Linking Shadow Networks and Transformative Social Innovation: an Analytical Framework towards Sustainability Transitions in Mediterranean Forest Communities.

To cite this document: Saad, G. (2025). Linking Shadow Networks and Transformative Social Innovation: an Analytical Framework towards Sustainability Transitions in Mediterranean Forest. Instituto Superior Técnico, University of Lisbon. DOI 10.5281/zenodo.17642047 (CC BY 4.0) December 2025 Linking Shadow Networks and Transformative Social Innovation: an Analytical Framework towards Sustainability Transitions in Mediterranean Forest Communities Guilherme Saad Ximenes Supervisor: Professor Maria do Rosário Partidário RQ / Conceptual Model Figure 01. Conceptual PhD Research Model PhD Research Questions (RQs): (RQ1) What is the linkages between shadow networks and niche dynamics in Transformative Social Innovation (TSI)? (RQ2) What is the role of informal shadow networks in driving TSI towards ST in Mediterranean forest territories? (RQ3) How can we support and strength the potential of shadow networks towards sustainable Mediterranean forest communities? PhD research aims to investigate and explore the role (and potential) of ‘shadow’ networks in driving transformative social innovation towards sustainable Mediterranean forests communities Literature Review Forest ‘Shadow’ Networks Forest Communities = Self-defined, formal and informal, rural and urban forest user groups with shared values, knowledge and interests in forest management (IUCN, 2001) Communities = Social systems where people have a degree of interaction and interdependence, developed networks and social capital (Joerin et al., 2014) Shadow Networks = Informal networks of individuals or groups linked by shared values and common interests acting alongside formal institutional structures (Gunderson, 1999; Olsson et al., 2006) Self-organizing processes Political Independence Social Capital New ideas / Innovation Main features of Shadow Networks: (based on several authors – Literature Review) Figure 02. Types of collaborative networks (Bodin, 2017) Literature Review Social Network Theories Figure 03. Types of collaborative networks (adapted from Bodin, 2017) Basis: Sociometry – Moreno, J. (1934), ‘father’ of Graph Theory Structuralism approach – Warner, W. (1941) / White, H. (1976) Main theories linked to Innovation (+ / -): Homophily - "birds of a feather flock together“ (Lazarsfeld & Merton, 1954; McPherson et al., 2001) Strength of Weak Ties (Granovetter, 1973;1983) Centrality – structural position of influence / power (Freeman, 1979) Social Capital - Bonding x Bridging Ties: oBond ties (Coleman, 1988) oStructural Holes / Bridges (Burt, 1987; 2001) not mutually exclusive, but complementary (Adler & Kwon, 2002; Rost, 20119 Niches  Informal ‘shadow’ networks Invisible spaces, incubators of novelty and experimentation, where transformative SI can emerge and challenge, alter, or replace dominant regimes outside the dominant regime - often marginalized social groups (DRIFT) Transformative Social Innovation (TSI) Most SI emerge from small-scale level – niches (MLP) (Westley et al., 2013, 2017) Figure 04.MLP on sustainability transitions (EEA 2019 based on Geels, 2006) Literature Review Transformative SI refers to changes in social relations, involving new ways of doing, organizing, knowing and framing, which challenge, alter and/or replace dominant institutions in a specific societal context (Avelino, 2017; Avelino et al., 2019; Haxeltine et al., 2013, 2016) Niche Dynamics in Sustainability Transitions (ST) Figure 05.Niche development stages (based on Lopolito et al., 2011; Hermans et al., 2013) Literature Review Niche dynamics as processes through which innovations emerge from “protected spaces”, evolve, and potentially challenge or transform dominant regimes – MLP approach. (Kemp et al., 2001; Geels & Schot, 2007; Haxeltine et al., 2016; Pel et al., 2020; Pel & Kemp., 2020; ) Stage IVStage IIIStage IIStage I PresentPresentPresentAbsentConvergence of expectations PresentPresentAbsentAbsentBuilding networks PresentAbsentAbsentAbsentLearning and experimentation FullProto-nicheEmbryonicAbsenceStatus Protected spaces Collective vision Network building Learning and experimentation Empowerment and Agency Main features of niche dinamics: (based on several authors – Literature Review) Analytical Framework Figure 06. Analytical Framework linking Shadow Networks and Niche Dynamics (TSI) towards Sustainability Transitions in Mediterranean forest territories Figure 07. Multiple-Case Study Procedure (based on Yin, 2018: 95) Research Methodology Case Study Research Multiple-Case Study Design: ●Define and Design ●Prepare, Collect and Analyse ●Analyse and Conclude Data collection (techniques): Archival and document analysis Research diaries / Field work Interviews with key actors / survey with forest communities Data analysis (procedures): Thematic / Content Analysis Social Network Analysis (SNA) Case Studies Criteria for selecting case studies 1. Mediterranean Basin in Europe 2. Forest fire-prone areas – high fire risk and/or severe recent events 3. Similar context ( literal replication ) and different context ( theoretical replication ) 4. Forest communities' network with potential to drive TSI towards ST in forest territories 5. Opportunity to financial support to enable in-depth / empirical research of case studies Figure 08. Map of case studies selected in the research