborate the systems analysis and present it again at the next meeting. The work of the transition team should reflect the discussions and propose a shared transition challenge, to be validated by arena participants.


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The discussion can be supported by a number of techniques, for example the introduction of radical perspectives of external actors, excursions supporting a reframing of challenges, visual representation of data using GIS-tools or interactive exercises using participative modelling techniques.

Experiences

Aberdeen In Aberdeen, the application of the systems analysis methodology phase was similar to the case of Ghent, with one major difference: energy was perceived as an economical issue in Aberdeen while mainly an ecological issue in Ghent. While the transition team analysed and discussed the data harvested from existing policy documents and interviews, their problem perception started to shift from anchoring oil-industry for city’s prosperity towards seeking possibilities to maintain and expand city’s prosperity. The first two transition arena meetings (June and September 2011) enhanced this shift of problem perception, to decouple city’s growth from carbon growth. The discussions and inputs from the participants resulted into adapting the system structuring, including mobility into the broader energy system and taking into account new insights. Two participants started questioning the reality that “oil rules the city” and argued about the need to start a new socio-economic fabrication of the city’s growth that extends beyond the predominant relationship between a fossil-fuel based energy industry and urban growth. They discussed ideas for ‘new growth’ from Tim Jackson’s “Prosperity Without Growth” as indicative for what can create a shift in thinking and understanding of the future of the city as a whole. The system analysis and the two first arena sessions revealed the heart of the energy problem rather than justifying precluded solutions (e.g. ‘subsidise renewables’). By revealing the strong dependency of the city’s economy on the energy supply sector as it is formed at present, a sense of urgency was created. Montreuil The extensive analysis by the Montreuil transition team was supported and well received by the arena participants during the first meeting. Yet the transition team was missing the appropriation of the analysis by the arena participants and therefore designed a special workshop method for the second transition arena. This method allowed the participants to redefine parts of the analysis and be analysts rather than listeners. This resulted in a reformulation of challenges, for instance with respect to the "local economy", the transition team had proposed the challenge "how can we develop ‘green’ economic activities?", but soon it became "how can we relocate the economy and reinforce food self-sufficiency?" as well as "Is the city the appropriate scale–level to talk about local economy?". Outcomes of the meeting were collected and fed back to the arena participants in a nicely designed overview of the transition analysis, making it available to the participants for personal use.

Challenges

“We already know what the problem is and this is it.” Whether it is in Germany, the Netherlands, Belgium or the UK, people don’t like to talk about problems. People easily get offended or revert to the defensive. This is particularly the case with city governments who have internally framed ‘the’


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problem(s) and challenges in several documents and reports, on which all their practices, funding and structures are based. Therefore, it is an institutional reflex to start such processes from (a) solution(s) with a clearly demarcated and defined problem on the background. Hence it is important to bring this tendency to the foreground and openly question it.

One way to avoid this ‘problem-phobia’, is to simply talk about challenges. However, acquiring an understanding of the persistent problems (preferably in context of a historic overview) in your city is crucial if you want to talk about transition challenges. Without it, it is impossible to reach a shared sense of urgency within the transition arena. A possible solution is to start from talking about future challenges (in relation to history) and then work your way to the underlying problems with questions like: Why is a transition needed? What is the urgency? Why has this urgency been insufficiently recognised? In such a way you can discuss the problems without overemphasizing them. The transition team can introduce the issue of ‘definition of problems’ in this way, via their findings from the system analysis (see phase II). However, there is a risk of overdoing it, so that arena participants can not relate to the input or deem it inappropriate. It is key to have focussed but open input for the discussion and to have it at an ideal level of detail (not too little, not too much) for all participants. Many ideas for solutions are likely to come up during these discussions: what actions are or should be possible in future. These can be collated in an ideas-book to maintain the focus of this phase on challenges.


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IV. Envisioning a sustainable city

What

This phase focuses on the common creation of a future vision. In a number of transition arena meetings, the participants are enticed into creative and novel thinking, leaving the present behind so as to envision a sustainable future city. Discussing possible futures, the aim of this phase is to create a shared ‘language’ and understanding of the desired future vision. The vision itself is a storyline that is supported by several visionary images that help to give the vision structure and ultimately ease the translation to concrete change processes (in phase V of the TM process).

Why

The outcome of this phase, the long term vision, is needed as an anchor point for strategies and short term action. It is also needed as a storyline that can instil a degree of credibility and aspiration amongst participants, as well as mobilise individuals outside the process. The process of envisioning is as important as the vision itself, since it contributes to positive group dynamics and a common ‘language’ and therewith the alignment of perspectives. At the individual level, the vision allows actors to envision themselves as being part of or contributing to solutions.

How

The envisioning follows four participatory steps, not necessarily sequential, which take place in two or more transition arena meetings: Exchange of perspectives on future The goal of this step is divergence: to collect all kinds of ideas for the future on the basis of which specific ideas for the future of the city can emerge. Input for this step are presentations by participants and external guests, (internet) movies, collages or posters, reflection on existing visions, insights from the systems analysis, etc. Formulation of guiding sustainability principles By reflecting in the plenary or in small groups on selected change topics (phase III) and ideas for the future some key guiding sustainability principles are formulated. These are the underlying principles of the future vision, for example “Creating local added value with a gate to the world” or “Being an energy efficient and resilient city”. Construction of visionary images In this step, the guiding sustainability principles are enriched and animated by constructing visionary images. This is done through a discussion guided by open and reflective questions. For example: What does closing material loops mean for Ghent? What does an Aberdeen optimised for walking and cycling look like? Which surfaces (roofs, roads, etc.) can be utilised for an energy-autonomous city of Rotterdam? How do people live in an energy-neutral neighbourhood? Elaboration of the vision


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This step aims for convergence of ideas. The future vision is compiled by combining the visionary images into a coherent storyline that is based on the guiding sustainability principles. Documenting the vision Between the transition arena meetings, the transition team processes the ideas and inputs. It is suggested that each meeting starts with a presentation that builds upon the work in earlier transition arena meetings by structuring, recapitulating and enriching it. Parallel to the discussions, the transition team records the ideas in a vision document, possibly supported by a motivated subgroup of the transition arena or external parties that can contribute to the visualisation. The transition team can decide to publish the vision as an output of this phase, or instead wait until the end of next phase when it will become part of the broader transition narrative (see phase V).

Experiences

Aberdeen During the first two arena meetings in Aberdeen, participants were not only asked to reflect on the systems analysis, but also to raise and identify guiding principles that will guide action and co-operation for achieving a sustainable Aberdeen. The participants were asked to express and explain their responses to the following questions: What would Aberdeen look like if it was your dream sustainable city? What would you want Aberdeen to be in the future? The output of each meeting was structured by the transition team.

In the third arena meeting, the arena group was extended by inviting new change-agents. The guiding principles were revised and enriched, more contextualised and with a more visible green thread. The arena group identified two time horizons that related to the vision and possible transition pathways: 2030 as a target to have an urgency of doing things that can be done (feasible options); 2050 as a time target to think in this process so as to be prepared for the era when the oil industry has left Aberdeen. For each guiding principle, a vision image (storyline) was created by synthesising statements, phrases and argumentation of arena participants in a storyline that can vividly describe the practices, lifestyle and features of the future sustainable city. The group agreed upon five guiding principles: Aberdeen as an opportunity city; Aberdeen as an attractive city to visit and live; Aberdeen as a learning city; Aberdeen as an accessible city; Aberdeen as an energy efficient and resilient city.

Ludwigsburg In Ludwigsburg, three arena meetings were dedicated to drawing up the guiding sustainability principles and the vision. Two different types of vision narrative were drawn. On the one hand, two groups imagined and sketched a day in the life of Ludwig and Ludwiga respectively for the year 2050. This process was supported by the input from a graphic designer who integrated both stories into one and illustrated it with images in a storybook. In addition, the participants decided to come up with a more thematic vision which would be fit for presentation to the City Council or other members of the city administration. The latter followed the topics identified in the problem analysis and the guiding sustainability principles (i.e. green and closed-loop economy; energy; attractive Ludwigsburg, awareness and culture; mobility; economy and consumption).


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Challenges

How visionary is the vision? Whose vision is it? And for whom is the vision? These are just three major questions that arise in the process of envisioning a sustainable city. Let’s start with the first question, where the tensions revolve around what some call ‘the dictatorship of the present’. Our thinking always starts from our current frames of thought, so an envisioned future is based on them. A solution could be to work with and think in images (although these could also become too directive). However, the rationality behind our thought often leaves little room for such envisioning. It often happens that the visions remain relatively abstract and just slightly elaborated. Also, what can be visionary for one person, can be unambitious for the other. The key is to search for a consensus, but here lies a danger of a vision eroding to an amalgamation of hollow and popular phrases that are hardly visionary. Also, the phrase “we have to do things”, comes up frequently in participatory processes. Balancing between the desire to envision and the call for tangible actions is a challenge for every visioning process, and TM processes are no exception.

The second and third questions (Whose vision is it? And for whom is the vision?) are interrelated. There is always the possibility that a vision becomes too abstract that everyone and no one can relate to it anymore. In such a case, no one really feels any sense of ownership over or can identify with the vision. This can also happen if the policy discourse is too dominant and participants sense that they are being used to legitimise a policy vision. Finally, when the vision is part of several other envisioning projects, there is also this danger of discussion at high levels of abstraction. This relates to the third question; the target group of the vision. Should this consist of all the citizens of the city, other policy makers, politicians, other frontrunners or networks of the participants? The definition of target group has implications for the level of detail, use of images, texts, videos, promotion material, etc. that is appropriate for the outcomes of the TM process. The excitement over the vision has to be transferable to other audiences that you want to connect to.


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V. Reconnecting long term & short term

What

This phase is about bridging a long term imagined sustainable future with the present. Several transition paths are developed that each describe a possible route from the present towards the envisioned future. The transition paths include goals and interventions on the short-, mid- and long-term. The ideas generated converge in a transition agenda, in which the transition paths are prioritised and then operationalised by indicating short-term actions. Subgroups of the arena emerge that take the responsibility for implementation of some of these actions. At the end of this phase, a transition narrative can be consolidated, a document detailing the change topics, visionary images, pathways and agenda developed in the transition arena meetings.

Why

In this phase the narrative on the envisioned future is translated to transition paths and a transition agenda. With the help of this pathway for change, other actors can be more easily engaged, as these defined pathways enable them to relate to their own strategies and initiatives. The narrative also serves as a compass for future actions and experiments (phase VI), and enables arena participants to anticipate drivers and barriers. This phase is also important for building both group and personal commitment. The individual arena participants develop ideas through which they can personally contribute to reaching the desired future and are able to define opportunities for their personal and professional network. Their interests, motives, resources and strategies come out into the open, enabling the alignment of individual plans and strategies. The arena group becomes aware of the possible and collective impact of a shared future perspective. By striving for the emergence of subgroups to take up some of the actions, the transition team initiates self-organising follow-up activities without themselves necessarily fully facilitating these follow up processes.

How

Backcasting To develop the transition paths, one or more transition arena meetings are devoted to backcasting. Backcasting is a method to collectively create pathways to an envisioned future (phase IV), taking the future as starting point and going step-by-step back in time. The choice to start from the envisioned future is essential to enable the formulation of future-oriented strategies that go beyond “business as usual” solutions and are not constrained by vested interests and stakes. These meetings revolve around questions such as:

What changes were needed to bring about the vision? (Eg. What has become normal in 2050 that was exceptional in 2010, and what has now turned exceptional? What changed fundamentally in institutions, habits, techniques, infrastructures…?)

What interventions and actions were needed to bring about these changes?

What drivers and stepping stones would have been supportive for realizing these changes, and what barriers could have been encountered?


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Which parties (stakeholders or actor groups that have not yet been approached) and collaborations are needed to support and realise these changes?

What intermediate results should have been achieved? After the backcasting meetings, the transition team synthesises the discussions in the arena group and subgroups and formulates candidate transition paths. These are no fixed plans, nor detailed scenarios, but inspiring story lines that include goals and interventions on the short-, mid- and long-term. The transition paths provide insight into what is needed to reach the envisioned future and give direction to the subsequent development of the transition agenda. Formulation of a transition agenda After identifying and agreeing upon the transition paths that emerge from the backcasting process, a transition agenda is drafted, prioritising and then operationalising the transition paths by indicating actions that can be implemented in the short term. One transition arena meeting should be sufficient to initiate this. The transition team can choose to involve a broader group of people in this meeting, by inviting relevant parties and asking the arena participants to invite people from their networks. The full arena group, possibly including additional invitees, first discusses which transition paths they consider most important and for which transition paths they themselves feel motivated by. One way of doing this is to ask the participants to assess whether a transition path (and connected actions) is easy or difficult to realise; has high or low impact and would receive high or low public support. Subgroups of the arena are formed to elaborate the transition paths that receive the highest motivation. Transition paths considered to be important but with limited motivation from the arena participants are noted and can be used in engaging other parties at later stages. Every subgroup takes forward one of the transition paths to elaborate a part of the transition agenda. Useful guiding questions are:

What initiatives or experiments could we now initiate as a transition arena group, to bring the changes described in the transition path to practice at a feasible scale?

Which individuals and organisations would be helpful parties in these new initiatives? Which of these are already in our networks?

What ongoing developments initiated by ourselves or parties within our network contribute to the transition path, or can be adjusted so they contribute?

What policy alternatives are needed to support the transition path?

In the case of individuals or organisations that may be able to contribute but have not yet been approached, how can they be involved?

The outcomes of this elaboration of transition paths are bundled in the transition agenda; moreover the subgroups are challenged to organise themselves to go from agenda formulation to initiating transition experiments (in phase VI) . Apart from the work in the subgroups, the arena group discusses strategies to disseminate the transition narrative and to gather support for the transition agenda, as will be taken forward in phase VII. As part of the monitoring activities the end of this phase provides an ideal moment for a preliminary review, for instance in the form of interviews with arena participants. The objective of such a review is for the transition team to gain insights about the (potentially) changed perceptions, interests, networks, activities and views of the arena participants. For more information on monitoring and evaluation see Appendix C.


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Consolidating the transition narrative The results of the process up to now can be consolidated by writing down a transition narrative, summarising the transition challenge, visionary images, pathways and agenda developed in the transition arena meetings. This can take many forms: a booklet, magazine, website, movie, set of postcards, etc. The transition narrative – however elaborated and full of good ideas – remains a snapshot; it can always be rewritten, revised and improved. Important is that the transition narrative can be used as an anchor point for reflection (on for example new initiatives and policy) and as an attractor for the engagement of others, as described in the following Chapters.

Experiences

Ludwigsburg The arena participants in Ludwigsburg gave this phase of the TM process much attention and dedicated a number of meetings to the stepwise translation of their vision back to the current situation. Three plenary meetings plus two more meetings in small groups were organised to backcast all of the 21 topical pathways (of the five sub-themes of the vision) in terms of milestones (in 2035, 2025 and 2015) and identification of key actors.

Ghent In Ghent, this phase included only two arena meetings. In the fourth transition arena meeting the transition team recapitulated the arena process and summarised the results of the envisioning phase, restructured in four visionary images. Afterwards, four subgroups each selected one visionary image, to discuss the most important routes to the envisioned future and choose one of these routes to elaborate intermediate targets and actions. A plenary discussion at the end of the meeting was used to collect the feedback of the participants on the work of each subgroup. Subsequently, the ideas were synthesised, interpreted and enriched by the transition team, resulting in nineteen draft transition pathways, grouped under four (slightly adjusted) visionary images.2

The fifth transition arena meeting did not aim at elaborating all these transition paths, but only the ones the arena participants considered as most important. A few new participants were invited because of their relevance: three via the networks of the arena participants, and six from various departments within the municipality. After prioritising the transition paths, the participants were asked who wanted to take leadership for one of these paths. Five participants stood up and subsequently chaired a subgroup to formulate transition experiments that they would actually be willing to realise, and to find partners to do so. After this meeting, the transition team had extensive contact with the arena participants, which led to an elaborated framing of the transition experiments and the formulation of three additional transition experiments.

Challenges

In a way reconnecting long term and short term scenarios provides an additional dimension of the future than the previous phase of ‘envisioning’. In defining what has to be done in a certain point in time, a giant leap of about 20, 30 or even 40 years has to be made. As such it is at this stage that you are confronted with uncertainty, complexity as well as ignorance. It remains a challenge to formulate

2 These are “Creating local added value with a gate to the world” (including a.o. the pathways “make Ghent a

hub of blue economy” and “consumer pushes demand”); Ghent, the city of good life (a.o “create a car free inner city”, “establish a contemporary city with a soul”); Smart cycles (a.o “turn buildings into energy plants”; “waste is history”); The Ghent citizen, home in the city (“keep transition alive in Ghent”; “Ghent citizen proud of their city”).


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pathways which participants do not know much about and even the experts in the field can make wildly variable forecasts. Sufficient data could be missing or non-existent, and future scenarios cannot be predicted with certainty. These limitations can paralyse participants, and bring forward a strong sense that the future is beyond our control. Therefore it is important to stress that thinking about the future is not an ends (to predict the future), but a means (to influence the future). One way to do this is to illustrate how participant storylines and backcasting opens up opportunities and agendas for the short term, along with concrete strategies, interventions and the conditions (social, legal, financial, institutional) that are required to realise them.


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Intermezzo: going beyond the transition arena After the agenda-setting and consolidation of the transition narrative it is time to open up the process to a broader audience. At this point the arena participants have finished their dive into the challenges and opportunities for the city’s future. The transition arena as a setting can be abandoned and its participants hopefully become driving forces for the translation of ideas to practice and the engagement of others. In a transition management process, the legacy of the transition arena is more than the tangible narrative. The participants and other people involved have developed integral way of thinking and a long-term perspective that allows them to link their actions and perspectives to a broader societal context. The diversity of the group allows for unexpected linkages, which open new opportunities for innovation and cooperation. The participants and the policy officers involved have a better overview of the developments in the city and have gained a perspective that is helpful in interpreting and interacting with these developments. Ideally the transition narrative, and its focus on change will inspire and be taken up by individuals beyond those involved in the transition arena meetings. However, follow-up activities are advised to support, anchor and engage beyond the brief impulse for innovation that the transition arena has ignited. These follow-up activities can be taken up by policy officers, but also arena participants or other parties. The exact nature of follow up activities very much depends on the local context. The final two phases described in this manual are therefore much less structured than the former. They are introduced as two parallel scenarios that build upon the legacy of the transition arena in different ways: Getting into action (VI), realising short-term feasible breakthroughs in line with the transition narrative, and Engaging & anchoring (VII), expanding the societal innovation network and its impact. An obvious start for these two parallel tracks is a dissemination meeting where the transition narrative is presented and people are invited to partake in the transition agenda.


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VI. Getting into action

What

Following the formulation of the transition narrative or even parallel to the transition arena meetings, transition experiments are started. These are short-term actions that are in line with this narrative. Transition experiments are sufficiently specific to be feasible, and at the same time sufficiently radical to be symbolic for the shift in structure, mind-set and practices that is deemed necessary for the envisioned future of the city.

Next to initiating new actions, ongoing or planned initiatives can also be adapted to be in line with the transition narrative and thus also be considered as transition experiments. In this way, the outcomes of the transition arena process give direction and new impulses to ongoing developments in the city.

These transition experiments offer the opportunity to develop alternatives for dominant practices at a feasible scale. As such, they form ‘incubation hubs’ for social learning processes about pathways towards the envisioned future. Ideally, participants involved reflect both individually and as a group on their own routines and viewpoints, as well as boundary conditions regarding institutions, policy and values.

Why

Transition experiments aim to pilot alternatives of innovative practices. While those involved “learn by doing” about the challenges and solutions, the actions – when successful – serve as case studies that demonstrate that the envisioned future is attainable. The action perspective is also needed for taking on board more and other types of actors. For some the transition narrative might be too abstract or vague, and as such they will not encounter it or be interested in the form it is presented. By linking the narrative to tangible and symbolic actions, it becomes vivid and ostensible for a broader audience. Moreover, the experiments can act as anchor points where people can relate their stakes, needs and strategies, and thus as attract further interest, expertise, and resources. Because the experiments lead to visible results, they contribute to broader public awareness as well as enhanced commitment by the actors engaged. The results can be used by them to legitimise the investment of their time and resources, and raise further interest in the long-term vision towards which the experiments contributes.

How

Initiating & executing transition experiments in line with the transition narrative Project teams initiate specific actions that are listed in the transition agenda or fit the transition narrative. If the ideas for actions are not yet sufficiently specified, working groups can further elaborate ideas for actions within certain transition paths. In first instance the motivation and ambitions of the participants already involved determine which actions are picked up. If specific aspects are not covered, relevant actors can be identified and invited to take ownership for these


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aspects. In addition, existing initiatives that fit in or are adapted to the transition narrative can be taken up in the emerging portfolio of transition experiments. Networking Networking is an important aspect of the parallel phase Engaging & Anchoring (see next Chapter). It relates directly to the transition experiments. The project teams and working groups will selectively involve actors that are relevant to their transition experiments. Networking events (or “headhunting” events) can also give an impulse for mobilisation of actors to contribute to transition experiments. Directly after the formulation of the narrative, an event to launch the narrative can be used strategically to recruit further participants. The arena participants may invite people from within their network with whom they would like to share the transition narrative and invite them to participate in future activities. When the transition experiments are further developed, similar events can be organized to provide agents with an opportunity to engage a broader audience. Supporting the transition experiments The project teams and working groups can be strengthened by a supporting network. Support networks can be set up by policy officers but also by arena participants or external actors. Tasks include:

- Taking up administrative tasks (secretariat) - Linking (policy) actors to certain actions or working groups. - Assisting in (skill development for) setting up a (business) plan. - Searching for relevant financiers and funds - Safeguarding the coherence between actions and with the transition narrative, so

they strengthen each other and add up. - Providing transition experiments with a stage from which to disseminate the TM

process to a wider audience

Learning Transition experiments are by definition focused on experimenting and learning about different options and possibilities in the light of the long-term ambition and vision. The transition experiments can help the actors involved to reconsider dominant assumptions, values and practices. Also additional actors can be invited to partake in learning networks linked to the experiments. Hence, such a transition experiment is not only a goal in itself, but an instrument to explore and learn about radically different ways of meeting societal needs, now and in the future.

Experiences

Ghent is the only city of the five partner cities in the MUSIC-project that had reached the ‘Getting Into Action’ phase at time of writing. For the other partner cities it is too early to conclude from their experiences, but it is interesting to mention the MUSIC project also includes pilot projects, which the cities – each in their own way – link to the transition management process.

Ghent A Climate Forum was organized to present the vision and emerging transition experiments. The arena participants were requested to invite (“headhunt”) those people whom they thought could contribute to the transition agenda defined during the previous arena meeting. This appeared a successful approach: the Climate Forum was attended by more than hundred highly motivated


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people. Five ideas for transition experiments were presented and in the second half of the meeting discussed in subgroups. The participants to these subgroups were invited to take part in climate working groups that would proceed to execute the transition experiments.

In the months following the Climate Forum, eight Climate Working Groups were established to implement transition experiments. Each involved arena participants, some participants to the Climate Forum and others who were invited because of their relevant ideas or position. The city administration acted as a facilitator, with activities ranging from actual co-realisation, to legislative support or to logistic support only.

Some Climate Working Groups already had a clear focus, for example the working group that focused on valorisation of sewage water and organic waste (producing warmth, biogas, nutrients and water). In 7 meetings with on average 12 participants a business case was developed, which was eventually pursued by two project developers. Other Climate Working Groups needed more time, for example the working group that took up the transition path “consumer pushes the market”. The group decided to organise a so-called Carrotmob and it took half a year before sufficient people were mobilised to co-operate and a small budget (from the federal government) was found; this proved a useful time investment since the action organised was perceived as very successful.

Other working groups focused on urban agriculture (resulting amongst other things in the involvement of a youth organisation, with more projects in the making), energy efficiency for businesses (resulting in the launch of a tender to stimulate SME’s to work on energy structurally), the “blue economy” (which did not succeed in starting up experiments) and the development of cultural centres to work on sustainability issues (creating an action-oriented network). Two working groups aimed at starting up new transition arena processes: an arena participant working in the university initiated an arena process with students and employees to discuss how the university could contribute to a sustainable future of the city; and the mobility department together with the environmental department initiated an arena process to dive deeper into issue of sustainable mobility.

Challenges

This phase is about linking the transition narrative and agenda with practical initiatives. Crucial for parties to invest time and resources in such initiatives is a sense of (shared) urgency and ownership over the formulated vision; but also a link to individual interests, compassion and capabilities. It is therefore important to not see the transition agenda as “set in stone”, but to treat it as a flexible starting point for initiating actions that might be very well different from the ones originally stated in the transition narrative.

Possible success factors for the translation of the transition-agenda into action are: (a) a direct relation of transition agenda to a highly prioritized policy or societal problem; (b) the availability of resources with the arena members, city administration and/or potential partners; (c) tangible evidence of the effectiveness and benefits of transition experiments.

Although one specific experiment (e.g. a sustainable school or a community centre) can have a strong symbolic meaning, it is desirable to strive for a variety of experiments and initiatives. In this way the potential success of the transition agenda can be made insightful and comprehensible. It follows that immediate and tangible results arising from the experiments are also crucial. While learning is an essential goal, plain (measurable) results are even more important. However, it can become problematic if striving for results is done at the expense of space for learning and experimenting with alternative practices.


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Some transition agendas remain as wish lists and do not emerge as clear experiments or practical initiatives. This does not automatically mean a failure of the Transition Management process, given that this might even not have been identified as a key objective in the TM process. A large part of the TM process involves provoking and opening up mindsets and setting an agenda. Sometimes the diffusion of the agenda is more implicit or more fragmented without a direct relation to the agenda – the challenge is to get a feeling for the added value of such intangible outcomes in order to legitimise the investment of resources. It may be for instance that an agenda is simply not ready for implementation and/or needs more resources or is missing key actors. In this case, follow-up activities in this and the next phase in the process (engaging and anchoring) can be a means to resolve this.


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Intermezzo: Learning Social learning is a key aspect within Transition Management processes, as learning is essential to transform existing structures, mindsets and practices as well as for dealing with complexity and uncertainty. This is relevant to all the TM phases and at various levels. Learning is never a purely individual experience, but happens in a social setting. For this publication we apply key insights from literature on learning to four domains: 1) within the transition team 2) within the arena group 3) from transition experiments and 4) from monitoring and evaluation. Learning within the transition team Carrying out the system and actor analysis urges the transition team to question the assumptions that underlie their practices, values and knowledge claims. It forces the members of the team to leave their comfort zones. This requires an inquisitive and open space where members feel sufficiently secure to embrace the complexity and diversity of city dynamics. The team members become aware of the different kind of actors, networks, connections and relations, that the city may accommodate. Through this the transition team is already in a state of mind aimed at learning, and it is their task to guide change agents in this process by creating conditions for learning in the arena meetings; such as time for reflection, mutual trust and openness to each other’s perspectives. Learning within the arena group During the transition arena meetings in phases III, IV and V, group (or social) learning takes place. While formulating a shared sense of urgency, creating a future vision and formulating the transition agenda, their assumptions and practices are also put up for discussion. As such within the transition arena the reflexive capacity of the transition team and the frontrunners is put to the test. Through negotiation, adaptation, co-creation and debate, these actors change their vision, redefine their position and start perceiving the problem in a different manner. The transition arena can be seen as ‘open communicative space’ that allows actors to learn and reflect. By increasing their consciousness of current patterns actors are motivated to think about alternative strategies to meet the future. Working together on understanding each other’s perspectives and building a joint vision also encourages collective strategies to realize the envisioned future. Learning from transition experiments Social learning also plays a role beyond the transition arena, for example in phase VI (‘getting into action’). Transition experiments are by definition focused on experimenting and learning about different options and possibilities in light of the long-term ambition and vision. The strategies and activities in these phases relate to short-term and everyday behaviour, decisions and action. At this level the actors involved either recreate dominant assumptions, values and practices or they choose to restructure or replace them. Additional actors may be invited to a learning network linked to the experiments. Hence, such a transition experiment is not a only goal in itself, but an instrument to explore and learn about sustainability and radically different ways of meeting societal needs, now and in the future. Learning from monitoring and evaluation Monitoring and evaluating in the transition management process (appendix C) is aimed at accounting for the investment of resources, but also at learning. Transition monitoring is characterised by an on-going (participatory) evaluation, reflection and adaptation of the process, contents and outcomes.


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VII. Engaging & anchoring

What

After the launch of the transition narrative, the narrative may start to lead its own life through being adopted by others and put into practice through actions. The transition team, possibly a new formation of individuals, begins to follow up on transition arena outcomes aimed at stimulating various actors to adopt the visionary images and ideas for actions. The transition team continues to get people on board for contributing to the sustainability ambitions, creating space for them and empowering them. The follow up of the transition arena thus does not only build upon the narrative constructed in the transition arena, but also upon the newly build interface between policy-makers and other societal actors.

Why

The transition arena can provide a temporary innovation impulse, but ongoing effort is needed to strengthen it and to create new impulses. The limited amount of participants involved in the transition arena was a necessary condition for building upon each other’s perspectives and going beyond business as usual. Now, the engagement of a growing number of actors is needed to increase the impact on the city’s future. There are many still unexploited opportunities for tapping into the potential of people who are outside the reach of the local government or the transition arena. The structuring of the transition challenge (phase III) and envisioning (phase IV) during the transition arena as well as in the transition experiments (phase VI) has revealed the need for transforming particular aspects of existing structures, cultures and practices. Effort is needed to make these insights explicit and place them on the agenda of organisations who are in a position to influence these issues, such as banks that can alter financing routines or local governments that can influence existing policies.

How

The transition team, whether in new formation or not, is the driving force behind follow up activities. The team can consist of members of the former transition team, policy makers, participants from the transition arena and/or external parties. Four types of follow up activities are sketched below.

Engaging is about getting more people, organisations and initiatives to work towards a sustainable future of the city. The people involved strategically disseminate the ideas of the transition arena to make organizations adapt their initiatives and strategies in line with the transition narrative and search for people to contribute to the transition experiments or adopt specific parts of the transition agenda.

Internalising is about anchoring the insights from the transition narrative and the transition experiments in policy processes of various domains and organisations.

Opening up is about creating space for and building upon emerging initiatives.


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Igniting is about creating new impulses that inspire people and make them think beyond their own stakes, routines and perspectives.

To what extent the transition team will work on each of these activities depends on the priorities and willingness of the city administration and the arena participants. It is also influenced by the focus chosen in the transition arena trajectory: if the emphasis was problem structuring and envisioning, the activities might very well be limited to dissemination, if the focus was agenda setting, they might be fully aimed at engaging people in transition experiments.

Experiences

All partner cities in the MUSIC-project are still searching for and inventing new ways to engaging & anchoring; at the time of writing it was too early to describe their experiences in this phase. However, some thinking lines are introduced to illustrate the follow up activities described above.

Engaging

Provide promotional material like magazines or digital postcards to arena participants and the wider public, making it easy for them to spread the transition narrative to their networks and engage their contacts.

Start up a (digital) platform and organise events that celebrate innovative initiatives by giving them a stage and invite people to engage with them.

Set up an ambitious convention that can be signed by companies and other organisations, promising to contribute to the sustainable future of the city (a type of ‘memorandum of action’)

Connect to people, organisations, venues or events that have a great impact factor, but do not have anything to do with sustainability yet, and search for opportunities to link their work to the envisioned future.

Internalisation

Set up a learning network, in which people in strategic positions discuss the new practices started with the transition experiments and the current barriers they reveal, with regard to for example financing structure or regulations.

Include transition arena members in a “climate board” with the role to advise policy makers, the city council or the city board with critical reflections of the existing policy frameworks.

Coach the transition arena members to translate the insights from the narrative to their own practice

“Tour” to other departments of the city administration and key stakeholders, organise backcasting sessions to link their strategies to the envisioned future and convince them to be involved in transition experiments.

Opening up

Facilitate transition experiments and other bottom-up sustainable initiatives (see VI).

Create a supportive network of policy officers and representatives of companies and other organizations for these bottom-up sustainability initiatives.

Formalise a structure which helps revealing promising ideas and support in transforming ideas into promising projects (e.g. a competition or a project development agency)

Set up a networking and/or monitoring approach to have an overview of emerging initiatives

Initiate a discussion with heads of departments within the city administration to formulate integrated long-term indicators inspired by the systems analysis to use in ongoing monitoring efforts.


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Igniting

Organise meetings where participants can inspire and learn from each other while for example working on elaborating certain aspects of the narrative, exchanging experiences from ongoing initiatives or identifying challenges and opportunities for upcoming trends.

Initiate a new transition arena trajectory with a more specific focus, like sustainable mobility or sustainable inner city development.

Challenges

The transition arena is a temporary platform, but one of the consequences of this process may be that this platform is instititionalised and/or incorporated in the form of a more formal organisation. Of course, the goal is to have a lasting impact but this does not automatically imply that the transition arena group has to stay intact or the arena meetings have to be sustained. It is far more important to keep giving impulses to make people think beyond their own perspectives and engage in addressing the transition challenge.

The basic idea is that the narrative spreads and that is the main challenge of this phase. The narrative helps to get certain issues on the agenda (e.g. the political, media or policy agenda). Due to a loose and abstract sense of collective and shared ideas of the future, the “spirit” of the transition arena stays alive. That is why after the transition arena other qualities of engaged people are necessary. The change agents and transition team need to involve others and therefore have to translate the transition narrative to people and organisations in their network that subsequently can choose to connect to it (or not). However, engaging other people who do not (yet) share these perspectives or anchoring the narrative in rigid structures can lead to the loss of the essence of the narrative. To keep this essence, it may be helpful to organise reflection sessions with arena participants and enable people involved in the transition experiments to start up new arena processes.


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Epilogue With this guidance manual we hope to have given you a clear insight in the transition management approach and how it can be applied to sustainability issues in the urban context. Hopefully we have inspired you to take it forward in your city. We would encourage you to send your comments, questions and experiences on this collaborative evaluation and thus contribute to the final version, to be published by the end of 2013 (undoubtly with additional insights and beautiful layout and illustrations). A free transition training will be available as a prize for the best contribution. This work builds upon a great body of work on transition studies and transition management. See Appendix B for an overview of literature suggestions per Chapter. Key references for learning more about the theoretical foundations and application of transition management are:

- Loorbach, D. (2010) Transition Management for Sustainable Development: a Prescriptive, Complexity-Based Governance Framework. Governance, 23, 161-183.

- Loorbach, D. and Rotmans, J. (2010) The practice of transition management: Examples and lessons from four distinct cases, Futures, 42:237–246.

- Van den Bosch, S. and Rotmans, J. (2008) Deepening, Broadening and Scaling up: A Framework for Steering Transition Experiments, KCT essay # 2: Delft / Rotterdam.

We wish you the best of luck in contributing to a sustainable future of your city! Chris Roorda, Niki Frantzeskaki, Derk Loorbach, Frank van Steenbergen and Julia Wittmayer


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Documents

Transition Management in Urban Contextacceleratingtransitions.eu/content/uploads/2014/03/... · Transition Management, a governance approach that aims at influencing the pace and