sus ainabili y
A icle
Lea nings om Local Collabo a i e T ans o ma ions:
Se ing a Basis o a Sus ainabili y F amewo k
Ped o Macedo 1,* , Ana Hue as 2, C is iano Bo one 2, Juan del Río2, Nicola Hilla y 3,
Tommaso B azzini 2, Julia M. Wi maye 4and Gil Penha-Lopes 1
1
Cen e o Ecology, E olu ion and En i onmen al Changes, Faculdade de Ci
ê
ncias, Uni e sidade de Lisboa,
1749-016 Lisbon, Po ugal; [email p o ec ed]
2Municipali ies in T ansi ion P ojec , To nes TQ9 5HN, UK; [email p o ec ed]g (A.H.);
[email p o ec ed] (C.B.); [email p o ec ed]g (J.d.R.);
[email p o ec ed] (T.B.)
3T ansi ion Ne wo k, To nes TQ9 5HN, UK; [email p o ec ed]g
4Du ch Resea ch Ins i u e o T ansi ions, E asmus Uni e si y Ro e dam, 3062 PA Ro e dam,
The Ne he lands; [email p o ec ed].nl
*Co espondence: [email p o ec ed]; Tel.: +351-936061160
Recei ed: 16 Decembe 2019; Accep ed: 18 Janua y 2020; Published: 21 Janua y 2020
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Abs ac :
The complexi y o he sus ainabili y challenge demands o collabo a ion be ween di e en
ac o s, be hey go e nmen s, businesses, o g ass oo s mo emen s, a all le els. Ne e heless,
and acco ding o p e ious esea ch, many ensions and obs acles o pa ne ship s ill exis and
esul s a e a om meaning ul. By in es iga ing po en ial syne gies, ou pu pose is o de ine a
sus ainabili y amewo k o p omo e be e collabo a ion be ween communi y-based ini ia i es and
local go e nmen s, in he con ex o ans o ma ion. Speci ically, he esea ch aim p esen ed in
his pape is o ha es lea nings om exis ing collabo a i e expe imen s a he municipal le el.
As a s a ing
poin and using explo a o y li e a u e e iew conce ning a eas like policy (e.g., public
adminis a ion) o business and managemen esea ch, we p opose a ‘Compass o Collabo a i e
T ans o ma ion’. This heu is ic de ice can suppo he s udy o hese sus ainabili y expe imen s.
We also in oduce a me hod o map he go e nance imp in o hese collabo a ions and o p o ide
a ‘p oxy’ o ans o ma i e e o s. We hen p esen and discuss esul s om 71 su eyed cases
happening in 16 coun ies in Ame ica and Eu ope, compa ing dis inc i e amewo ks in ol ed.
Finally, we conside he p econdi ions o a amewo k o imp o e hese local collabo a ions—namely
he capaci y o suppo join na iga ion h ough ans o ma i e e o s, acing high le els o unce ain y
and complexi y—and p esen ongoing e o s o codesign a new sus ainabili y amewo k.
Keywo ds:
collabo a ion; go e nance; amewo k; local go e nmen ; communi y-based ini ia i e;
sus ainabili y; ans o ma ion
1. In oduc ion
The easons behind he need o a deep change in ou socie ies a e well i e a ed and include
clima e change and o he consequences o c ossing plane a y bounda ies, e.g., [
1
]. Ne e heless, like
o he s, e.g., [
2
] (p. 2), we conside ha acing limi s, such as plane a y bounda ies, is an oppo uni y o
eimagine socie y and ha we should emb ace ans o ma ion as ou wa chwo d.
The complexi y o his challenge demands o collabo a ion be ween di e en o ganiza ions, be
hey s a es, businesses, o ci il socie y [
3
], ansla ing in o he capaci y o i s membe s o collec i ely
se and pu sue sha ed goals [
4
]. This collabo a ion is expec ed o happen ac oss le els [
5
] (p. 85) wi h
he local con ex becoming an e ec i e space o engaging ci izens and o ganiza ions since hey a e
di ec ly a ec ed by decisions and he impac o (in)ac ion.
Sus ainabili y 2020,12, 795; doi:10.3390/su12030795 www.mdpi.com/jou nal/sus ainabili y
Sus ainabili y 2020,12, 795 2 o 24
In ac , a g owing ield o ans o ma ion esea ch is dedica ing i s e o s o sus ainabili y
challenges [
6
–
8
]. While, Pa e son and colleagues [
9
] conclude ha he e is he need o “place
go e nance and poli ics a he cen e o esea ch on ans o ma ions owa ds sus ainabili y,” Abson and
colleagues [
10
] accen ua e he u gency o “iden i y solu ion-o ien ed app oaches o ans o ma ional
change” also [
11
]. The p esen esea ch ies o ace hese challenges by ocusing on local collabo a i e
ans o ma ions ha migh be he basis o an inno a i e p ocess leading o a mo e sus ainable socie y.
The esea ch aim is o de elop p ac ical knowledge a he han epis emic, in a ph onesis app oach [
12
].
We y o ace he gene al ques ion: How can we gene a e, in p ac ice, local ac ion ha can
po en ially c ea e global posi i e ans o ma ion in an e ec i e and e icien way? Su ely many
solu ions ha e al eady been explo ed and he e is no one single answe . Wha (possibly) makes his
esea ch dis inc is he s a ing poin : We assume ha a g ea po en ial o ans o ma ion es s in he
join ac ion be ween local au ho i ies and ci il socie y. Ou app oach is o concep ualize and empi ically
explo e he dynamic in e ac ions be ween hese local ac o s in he con ex s hey a e embedded [13].
The assumed esea ch ques ion is he e o e how o p omo e syne gies be ween local go e nmen s
and communi y-based ini ia i es in hei pu sui s o (local) sus ainabili y. A key ea u e is ha i is no
looking o a new ‘ ecipe’ o p omo ing local collabo a ions bu ins ead a sus ainabili y amewo k
ha can help exis ing collabo a ions o os e hei ans o ma i e impac .
A pa icipa o y ac ion esea ch app oach was decided, since i has p o en o be aluable
in suppo ing sus ainabili y and ans o ma i e e o s a local le el by mixing he p oduc ion o
knowledge and socie al ac ion [14].
The esea ch de eloped included he c ea ion o an assessmen ool o local ans o ma i e
collabo a ions, mapping and assessing 71 impac ul collabo a i e cases in 16 coun ies, co-designing
an ag eed amewo k, es ing and e ining in pilo s, p omo ing a communi y o p ac ice and ou each.
In his pape we s a by add essing he collabo a i e dynamics be ween local o ganiza ions (ou
uni o analyses), p oposing a ‘Compass o Collabo a i e T ans o ma ion’ as an assessmen ool (nex
sec ion). Unde ‘me hods’ we p esen he esea ch design and he me hods used in ha es ing and
analyzing he exis en 71 cases (case s udy esea ch). The lea nings om he c oss-case analysis o he
mul i-ac o go e nance ne wo ks a e p esen ed in he ollowing sec ion (‘ esul s’). In ‘discussion’ we
a i e a he p oposi ions o a sus ainabili y amewo k o imp o e hese local collabo a ions and
p esen he ongoing e o s o codesign and es a new ins umen o ac i a e syne gies. Finally, in
‘conclusions,’ we summa ize he scien i ic con ibu ions o his pape .
2. Local T ans o ma i e Collabo a ions
Collabo a ion is a he hea o na u al e olu ion [
15
], including ha o humans, and is conside ed
a posi i e ea u e in cul u es ac oss he wo ld wi hou known excep ion [
16
], e en hough i migh
be losing g ound owa ds compe i ion [
17
]. Consequen ly, collabo a ion cap u es he a en ion o
many esea ch ields, om game heo y [
18
] o s a egic managemen [
19
], and is well s udied unde
public adminis a ion [
20
]. Policy s udies ha e shown ha collabo a ion can mi iga e con lic , he e o e
enabling collec i e ac ion [
21
]. Pa ne ships, as collabo a i e a angemen s, can also p oduce and
ca alyze syne gies by way o pooling esou ces and skills [22].
Howe e , we should also men ion ha collabo a ion is no panacea o ad ance go e nance [
23
].
As esea ch showed ex ensi ely, collabo a ions a e no easy asks; hey ake ime, e o , and esou ces,
equi e wo king wi h complex human in e ac ions a ound powe ela ions, and do no necessa ily
lead o syne gies and ad an ages [
3
,
24
]. They a e inhe en ly pa adoxical [
3
] and con ibu ions o
sus ainabili y lack e idence [25].
Se e al ac o s can in luence he esul s o collabo a ions and ha e been epo ed in li e a u e.
In an e o o sys ema ize hese ac o s a ‘Compass o Collabo a i e T ans o ma ion’ is p oposed
(Figu e 1). This heu is ic was used in he esea ch p ocess as an assessmen amewo k o exis ing
expe iences o ans o ma i e collabo a ion be ween local o ganiza ions.
Sus ainabili y 2020,12, 795 3 o 24
Sus ainabili y 2020, 12, 795 3 o 28
(Figu e 1). This heu is ic was used in he esea ch p ocess as an assessmen amewo k o exis ing
expe iences o ans o ma i e collabo a ion be ween local o ganiza ions.
Figu e 1. Wha makes a success ul ans o ma i e collabo a ion? The ‘Compass o Collabo a i e
T ans o ma ion’ allows a mul idimensional assessmen o collabo a ions be ween local go e nmen s
and communi y-based ini ia i es, in e ms o ans o ma ion owa ds sus ainabili y. The g een ci cles
ela e p ima ily o he quali y o he p ocess (coc ea ion) and ela ionships es ablished (mu ual
suppo ) and he yellows o ou comes, including conc e e ou pu s (cop oduc ion) and mo e in angible
impac s (open inno a ion).
The i s p oposi ion ad oca es ha local ins i u ions should p omo e he coc ea ion o ini ia i es
(‘doing i oge he ’), by making use o hei collec i e in elligence. This can in ol e p ocesses o
collabo a i e en isioning, analyzing scena ios, and se ing pa hways [26–28]. Discussing and
ag eeing on a sha ed unde s anding and analyses o he p oblem, as well as long- e m commi men s,
a e conside ed c i ical [29]. T ansi ion managemen , o ins ance, ocuses on he ole o a eam o
leade s in collabo a i e isioning and s ee ing o expe imen s, combined wi h a e lexi e app oach
ha includes moni o ing, e alua ing, and lea ning [30–33]. Clea ly de ining complemen a y oles
and aking join decisions a e also ac o s p esen in e ec i e join implemen a ion p ocesses. These
e o s a e expec ed o ein o ce legi imacy [34], especially i aspec s o inclusion, ep esen a i eness,
anspa ency, and accoun abili y a e conside ed.
The second p oposi ion highligh s he need o mu ual suppo wi h ecip oci y in mind (‘win-
win si ua ion’), leading o c oss- e iliza ion, ul illing ela ionships, and empowe men . Key
condi ions o ui ul collabo a ions a e he commi men o wo k oge he and he de elopmen o
us [35]. S udies also show ha unding can be impo an bu no as much as c ea ing spaces o
pe manen , endu ing, s uc u ed, and in e pe sonal dialogue [36,37]. A sui able le el o bu eauc acy
and o mali y is also c i ical o educe he isk o phenomena like ‘coe ci e isomo phism’ [38], in
which communi y-based ini ia i es a e p essu ed o con o m o equi emen s and expec a ions o
incumben egimes (e.g., o adop a legal s uc u e o i wi hin he pa ame e s o he poli ical
agenda). In gene al, sha ing goods and se ices o in o ma ion and knowledge (e.g., wo-way
aining), and also c oss ma ke ing (p omo ing and pa icipa ing in each o he ’s ac i i ies), a e ac o s
ha can con ibu e posi i ely. Fai ness should be p omo ed by equally sha ing isks, e o s, and
bene i s.
Figu e 1.
Wha makes a success ul ans o ma i e collabo a ion? The ‘Compass o Collabo a i e
T ans o ma ion’ allows a mul idimensional assessmen o collabo a ions be ween local go e nmen s
and communi y-based ini ia i es, in e ms o ans o ma ion owa ds sus ainabili y. The g een ci cles
ela e p ima ily o he quali y o he p ocess (coc ea ion) and ela ionships es ablished (mu ual suppo )
and he yellows o ou comes, including conc e e ou pu s (cop oduc ion) and mo e in angible impac s
(open inno a ion).
The i s p oposi ion ad oca es ha local ins i u ions should p omo e he coc ea ion o ini ia i es
(‘doing i oge he ’), by making use o hei collec i e in elligence. This can in ol e p ocesses o
collabo a i e en isioning, analyzing scena ios, and se ing pa hways [
26
–
28
]. Discussing and ag eeing
on a sha ed unde s anding and analyses o he p oblem, as well as long- e m commi men s, a e
conside ed c i ical [
29
]. T ansi ion managemen , o ins ance, ocuses on he ole o a eam o leade s in
collabo a i e isioning and s ee ing o expe imen s, combined wi h a e lexi e app oach ha includes
moni o ing, e alua ing, and lea ning [
30
–
33
]. Clea ly de ining complemen a y oles and aking join
decisions a e also ac o s p esen in e ec i e join implemen a ion p ocesses. These e o s a e expec ed
o ein o ce legi imacy [
34
], especially i aspec s o inclusion, ep esen a i eness, anspa ency, and
accoun abili y a e conside ed.
The second p oposi ion highligh s he need o mu ual suppo wi h ecip oci y in mind (‘win-win
si ua ion’), leading o c oss- e iliza ion, ul illing ela ionships, and empowe men . Key condi ions
o ui ul collabo a ions a e he commi men o wo k oge he and he de elopmen o us [
35
].
S udies also show ha unding can be impo an bu no as much as c ea ing spaces o pe manen ,
endu ing, s uc u ed, and in e pe sonal dialogue [
36
,
37
]. A sui able le el o bu eauc acy and
o mali y is also c i ical o educe he isk o phenomena like ‘coe ci e isomo phism’ [
38
], in which
communi y-based ini ia i es a e p essu ed o con o m o equi emen s and expec a ions o incumben
egimes (e.g., o adop a legal s uc u e o i wi hin he pa ame e s o he poli ical agenda). In gene al,
sha ing goods and se ices o in o ma ion and knowledge (e.g., wo-way aining), and also c oss
ma ke ing (p omo ing and pa icipa ing in each o he ’s ac i i ies), a e ac o s ha can con ibu e
posi i ely. Fai ness should be p omo ed by equally sha ing isks, e o s, and bene i s.
Sus ainabili y 2020,12, 795 4 o 24
The hi d p oposi ion ocuses on cop oduc ion, namely he join deli e y o goods and se ices
aiming a ca ing o people and he plane , hus p omo ing ‘communi y esilience’ [
39
]. The cop oduc ion
o (hope ully ans o ma i e) public se ices may be he decisi e s ep in a collabo a ion be ween
local go e nmen s and g ass oo s mo emen s. Bo ai d [
40
] concluded ha suppo ing cop oduc ion
should be he “new public se ice e hos.” In pa icula , he cop oduc ion o goods and se ices by
di e en ac o s o ganized in o polycen ic sys ems can be “c ucial o achie ing highe le els o wel a e
in de eloping coun ies, pa icula ly o hose who a e poo ” [
41
]. Some ad ances ha e occu ed,
especially in ‘communi y ene gy’ [
42
] and ‘ecosys em s ewa dship’ [
43
]. Cop oduc ion migh include
he p o ision o well-being and pe sonal g ow h (e.g., lea ning oppo uni ies, communi y engagemen );
‘g een’ economy (e.g., en ep eneu ship, localiza ion, ci cula i y); ib an cul u e (e.g., local he i age,
c ea i i y); social capi al (e.g., ex en o ne wo ks, densi y o ela ionships); jus ice and equi y (e.g.,
delibe a e edis ibu i e e o s, inclusion); ecological es o a ion; o he so s o clima e mi iga ion
and adap a ion.
Finally, he ou h p oposi ion add esses he need o open inno a ion, making anspa en
and explici wha is o be ans o med and o whom, and p omo ing he des abiliza ion o exis ing
egimes. The idea o ‘delibe a e dis up ion’ is a eac ion o he u gency o ackling sus ainabili y
issues and he need o adical and ‘deep’ change, e.g., [
44
–
46
]. Se e al heo ies ha e been p oposed
o ame he mo e in angible ou comes, anging om ans o ma i e social inno a ion [
47
], social
lea ning [
48
], p ac ices heo y [
49
], echnological inno a ion sys ems [
50
], na a i es o change [
51
,
52
],
ins i u ionaliza ion [
53
], cul u al change [
54
], ne wo ked go e nance [
55
], e c. These ollow om
(some imes) opposing on ologies [
56
]. He e he e m ‘open inno a ion’ is used o emphasize he
impo ance o using in e nal and ex e nal ideas in hese collabo a ions [57].
3. Me hods
By in es iga ing he po en ial syne gies be ween local o ganiza ions, ou pu pose is o ind a
amewo k o p omo e a be e collabo a ion be ween communi y-based ini ia i es (CBIs) and local
go e nmen s (LGs), in he con ex o ans o ma ion.
A pa icipa o y ac ion esea ch p ocess was chosen since he main in en ion is o suppo
p ac i ione s in enhancing hei impac by de eloping p ac ical solu ions [
58
,
59
]. These kinds o
p ocesses a e pa icula ly help ul in he con ex o sus ainabili y— esea che s engage in hei social
esponsibili y and assume he oles o change agen s, knowledge b oke s, (sel ) e lec i e scien is s, and
p ocess acili a o s [60].
A collabo a i e inqui y was se in ol ing he T ansi ion mo emen and he Uni e si y o Lisbon,
also ancho ed by hei ole wi hin ECOLISE (Eu opean Ne wo k o Communi y-Led Ini ia i es on
Clima e Change and Sus ainabili y). The wo k is in eg a ed in he p ojec ‘Municipali ies in T ansi ion,’
s a ed in 2017.
The T ansi ion mo emen is conside ed one o he mos signi ican examples o local communi ies
leading he way o a pos -ca bon socie y, a leas in Eu ope [
61
–
63
]. These ini ia i es a e sp ead
wo ld-wide and demons a e a dis inc i e openness o collabo a ions [
64
]. They a e, he e o e,
a pe inen and sui able s a ing poin o he p esen esea ch ( ha does no es ic i sel o he
T ansi ion mo emen ), p o iding an expe imen al space wi h ans o ma ional ambi ion [
65
] (p. 6).
Ne e heless, a bias owa d Wes e n coun ies migh be expec ed. I should also be conside ed ha
hese expe imen s do no always e lec he di e si y o he communi ies in which hey h i e [
66
,
67
],
despi e hei e o s on inclusi i y [61].
Resea ch included codesigning a amewo k ha could be used o boos he ans o ma i e each
o coope a ion be ween local ac o s o sus ainabili y and es ing and e ining he amewo k in pilo s.
The expe imen a ion p ocess is p esen ed elsewhe e.
Fo he codesign we used a mul i-me hod app oach including li e a u e e iew, an explo a i e
analysis o 71 su eyed cases o local o egional collabo a ions happening in 16 coun ies in Ame ica
and Eu ope, and ansdisciplina y co-design sessions.
Sus ainabili y 2020,12, 795 5 o 24
Wi h he aim o lea ning om he exis ing cases o ans o ma i e collabo a ion a local le el, a wo
phase esea ch was de eloped: (1) Gene al ha es ing by obse a ion and ques ionnai es ( o inc ease
each and ge quan i a i e da a); a snowball sampling was used s a ing om he T ansi ion mo emen ;
and (2) in-dep h s udy o eigh selec ed cases using obse a ion and semi-s uc u ed in e iews o
main s akeholde s ( o ge de ailed in o ma ion and di e en poin s o iew).
In phase 1, a snowball sampling was used s a ing om he lis o T ansi ion Hubs (na ional
o egional ne wo ks wi hin he T ansi ion mo emen ) and sp eading o T ansi ion ini ia i es and
co esponden ne wo ks o p ac i ione s, in a way o make good use o hei esou ces and knowledge.
Da a was collec ed by people ha pa icipa ed in o obse ed cases whe e LGs we e in ol ed in
exempla y and s able collabo a i e e o s wi h CBIs. Da a collec o s and cases we e no necessa ily
linked o he T ansi ion mo emen .
Da a was collec ed h ough ques ionnai es (p o ided online) and ela ed p ima ily o he dynamics
be ween ac o s in ol ed (ou uni o analysis), including go e nance models and ools used o os e
collabo a ion. In phase 2, in e iews we e pe o med o case pa icipan s (including one om he LG,
one om he CBI, and a hi d pe son no in ol ed in he case managemen , possibly a bene icia y o
someone pa icipa ing in he ac i i ies).
We used he ‘Compass o Collabo a i e T ans o ma ion’ (Figu e 1) as an analy ical amewo k
o he in e p e a ion o esul s. In o de o examine he go e nance imp in o he local ans o ma i e
collabo a ions we used a ool called ‘Ene gy Func ion’ [
68
], de eloped in I aly. Gi ing his me hodology,
he occu ing p ocesses can be mapped acco ding o he ac o s in ol ed and ans o ma i e ac ions
de eloped in each case.
The Ac o s’ ca ego ies used a e:
•
Municipali y, poli ical le el: Who ins i u ionally con ibu es o de ining policies, e.g., council,
commissions, pa ies
•
Municipali y, o ganiza ional s uc u e: Technicians and o he ci il se an s esponsible o
pe o ming municipal unc ions
•Con olled en i ies: En i ies ha a e in some way con olled by he municipali y
•Supplie s: Public and p i a e supplie s o he municipali y
•
O ganiza ions: Economic, social, and cul u al o ganiza ions, p o i and non-p o i (e.g., business,
schools, en i onmen al o ganiza ions)
•Public: Families and ci izens
•
Ne wo ks: O he municipali ies and ac o s ou side he e i o y (e.g., o he municipali ies, le els
o go e nmen , pa ne s in in e na ional ne wo ks)
And he Ac ions’ ca ego ies:
•Vision: Ac ions and p ocesses ha end o c ea e a ision
•
O ganiza ion: Ac ions and p ocesses ha end o c ea e o modi y he go e nance, p ocedu es,
oles, and ela ed issues (e.g., c ea ing a new o ice o deal wi h sus ainabili y issues)
•
Planning: Ac ionsandp ocesses ha end oc ea eaplan(e.g.,se inggoals,policiesin eg a ions,budge s)
•Technical aspec s: Ac ions ha modi y he sys em h ough echnology
•
Rela ions: Ac ions and p ocesses ha wan o c ea e o imp o e ela ionships, namely ac ing on
human and social aspec s
•
Cul u al change: Ac ions and p ocesses ha aim o lead o a ‘pa adigm shi ’ (including
communica ion and educa ional ac i i ies)
•
Ne wo king: Ac ions and p ocesses ha aim o c ea e s able connec ions and compa isons
(e.g., benchma king)
The ‘Ene gy Func ion’ ool is pa o a amewo k o dealing wi h he complex sus ainabili y
challenge and was one o he cases s udied in his esea ch.

Sus ainabili y 2020,12, 795 6 o 24
A e se ing he p econdi ions o a sus ainabili y amewo k ha could enhance syne gies,
a codesign p ocess was de eloped using socioc a ic echniques wi hin he s ee ing g oup (people om
T ansi ion Hubs and esea che om he Uni e si y o Lisbon) and in o ma ion om he case s udies
and li e a u e.
4. Resul s
Wha can we lea n om exis ing collabo a i e expe imen s a he municipal le el? We will now
p esen he esea ch de eloped o answe his ques ion.
Exempla y cases o local ans o ma ion we e collec ed h ough an online su ey sen o T ansi ion
Hubs in he beginning o July 2017. By he beginning o Oc obe 2017, 71 cases had been collec ed (see
Appendix A), cu en ly ac i e in 16 coun ies: Belgium, B azil, Chile, Colombia, Denma k, F ance,
Ge many, Hunga y, I aly, Mexico, Ne he lands, Po ugal, Spain, Sweden, Uni ed Kingdom, and Uni ed
S a es. Mos o he cases we e “well-es ablished and unning” (40), while some we e s ill in design
s age (10) o had jus s a ed (21).
Da a was collec ed mainly by people connec ed wi h he Hubs (63%) and/o T ansi ion ini ia i es
(48%). Mos o hem s a e ha hey could be pe cei ed as neu al o he cases, bu some deg ee o bias
is expec ed o occu .
The 71 cases collec ed we e mos ly loca ed in u ban con ex (a ound h ee-qua e s) wi h popula ion
anging om 200 o 12,000,000 ( equen ly be ween 1000 and 40,000). The main a ea o ac i i y (mul iple
choice possible) was aising awa eness (77%). Cases also mos ly dedica ed hemsel es (>50%) o ood
and ag icul u e; educa ion; pa icipa o y democ acy; and planning and communi y wo k (Figu e 2).
Rela ing o bene icia ies, he cases we e mos ly aimed a a gene al public (65%), ollowed by (44–32%)
adul s, amilies, elde s, young adul s, eenage s, and child en. Cases we e also asked abou assessmen
ela ing some o he main domains o he Compass (Figu e 3).
Sus ainabili y 2020, 12, 795 6 o 28
4. Resul s
Wha can we lea n om exis ing collabo a i e expe imen s a he municipal le el? We will now
p esen he esea ch de eloped o answe his ques ion.
Exempla y cases o local ans o ma ion we e collec ed h ough an online su ey sen o
T ansi ion Hubs in he beginning o July 2017. By he beginning o Oc obe 2017, 71 cases had been
collec ed (see Appendix A), cu en ly ac i e in 16 coun ies: Belgium, B azil, Chile, Colombia,
Denma k, F ance, Ge many, Hunga y, I aly, Mexico, Ne he lands, Po ugal, Spain, Sweden, Uni ed
Kingdom, and Uni ed S a es. Mos o he cases we e “well-es ablished and unning” (40), while some
we e s ill in design s age (10) o had jus s a ed (21).
Da a was collec ed mainly by people connec ed wi h he Hubs (63%) and/o T ansi ion
ini ia i es (48%). Mos o hem s a e ha hey could be pe cei ed as neu al o he cases, bu some
deg ee o bias is expec ed o occu .
The 71 cases collec ed we e mos ly loca ed in u ban con ex (a ound h ee-qua e s) wi h
popula ion anging om 200 o 12,000,000 ( equen ly be ween 1000 and 40,000). The main a ea o
ac i i y (mul iple choice possible) was aising awa eness (77%). Cases also mos ly dedica ed
hemsel es (>50%) o ood and ag icul u e; educa ion; pa icipa o y democ acy; and planning and
communi y wo k (Figu e 2). Rela ing o bene icia ies, he cases we e mos ly aimed a a gene al public
(65%), ollowed by (44%–32%) adul s, amilies, elde s, young adul s, eenage s, and child en. Cases
we e also asked abou assessmen ela ing some o he main domains o he Compass (Figu e 3).
Figu e 2. Resul s om he su ey—main subjec s ha he case s udies ocus on (n = 71).
Figu e 2. Resul s om he su ey—main subjec s ha he case s udies ocus on (n =71).
Sus ainabili y 2020,12, 795 7 o 24
Sus ainabili y 2020, 12, 795 7 o 28
Figu e 3. Resul s om he su ey—answe s o he ques ion: “How much do you ag ee wi h he
ollowing s a emen s?” (1 = Fully disag ee; 5 = Fully ag ee).
Acco ding o he da a collec o s, cases exhibi a signi ican deg ee o inno a ion and coope a ion
be ween ac o s (Figu e 3). This was expec ed since hese we e p e equisi es o he selec ion. Cases
a e mos ly ocused in changing li es yles and p omo ing jus ice.
In e ms o clima e change mi iga ion and adap a ion, he ini ia i es s a ed ha hei
con ibu ions we e mainly by ins i u ional and beha io al change o ein o cemen , ollowed by
p oducing local and/o o ganic ood and p omo ing heal hy and sus ainable die s, p e en ing was e
and ecycling (ci cula economy), p omo ing sus ainable mobili y (cycling, public anspo , elec ic
and sha ed ca s), c ea ing g een in as uc u es, and gene a ing hea and elec ici y om enewable
sou ces (Figu e 4).
Figu e 4. Resul s om he su ey—Con ibu ions o clima e change mi iga ion and adap a ion (n = 71).
Cases su eyed we e qui e di e se, including in hei go e nance sys ems. They spanned om
g ass oo s eco-neighbo hoods in São Paulo o a well-s uc u ed ans o ma ion ini ia i e a ci y le el
in D esden wi h go e nmen al suppo , an eco illage in Colombia managed by women o
coope a i es o p oduce ene gy and p omo e local ood. Some cases ocused on he collabo a i e
p omo ion o conc e e ac i i ies o opics (e.g., cycling, ci cula economy, u ban ag icul u e) o mo e
spi i ual expe iences (e.g., inne ansi ion).
Figu e 3.
Resul s om he su ey—answe s o he ques ion: “How much do you ag ee wi h he
ollowing s a emen s?” (1 =Fully disag ee; 5 =Fully ag ee).
Acco ding o he da a collec o s, cases exhibi a signi ican deg ee o inno a ion and coope a ion
be ween ac o s (Figu e 3). This was expec ed since hese we e p e equisi es o he selec ion. Cases a e
mos ly ocused in changing li es yles and p omo ing jus ice.
In e ms o clima e change mi iga ion and adap a ion, he ini ia i es s a ed ha hei con ibu ions
we e mainly by ins i u ional and beha io al change o ein o cemen , ollowed by p oducing local
and/o o ganic ood and p omo ing heal hy and sus ainable die s, p e en ing was e and ecycling
(ci cula economy), p omo ing sus ainable mobili y (cycling, public anspo , elec ic and sha ed ca s),
c ea ing g een in as uc u es, and gene a ing hea and elec ici y om enewable sou ces (Figu e 4).
Sus ainabili y 2020, 12, 795 7 o 28
Figu e 3. Resul s om he su ey—answe s o he ques ion: “How much do you ag ee wi h he
ollowing s a emen s?” (1 = Fully disag ee; 5 = Fully ag ee).
Acco ding o he da a collec o s, cases exhibi a signi ican deg ee o inno a ion and coope a ion
be ween ac o s (Figu e 3). This was expec ed since hese we e p e equisi es o he selec ion. Cases
a e mos ly ocused in changing li es yles and p omo ing jus ice.
In e ms o clima e change mi iga ion and adap a ion, he ini ia i es s a ed ha hei
con ibu ions we e mainly by ins i u ional and beha io al change o ein o cemen , ollowed by
p oducing local and/o o ganic ood and p omo ing heal hy and sus ainable die s, p e en ing was e
and ecycling (ci cula economy), p omo ing sus ainable mobili y (cycling, public anspo , elec ic
and sha ed ca s), c ea ing g een in as uc u es, and gene a ing hea and elec ici y om enewable
sou ces (Figu e 4).
Figu e 4. Resul s om he su ey—Con ibu ions o clima e change mi iga ion and adap a ion (n = 71).
Cases su eyed we e qui e di e se, including in hei go e nance sys ems. They spanned om
g ass oo s eco-neighbo hoods in São Paulo o a well-s uc u ed ans o ma ion ini ia i e a ci y le el
in D esden wi h go e nmen al suppo , an eco illage in Colombia managed by women o
coope a i es o p oduce ene gy and p omo e local ood. Some cases ocused on he collabo a i e
p omo ion o conc e e ac i i ies o opics (e.g., cycling, ci cula economy, u ban ag icul u e) o mo e
spi i ual expe iences (e.g., inne ansi ion).
Figu e 4.
Resul s om he su ey—Con ibu ions o clima e change mi iga ion and adap a ion (n =71).
Cases su eyed we e qui e di e se, including in hei go e nance sys ems. They spanned om
g ass oo s eco-neighbo hoods in S
ã
o Paulo o a well-s uc u ed ans o ma ion ini ia i e a ci y le el in
D esden wi h go e nmen al suppo , an eco illage in Colombia managed by women o coope a i es o
p oduce ene gy and p omo e local ood. Some cases ocused on he collabo a i e p omo ion o conc e e
ac i i ies o opics (e.g., cycling, ci cula economy, u ban ag icul u e) o mo e spi i ual expe iences
(e.g., inne ansi ion).
Sus ainabili y 2020,12, 795 8 o 24
In mos o he cases i was possible o iden i y some p og essi eness in he way ha local
go e nmen s and ci il socie y wo k oge he wi h a ans o ma i e aim. Besides pa ne ships, spaces
o dialogue and lea ning, ac ion g oups a e qui e common (‘local inno a ion commi ee,’ ‘neighbo hood
en i onmen al commi ee,’ ‘neighbo hood assemblies,’ ‘schools o li e,’ ‘li ing class ooms,’ ‘ u u e ci y
eam’) as well as he c ea ion o ne wo ks connec ing change agen s.
Some o he ools used o p omo e ans o ma i e collabo a ion include sha ing land and o he
esou ces, demons a i e cen e s, cowo king spaces, con e gence e en s, social cu encies, dis ibu ion
o small g an s, sha ed social media pla o ms, e hnog aphy app oaches, communi a ian managemen
o public spaces, e c. Managemen ools like D agon D eaming, Socioc acy, Theo y U and Non iolen
Communica ion a e also used.
Mos o he cases (73%) ha e some connec ion o he T ansi ion mo emen and se e al ac i e
collabo a ions wi h municipali ies we e p esen ed. Mos o he cases also epo ed ha hey belonged
o some local, egional, na ional, o in e na ional ne wo k (e.g., Co enan o Mayo s), while a
ew c ea ed hei own ne wo ks. Funding comes om municipali ies, p i a e sec o , coope a i es,
non-go e nmen al o ganiza ions, c owd unding and use s, besides o he na ional and in e na ional
le els (e.g., Eu opean Union).
The mapping o ac o s and ac ions in ol ed o each case is p esen ed in Table 1and was p oduced
h ough con en analyses o he in o ma ion collec ed.
Table 1.
Mapping o he collec ed cases (n =71) acco ding o ac o s and ac ions in ol ed. Highe
alues ha e been lagged in bold. Colo ed cells a e conside ed ‘le e age poin s.’ Adap ed om [68].
Ac o s Ca ego ies
Ac ions
Ca ego ies
Municipali y
Poli ical
Municip.
O ganiza ion
Con olled
En i ies Supplie s O ganiza ions Public Ne wo ks
Vision 24 18 2 1 35 24 6
O ganiza ion 46 46 6 2 55 46 4
Planning 26 22 2 1 32 22 6
Technical aspec s 15 19 4 2 34 25 3
Rela ions 12 12 1 0 33 33 0
Cul u al change 35 36 5 1 62 63 8
Ne wo king 31 26 4 1 39 28 32
The empi ical obse a ion o he I alian expe ience in using he ‘Ene gy Func ion’ shows ha
he c ucial ac o s leading o eal changes in he way a communi y o ganizes i sel a e new isions
de eloped a he poli ical le el, planning occu ing a he municipali ies’ o ganiza ion le el, and a
cul u al change a he public le el. In he g id (Table 1) hose cells ha e a ‘highe ’ alue (colo ed
salmon). A second g oup o ‘key’ cells (colo ed o ange) a e conside ed as o he ac i a ion a eas wi h a
high po en ial o change. Fo example, i is assumed ha when o ganiza ions de elop a new ision,
change hei cul u e, and plan acco dingly we can obse e an e olu ion in he communi y.
We can conclude ha appa en ly he ac o s ha a e mo e ac i ely in ol ed in he cases (Figu e 5)
a e o ganiza ions and he gene al public, ollowed by local go e nmen s. Con olled en i ies and
supplie s a e no usually men ioned which can demons a e ha ini ia i es like g een p ocu emen
o li e-cycle assessmen s a e a e. O en, hese con olled en i ies manage c i ical sec o s ela ing o
sus ainabili y, like wa e , was e, o ene gy.
Sus ainabili y 2020,12, 795 9 o 24
Sus ainabili y 2020, 12, 795 9 o 28
Figu e 5. F equency o ac o s’ in ol emen in case s udies, by ac ions’ ca ego y.
Cul u al change and new go e nance schemes (in ol ing many ac o s) a e he kind o goals
mos o en pu sued, ollowed by ne wo king ac i i ies (Figu e 6). Ca ing o ela ions looks like a less
de eloped a ea o wo k. Visioning and planning can also be conside ed in ela i e de ici , aking in o
accoun he le e age powe a ibu ed o hese ac i i ies.
Figu e 6. Rela i e equency o ac ions in case s udies.
A ‘g id sco e’ was p oduced o each case by coun ing he numbe o illed cells. A ac o o 3
was applied o o ange cells and 5 o salmon (‘le e age cells’). The sco e a ies be ween 6 and 59
(a e age = 26), o a maximum alue o 73 (see Appendix A). This sco e, we could a gue, can be
conside ed a p oxy o he deg ee o ans o ma i e e o s happening in he communi y.
A mul i a ia e analysis was pe o med bu i did no allow o p o ide clea conclusions abou
possible case clus e s. We should no o ge o men ion ha lowe alues can co espond o cases
Figu e 5. F equency o ac o s’ in ol emen in case s udies, by ac ions’ ca ego y.
Cul u al change and new go e nance schemes (in ol ing many ac o s) a e he kind o goals mos
o en pu sued, ollowed by ne wo king ac i i ies (Figu e 6). Ca ing o ela ions looks like a less
de eloped a ea o wo k. Visioning and planning can also be conside ed in ela i e de ici , aking in o
accoun he le e age powe a ibu ed o hese ac i i ies.
Sus ainabili y 2020, 12, 795 9 o 28
Figu e 5. F equency o ac o s’ in ol emen in case s udies, by ac ions’ ca ego y.
Cul u al change and new go e nance schemes (in ol ing many ac o s) a e he kind o goals
mos o en pu sued, ollowed by ne wo king ac i i ies (Figu e 6). Ca ing o ela ions looks like a less
de eloped a ea o wo k. Visioning and planning can also be conside ed in ela i e de ici , aking in o
accoun he le e age powe a ibu ed o hese ac i i ies.
Figu e 6. Rela i e equency o ac ions in case s udies.
A ‘g id sco e’ was p oduced o each case by coun ing he numbe o illed cells. A ac o o 3
was applied o o ange cells and 5 o salmon (‘le e age cells’). The sco e a ies be ween 6 and 59
(a e age = 26), o a maximum alue o 73 (see Appendix A). This sco e, we could a gue, can be
conside ed a p oxy o he deg ee o ans o ma i e e o s happening in he communi y.
A mul i a ia e analysis was pe o med bu i did no allow o p o ide clea conclusions abou
possible case clus e s. We should no o ge o men ion ha lowe alues can co espond o cases
Figu e 6. Rela i e equency o ac ions in case s udies.
A ‘g id sco e’ was p oduced o each case by coun ing he numbe o illed cells. A ac o o
3 was applied o o ange cells and 5 o salmon (‘le e age cells’). The sco e a ies be ween 6 and 59
(
a e age =26
), o a maximum alue o 73 (see Appendix A). This sco e, we could a gue, can be
conside ed a p oxy o he deg ee o ans o ma i e e o s happening in he communi y.
A mul i a ia e analysis was pe o med bu i did no allow o p o ide clea conclusions abou
possible case clus e s. We should no o ge o men ion ha lowe alues can co espond o cases
whe e insu icien in o ma ion is a ailable and no necessa ily cases wi h smalle impac . The e o e, in
his con ex , i should no be conside ed a ‘ ank.’
Sus ainabili y 2020,12, 795 16 o 24
Table A1. Con .
Name o he Case S udy Coun y Loca ion G id
Sco e Summa y
Ene gy Func ion I aly
Emilia
Romagna
Region
19
De elopmen o a heo e ical and ope a i e amewo k
o add ess “sus ainabili y and esilience” a local
go e nmen le el in a sys emic way.
Li o no I aly Li o no (Ci y) 22
Eme ging new ela ionship be ween local go e nmen
and ci izens sea ching o new me hodologies and ools
o de elop and h i e.
La Coope-Comunidad de
In e cambio Ecológico y
Solida io
Mexico Que é a o 24 A ecen coope a i e-communi y dedica ed o he local
ood sys em.
Asociacion P ojungapeo:
JET (Jungapeo en
T ansición)
Mexico Jungapeo,
Michoacán40
An ongoing communi y p ojec seeking an in eg al local
de elopmen .
Bacala en ansición Mexico Bacala ,
Quin ana Roo 21 Wo king oge he o p o ec he lagoon o Bacala and
he communi ies ha li e he e.
El I aca e Mexico Tepoz lán,
Mo elos 19
T ansi ion Reconomy p ojec based in Tepoz lan se led
as a hink ank lab o helping ood ga dening,
pe macul u e and educa ional p ojec s.
A chi ec u e o
sus ainabili y Mexico Guadalaja a
Jalisco 18
Social en e p ise o ien ed o sus ainable a chi ec u e and
dissemina ion o ools o esilience.
Ach e hoekse G oene
Ene gie Maa schappij
(Ach e hoek G een Ene gy
Coope a i e—AGEM)
The
Ne he lands
Ach e hoek
( egion) 29 Regional ene gy coope a i e owned and managed by
municipali ies.
Buu onds
Dich e s-Ri ie enwijk
(Neighbou hood Fund)
The
Ne he lands
Dich e s and
Ri ie en,
U ech
8Neighbo hood ini ia i e und aimed a dis ibu ing
small g an s.
The Aa dehuis p ojec The
Ne he lands
Ols 35
Sus ainable li ing p ojec wi h 23 houses and a
communi y building; municipali y, ansi ion ini ia i es,
and o he pa ne s a e in ol ed.
Blue Ci y The
Ne he lands
Ro e dam 24
B eeding g ound in Ro e dam o inno a i e companies
ha y o connec hei loops oge he : One company’s
ou pu is ano he company’s inpu .
Pa ce ia Local de Telhei as
(Local pa ne ship) Po ugal Telhei as,
Lumia , Lisbon 43
Neighbo hood pa ne ship ha esul ed om a
ansi ion ini ia i e and a local agenda 21 p omo ed by
he municipali y.
Coimb a em T ansição Po ugal Coimb a 25 Designing a local hub o ansi ion.
Ze o Was e Village Spain O endain,
Gipuzkoa 14 P ojec based on was e managemen /ci cula economy.
La Ga o xa Te i o i
Resilien Spain Ga o xa (21
Municipali ies) 36
Ru al egion ha is home o 21 municipali ies and o e
500 local communi y o ganiza ions ha wo k oge he
owa ds a sus ainable and well-ne wo ked socie y.
Ma es Mad id Spain P o ince o
Mad id 48
U ban ans o ma ion by p omo ing social economy and
collabo a ion (ene gy, ecycling, ood, mobili y, and
social ca e economy).
Almóci a, semilla en
ansiciónSpain
Almóci a,
Alme ía,
Andalucía
30
Municipali y ac i ely pa icipa ing in he ansi ion
mo emen , in aspec s such as ene ge ic sel -su iciency,
compos ing, and ca - ee.
Inicia i a RubíB illa Spain
Rub
í
, Ba celona,
Ca alunya 35
Local s a egy o change he ene ge ic model, p omo ing
ene gy sa ing and ene gy e iciency in all he sec o s o
he ci y.
Desca boniza! Que non é
pouco Spain
San iago de
Compos ela,
Galicia
19 O ganize and gi e suppo o g oups o people who a e
willing o “deca bonize” hei li es yles.
La Colabo ado a Spain Za agoza 33
Fi s cowo king P2P ha p omo es a collabo a i e
economy in he ci y h ough a ime bank o olun a y
exchange o se ices and knowledge.
Ci izen ini ia i e o
imp o e people´s li es in
he municipali y
Spain Quén a ,
G anada 19 Ci izen educa ion o imp o ing communi y li ing.
Comunidades en
ansiciónSpain Za zalejo,
Mad id 26
T ansi ion Ini ia i es, CSA, collec i e space,
anspo a ion, was e managemen , pa icipa o y
budge s.

Sus ainabili y 2020,12, 795 17 o 24
Table A1. Con .
Name o he Case S udy Coun y Loca ion G id
Sco e Summa y
Red Hue os U banos
Comuni a ios Spain Mad id 39 Many small ga dens will g ow small people who will
change he ci ies.
Tu u a Social cu ency Spain Vilano a i la
Gel ú29 P omo ing collec i e ci izenship p ojec s, including
social cu ency.
Sie a Oes e Ag oecologica
Spain
Sie a Oes e de
Mad id (19
Municipali ies)
24 Regional pa ne ship o ag oecological de elopmen .
Mon equin o (Dos
He manas) Spain Se ille 14 Pe macul u e p ojec o local esilience.
Jaén en T ansición Spain Jaén 37
T ansi ion Ini ia i e. The p ojec op s o local ini ia i es
ha a e mo ing owa ds economic deg ow h and good
li ing.
Mu cia IT - Inno ación y
T adiciónSpain Mu cia 35 Pa icipa o y In eg a ed Sus ainable U ban
De elopmen s a egy.
Implemen a ion o he
local digi al cu ency in
he con ex o in elligen
public spending
Spain
San a Coloma
de G amene ,
Ba celona,
Ca aluña
37 Local cu ency o p omo e social and democ a ic
economy.
Mós oles en T ansición Spain Mós oles 29
T ansi ion ini ia i e wi h he pa icipa ion o he
municipali y; implemen a ion o a new ci y model ha
aces he ecosocial challenges.
Vilawa Spain Viladecans,
Ba celona 31
Reduc ion o ene gy consump ion wi h inno a i e ools
(local cu ency).
Växjö Sweden Ci y 38 Mo e han 30 yea s o wo k on sus ainabili y.
Ai quali y: An engaging
na a i e
Uni ed
Kingdom Sou hamp on 40
Conce ns abou poo local ai quali y and heal h ha e
helped c ea e close collabo a ion be ween local o icials,
councilo s and g oups o esiden s.
Ca ing Town Uni ed
Kingdom
Ma ke Town o
To nes (and
su ounding
dis ic ), Sou h
Hams, De on
45
Local ne wo k o public, olun a y and p i a e
o ganiza ion coming oge he o pool esou ces, skills
and ideas.
Pollina o P ese a ion Uni ed
Kingdom
Monmou hshi e
18 P ese ing bees in a ansi ion con ex .
Town O cha ds Uni ed
Kingdom Cheps ow 15
The plan ing o o cha ds on own council land gi ing
he communi y he oppo uni y o pick sus ainably
g own local ui .
Walking Bus Uni ed
Kingdom Cheps ow 17
The c ea ion o a walking bus o encou age school
child en o walk o school educing emissions and
c ea ing a heal hie li es yle.
Clima e P o ec o s
Uni ed
S a es o
Ame ica
Sonoma
Coun y,
Cali o nia
35
The “clima e p o ec o s” is a well-s uc u ed
collabo a ion in e ms o p omo ing clima e ac ion, bo h
om public and go e nmen s, wi h se en yea s o
expe ience.
Sanc ua y School
Uni ed
S a es o
Ame ica
Milwaukee 10
P omo ing healing a s wi h public, special
“unde se ed communi ies” and “mino i ies.” C ea i i y
seems o play a g ea ole.
T ansi ion Cen e
Eme ging Sus ainabili y
Cul u e
Uni ed
S a es o
Ame ica
Cen e Coun y,
Pennsyl ania 45
The p ojec ´s ocus is on p omo ing a sha ed ision,
planning, and ne wo king. They gi e g ea impo ance
o economy.
Compos pickup in Media
PA
Uni ed
S a es o
Ame ica
Media,
Pennsyl ania 19 Recycling ood was e in a ansi ion con ex and
collabo a ion wi h municipali y.
T ansi ion S ee s pilo
p ojec - Des Moines
Clima e Ac ion Plan
Uni ed
S a es o
Ame ica
Des Moines,
Iowa 30 Clima e Ac ion Plan wi h a ansi ion con ex .
Building Communi y
Resilience h ough
G ass oo s and
Go e nmen
Collabo a ions
Uni ed
S a es o
Ame ica
Sonoma,
Cali o nia 59
Decade o success ul collabo a ion be ween g ass oo s
and local go e nmen ha ca alyze wide-scale
communi y ac ion.
Sus ainabili y 2020,12, 795 18 o 24
Appendix B
Table A2. Analyses o eigh cases o local collabo a ion, including go e nance model, policies, ools, and wo k in p og ess.
Case His o y Go e nance Model Policies and Tools Wo k in P og ess
Daily Ac s,
Sonoma, Uni ed
S a es o Ame ica
Founded in 2002, Daily Ac s (DA) is an educa ional NGO
whose pu pose is o be a ca alys o pe sonal and
communi y ans o ma ion. A e unning
communi y-based sus ainabili y educa ion p og ams o
i e yea s, DA ecognized ha pa ne ing wi h LGs was a
c i ical pa hway o build o ganiza ional capaci y and a ec
sys emic change.
Meanwhile LGs ecognized ha DA could o e (1) a unique
abili y o engage he communi y; (2) sus ainabili y expe ise;
(3) ope a ing in a cos -e ec i e way. The i s con ac o a
join educa ional p og am was signed wi h he ci y o
Pe aluma in 2007 and o he s ollowed. The main ba ie
ini ially was aluing DA’s se ices.
Go e nmen pa ne ships a e based on
egula yea ly inancial con ac s o
implemen sus ainabili y p og ams.
DA engages sus ainabili y expe s and
a wide ange o non-p o i s, businesses,
go e nmen agencies, and o he
o ganiza ions ac oss he gamu o
sus ainabili y- ela ed issues. DA wo ks
wi h app oxima ely a dozen di e en
alliances and ne wo ks.
Beyond la ening leade ship and
mo ing i o he edges o he
o ganiza ion and wo king in coali ions,
DA is mo ing in a p og amma ic
di ec ion ha mo e deeply engages he
leade ship o communi ies.
DA was bo n ou o a pe macul u e design
app oach wi h he unde lying e hical
p inciples o ea h ca e, people ca e, and
ai sha e, and he p ima y me hodology
being o ake an in eg a ed and
holis ic app oach.
DA wo k wi h go e nmen agencies is a
co e s a egy o a ec ing wide-scale
communi y ans o ma ion while building
o ganiza ional and mo emen capaci y in
he communi y esilience ield. Some o he
co e ope a ing p inciples a e (1) sha ed
leade ship; (2) nu u ing non-p o i
ne wo ks; (3) wo king wi h business and
go e nmen ; (4) doing bo h p og am
implemen a ion and ad ocacy wo k.
DA p omo es ‘homeg own p og ams’
ans o ming homes and landscapes in o
p oduc i e, esilien ecosys ems—educa ional
ou s expose people o inspi ing and p ac ical
examples; wo kshops help people de elop
p ac ical skills; ga den ins alla ions and
landscape ans o ma ions help people wo k
oge he o c ea e p ac ical ac s o
ans o ma ion.
‘Communi y Resilience Challenge’ is an annual
campaign o inspi e wide-scale collabo a i e
ac ion. Ac i i ies p omo ed ange om
plan ing ui ees o ins alling g eywa e and
ainwa e ca chmen sys ems o commi ing o
educe was e, shop local, and hos ing
neighbo hood po lucks.
Ecobai o, São
Paulo, B azil
Inspi a ion o Ecobai o came om educa ional expe iences
ela ed o Eco illages (2004). The ini ial ounde s (La a
F ei as and Paulo San os) go oge he wi h o he people
and p esen ed he p og am in 2005, ecei ing ins i u ional
suppo om he Ci y Council and Uni ed Na ions.
Bigges challenge in he beginning was he lack o public
awa eness. The p og am is now also ope a ing in Sal ado
and Fei a de San ana.
Ecobai o is an endu ing p og am om
he Roe ich Ins i u e o Peace and
Cul u e o B azil. In São Paulo i is
hos ed by he o ganiza ion Casa
U us a i. The e is a s uc u e o
coo dina o s, ad ise s, and nuclea o s,
wi h a sys emic app oach o leade ship.
Decision-making is always in g oup.
Focus on u ban sus ainabili y and
eco-neighbo hoods, while connec ing
di e en le els, om pe sonal o plane a y.
P ojec is g ounded in he ‘mo he ’s
pedagogy,’ based on an analogy wi h
mo he hood ( os e ing alues as deep
inclusion, ca e, in ui ion, openness, and
lexibili y). Use ools like Non iolen
Communica ion o Open Space and he
amewo k o SDG.
Ac i i ies include ec ui men o olun ee s;
ac i e dialogues wi h local agen s and
uni e si ies; campaigns, ainings, exhibi ions,
and wo kshops on en i onmen al p ac ices
and opics; ne wo king wi h he Global
Eco illage Ne wo k and T ansi ion Mo emen ;
collabo a ing in local public ini ia i es like
UMAPAZ (Open Uni e si y o En i onmen
and Cul u e o Peace) and Municipal Council
o En i onmen and Sus ainable
De elopmen .
Ene gy Func ion,
Emilia Romagna,
I aly
In 2008 “Mon e eglio Ci àdi T ansizione” was he i s
T ansi ion Ini ia i e in I aly and s a ed i s ac i i y wi h a
qui e isible, o icial and unusual s a egic pa ne ship wi h
he Municipali y. Toge he hey led ac ion on he Co enan
o Mayo s and succeeded in in ol ing he whole ‘Unione di
Comuni’ (6 municipali ies). This was he basis o a
pa ne ship wi h he egional b anch o ANCI (Na ional
Associa ion o Municipali ies), in 2009, aimed a eplica ing
his example and c ea e suppo ools. CURSA (Uni e si y
Conso ium o Socioeconomic and En i onmen al
Resea ch) joined he e o on he behal o he na ional
En i onmen al Minis y.
A e a ew yea s o expe imen s was e iden he need o a
gene al amewo k o make easie he day by day
challenges posed by he complexi y o he di e en con ex s.
I is belie ed ha ene gy issues (and
he necessa y ansi ion o a low-ca bon
economy) b ings new challenges o
local go e nance and should be
included as a new municipali ies’
unc ion (changing legisla ion).
The Ene gy Func ion (EF) should be a
local policy ans e sal o all exis en
policies; ocused on acili a ion and
suppo o amilies and businesses;
g ounded in mul i-le el go e nance;
s ic ly dependen on he peculia i ies
o he e i o y (na u al and social
capi al); u gen while ha ing a
medium-long e m pe spec i e.
The p inciple o designing he EF we e:
ha ing a gene al, sys emic amewo k easy
enough o be unde s ood wi h a simple
lea ning cu e and ha ing a way o
o ganize all he a ailable ools,
me hodologies and needed in o ma ion o
hose ying o wo k in he ield.
In spi e o he name, he ac ual model o
he EF can hold much mo e han “ene gy
issues” being a sys emic ool s ongly
inspi ed by he T ansi ion wo k, sys em
hinking, and a ious heo ies o change
app oaches. I has a s ochas ic design.
The Ene gy Func ion app oach is based on a
ela ionship g id ha holds he “scena io” and
an in ended pa e n language da abase ha
con ains ools and needed in o ma ion. All is
designed o be p ac ical and g ounded on
eali y bu wi hou simpli ying he complex
en i onmen and se o condi ions and
ela ionships eal li e p esen s.
The EF was indica ed as a necessa y ool on he
Regional Ene gy S a egy o Emilia Romagna
bu kep unde de eloped.
Sus ainabili y 2020,12, 795 19 o 24
Table A2. Con .
Case His o y Go e nance Model Policies and Tools Wo k in P og ess
Fu u e Ci y
D esden 2030+,
D esden,
Ge many
In 2015, he Fede al Minis y o Educa ion and Resea ch
(BMBF) launched he Fu u e Ci y o Sus ainable
De elopmen compe i ion. Th ee phases we e conside ed:
(1) De elopmen o a common ision; (2) planning; (3)
implemen a ion. D esden’s go e nmen decided o apply in
2015 and is one o he se en inalis s going o phase 3 in
2019, ecei ing a ound one million eu os o ha pu pose.
The p ocess is d i en by he
municipali y h ough a p ojec manage
who o med a ‘Fu u e Ci y eam.’ Fi s
p ojec pa ne s we e wo scien i ic
bodies, he Leibniz Ins i u e o
Ecological U ban and Regional
De elopmen and he Knowledge
A chi ec u e a he Uni e si y o
D esden (wi h expe ience in designing
p ocesses o wo king wi h people). In
phase 2 o he pa ne s joined (e.g.,
public anspo company and ene gy
p o ide ) and a g oup was o med.
In ol emen was es ic ed o some
mee ings and a con e ence. S onge
collabo a ions a e expec ed in phase 3,
wi h join implemen a ion o p ojec s.
People om ci il socie y we e in ol ed
and he e is a sense o exci emen wi h
he possibili ies o collabo a e.
The ini ia i e ollows he inspi a ion om
he T ansi ion Mo emen , empowe ing
people o ac a hei own places, c ea ing
ooms whe e hey can mee (“people own
he ci y, and hey should be he ones
de eloping i ”). In his way, i is conside ed
a pionee ing p ojec in he go e nmen .
Discussion ooms ha e been s eamlined o
suppo people in he p ocess o c ea ing
p ojec s. Fo example, iden i ying
objec i es, p oblems o sol e, use ul
pe sonal expe iences and skills, e alua ion
c i e ia, e c.
The ini ia i e concen a es on he p ocess as
designed by BMBF, ollowing wha was
included in he applica ion.
In his phase (2) e o s a e di ec ed o
codesigning p ojec s.
Al hough his planning phase is conside ed oo
abs ac by some pa icipan s, i is belie ed
ha i is a ec ing how people ace
sus ainabili y issues and hei own ole in he
ci y. S onge connec ions a e belie ed o be
he g ea es ou come a his s age.
A ca alogue was p epa ed wi h all he ideas
ela ing o educa ion, campus and ci izen
knowledge; neighbo hood; ene gy; sus ainable
economy and business model; mobili y; u ban
space; ci izen pa icipa ion; cul u e and capi al
o cul u e.
Jungapeo en
T ansición,
Jungapeo,
Mexico
The NGO ‘P o Desa ollo In eg al del Municipio de
Jungapeo’ was c ea ed in 2015 (g ass oo s’ ac i i ies s a ed
in 2005), ocused in local, in eg al de elopmen . In 2016 he
local mayo challenged he NGO o ans o m Jungapeo
in o he i s o icial T ansi ion own in M
é
xico, which led o
a signed ag eemen .
Ba ie s a e mis us ed based on p e ious bad expe iences;
apa hy by he popula ion; sho exe cise o powe o he
municipal au ho i ies; lack o con inui y due o o e wo k.
Jungapeo en T ansición (JET) is
managed by a ull- ime s a dependen
on he CBI. I is g ounded in a ma ix
o ganiza ion wi h h ee axes (social,
ag icul u e, and ou ism) and i e
componen s ha in e ac wi h he axes
(ecology, cul u e, heal h, educa ion, and
spo s). Collabo a ion wi h
municipali y is suppo ed by egula
b ie ings and by in i ing membe s o
he municipali y o wo kshops and
ac i i ies.
Local agen s a e in ol ed, also h ough
ocal g oups (child en, s uden s,
business, eache s, elde s).
Inspi a ion comes mainly om he
T ansi ion Mo emen . I in ends o
“e adica e he men ali y o assis encialism
and dependency” and empowe he
communi y o iden i y hei needs and help
o esol e hem.
Collabo a ion be ween LGs and CBIs is
expec ed o g ow based on us and
con idence a i ing om join success ul
ac i i ies—small ini ial s eps wi h big
isibili y.
Tools like socioc acy, coaching, and
Robe ’s Rules o O de a e used o os e
inclusion and pa icipa ion.
O ganized ac i i ies ange om cleaning i e s
o compe i ions o hono ing he dead
(embedded in Mexican cul u e), local ma ke s
o d y oile s.
An educa ional app oach is he ocus,
including wo kshops o elde s, you h and
o he g oups.
Rega dless o he se e al esul s ha ha e
emana ed om own p ojec s, hey ha e been
able o obse e ecen “ou b eaks” o
spon aneous and o de ly eamwo k among he
local popula ion, “as i he T ansi ion E ec
we e con agious.”
Moni o ing includes egula and ex ensi e
su eys o pa ne s, bene icia ies and public.
Sus ainabili y 2020,12, 795 20 o 24
Table A2. Con .
Case His o y Go e nance Model Policies and Tools Wo k in P og ess
MARES, Mad id,
Spain
The economic c isis o 2008 inc eased unemploymen and
u ban social-spa ial seg ega ion. Dinamia (social consul ing)
joined he municipali y, Tangen e and Vi e o de Inicia i as
Ciudadanas ( wo collabo a i e pla o ms) wi h he idea o
suppo ing exis en CBIs ela ed o social and solida i y
economy. O he pa ne s joined he ini ia i e.
MARES is a pa ne ship cen alised in
he Council. Se e al pa ne s
pa icipa e in he execu i e, economic
and inance commi ee (wi h o ing
igh s) and s ee ing g oups (led by
di e en pa ne s). Con ol p ocesses
we e de ined, such as managemen
plan, quali y plan, isk assessmen plan,
e alua ion sys em and moni o ing,
handbook o in e nal communica ion
and decision making.
The ocus is on u ban economic esilience.
I in ends o s eng hen he eme ging
oppo uni ies in s a egic sec o s ( anspo ,
ood, was e, ene gy, and ca e, MARES in
Spanish). I seeks o coope a ion among
local ac o s, social inno a ion and he
ac i e p oduc i e in ol emen o ci izens.
The base is o “pu he people be o e he
p o i .” Use ools like he co-design o he
euse o disused buildings and public
spaces; mapping ci izens’ compe encies;
analysis o ca e needs and p oposal o
alue chain; lea ning communi ies.
Ini ia i es o collec i e sel -employmen by
means o inc ease awa eness, aining and
suppo o ci izen g oups. The bigges
challenge is he gene a ion o eal pa icipa o y
public policies in he unc ional and social
ields. The e a e expec s ou comes like a
change o anspo o low emission models,
implemen a ion o enewable ene gies and
ene gy e iciency, imp o ed ca e o olde
people and o he in ancy, consume o local
p oduc s and ag oecologic ood, hope ully
gene a ing employmen .
RubíB illa, Rubí,
Spain
In 2008 he RubíCouncil joined he Co enan o Mayo s,
wi hin he Eu opean ini ia i e o educe ca bon emissions.
A Plan o Ac ion o Sus ainable Ene gies was p epa ed
ex e nally, wi h he suppo o Ba celona Council. The Rub
í
B illa ini ia i e s a ed in 2011.
Angel Ruiz, wo king o he municipali y and p i a e
en ep eneu , played a key ole by b inging expe ise and a
business pe spec i e.
RubíB illa is a se ice p o ided by he
municipali y and managed by a
wo king g oup o eigh in e nal
echnicians. Ene gy expe s ha e been
hi ed in 2013 and se e al collabo a ions
a e es ablished wi h ex e nal en i ies.
A speci ic pa ne ship is buil wi h
schools and o he public o ganiza ions,
whe e decisions a e aken
collec i ely—in his con ex sa ings
om in es men in ene gy e iciency
a e locally ein es ed (50% in new
measu es o ene gy sa ing, leading o
a posi i e eedback loop).
The ini ia i e uses he economic ac o as
he leading mo i a ional ac o and
p io i izes economic ools commonly used
in he business sec o . Using he ‘pa e o
p inciple’ hey ocused on ene gy e iciency
in public buildings. Subs an ial emissions
and cos educ ion we e achie ed so
‘p o i s’ we e ein es ed in new ac ions
(ene gy e iciency and enewable ene gy).
The clea cos -cu ing is used as an
a gumen o con ince p i a e pa ne s.
A majo pa o he wo k done ela es o he
p i a e sec o (indus y accoun s o 40% o
emissions). This is mos ly done by p omo ing
echnical mee ings wi h he bigges ene gy
use s, we e lea nings a e sha ed and suppo is
p o ided. This includes collabo a ions wi h
he Poly echnic Uni e si y o Ca alunya.
O he ac i i ies include p o iding moni o ing
apps o amilies, ene gy cen e s a
neighbo hood le el, and buying
elec ic ehicles.
Da a moni o ing is a key ac i i y, including
eal ime checking o consump ion and
e iciency indica o s. Ci izens a e p o ided
wi h in o ma ion on ene gy cos s in public
buildings and s ee ligh ing.
Växjö, Sweden
The municipali y saw a need o es o e he local lakes in
1969 and he en i onmen al ocus has con inued since hen.
In 1993, LG app o ed a local en i onmen al policy and in
1996 decided o become a ossil uel- ee municipali y. In
1999, a Local Agenda 21 s a egy o Sus ainable Växjö was
adop ed. In 2006, he LG’s En i onmen al P og am was
ag eed (upda ed in 2010 and 2014).
Se e al pa icipa o y e o s (polls, mee ings
. . .
) ha e been
ied bu he esul s we e unsa is ac o y.
The de elopmen has been d i en by
municipal depa men s and
municipally-owned co po a ions. Since
May 2016 he e is a sus ainabili y g oup
which is pa o he de elopmen uni
o he municipal managemen . The
g oup has wo poli icians assigned o i
and o mula es he En i onmen al
P og am. I is up o each ope a ion uni
o b eak his down in o ac ionable,
budge ed s eps wi h measu es ela ed
o he goals.
The main p inciple is o p omo e a s ong
poli ical leade ship wi h bold decisions.
The basic app oach, since 1969, has been a
sequence o poli ical decision >s ee ing
documen s >goals >municipal
boa ds/co po a ions plans >budge s >
ollow up>publica ion in annual epo
wi h goal sco eca ds.
To assu e con inui y h ee main ac o s a e
conside ed: (1) Consensus among pa ies;
(2) di ec in ol emen o poli icians; (3)
s ong managemen s uc u e in place.
Wo k is unde way o align he p og am
wi h he SDGs ( eady 2019).
The En i onmen al P og am’s measu able
goals a e planned and moni o ed h ough
Växjö municipali y’s managemen sys em.
Each municipal s ee ing boa d and company
a e esponsible o ul illmen o he goals as
well as o deli e s a is ics. The annual epo
is publicly a ailable.
Mul iple ou comes a e isible, like be e ai
and wa e quali y, g een spaces, o
sophis ica ed was e so ing.
The e is a eeling o p ide in being a he
o e on o en i onmen al de elopmen .
Sus ainabili y 2020,12, 795 21 o 24
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