Developing alternative plans for the Belo Monte
Hydroelectric Dam Complex in Pará/Brazil based on the
Reflexive Interactive Design
(RIO) approach.
Research ProposalStudent: Verena Suadicani
Student ID: 12377538
Master program: Earth Sciences, Track: Environmental Management
Examiner: Prof. Dr. John Grin
Faculty of Social and Behavioral Sciences
Program group: Transnational Configurations, Conflict and Governance
Assessor: Prof. Dr. Marc Davidson
Faculty of Natural Sciences, Mathematics and Computer Science Institute for Biodiversity and Ecosystem Dynamics
November 9th, 2019 Amsterdam, The Netherlands
Table of content:
Summary
………..………. 1
Introduction
………....…………..………..2
Theoretical background
………....…………..…...2
Research problem and aim
………..…...8
Research questions
………...….…....11
Methodology
………..………...….11
1.Preliminary research (reflexive)……….……...13
1.1 System analysis………..…….………..13
1.2 Definition of goals………...…...13
2.Requirements assessment (interactive)……….…...……14
3.Structure and concept design (reflexive and interactive)...14
3.1 Identification of possible structural rearrangements………...14
3.2 Proposals……….…....……..15
Data management
……….………….….15
Time schedule
………..………..…..16
Budget
……….………..……...16
Summary
The Belo Monte Hydroelectric Dam Complex in Pará/Brazil is currently the biggest and most controversial project in the Amazon, raising many environmental and social concerns. This research proposes to combine the relevance of progressively generating renewable energy with concepts involving system innovation and transition management. In order to anticipate and facilitate the transition towards a more sustainable and ethical Belo Monte system, this research will be conducted following a design-oriented approach called Reflexive Interactive Design (RIO - in Dutch). By increasing the reflexive character of society's innovation efforts, relevant actors of the current system plan a deliberative and participatory assessment that includes technical and social aspects of societal systems for production and consumption (in the energy domain). The study is based on a qualitative assessment that intends to stimulate those who are striving for a change in the current hydroelectricity generation system of Belo Monte and to inspire those who have the power to do so.
Introduction
Defined as the largest and most biodiverse rainforest, containing also the greatest drainage basin on earth, the Amazon region is seen in Brazil as a great potential for hydropower development, raising many environmental and social concerns. The Belo Monte Hydroelectric Dam Complex in the Brazilian federal state of Pará is currently the largest project in the Amazon. When fully constructed, it will become the second biggest hydroelectric plant in Brazil and the third largest in the world (Sousa Júnior & Reid, 2010).
In Brazil, hydroelectric power is the primary source of electric energy, which is obtained through a common technological model involving massive dams and extensive transmission lines (Sousa Júnior & Reid, 2010). The Belo Monte project gave rise to much controversy since its early development in the mid 1970s. The concerns involve the high costs of construction, the potential environmental impacts, the inconsistent power-generation estimates due to seasonal aspect of the Xingu river and the forced relocation of the affected indigenous and riverside communities. The web of interest attributed to this project is deeply complex, resulting in major social and environmental conflicts. These concerns imply the awareness that the current Belo Monte Hydroelectric Dam Complex needs to shift towards a more sustainable and ethical system. The following research intends to merge the knowledge gained from previous studies on the relevance of progressively generating renewable energy, as stated in the main world climate conferences and environmental assessments (such as IPCC, Kyoto Protocol, EU 2030 and Paris Agreement), with concepts involving system innovation and transition management.
The Belo Monte Hydroelectric Dam Complex is currently under construction and it is planned to be completed by 2020.
Theoretical background
Since the 1980s, the concept of sustainability has increasingly become a central objective in the political domain, justifying proposed and conflicting actions to be bargained (Dixon & Fallon, 1989). Sustainability derived from the word “sustain”, a term that is synonymous with “supported”, “endured” or “maintained” (Gomis et al., 2011). That is, the term implies the vision of a type of future that does maintain the conditions for its endurance. However, the term “sustainability” for this research is referred to the concept of sustainable development, as the redirection of change that integrate economic wealth, environmental stability and social union (Kemp et al., 2005), referring to the Three Pillars of Sustainability (fig.1). The Three Pillars of Sustainability declare the collective responsibility to improve and to encourage the interdependent pillars of sustainable development by reinforcing economic and social development and environmental protection (Robert et al., 2005).
Figure 1. The Three Pillars of Sustainability (Gomis et al., 2011).
The concerns about the social and environmental impacts, as well as the questionable economic risks arising with the current Belo Monte Hydroelectric Dam Complex are expressed in literature in a shared sense of importance, exposing the awareness that the respective system is in need of a fundamental transformation towards sustainable development. The following theories elaborated by Grin et al. (2010) in the book "Transitions to Sustainable Development - New Directions in the Study of Long Term Transformative Change" are addressed in order to (I) understand the current system, as well as its patterns, instabilities and entrenched problems. Thus, its (potential) dynamics of a transition towards a more sustainable Belo Monte system will be perceived so that, finally, (II) proposals for its governance can be developed.
A transition is described as a series of continuous transformation processes that shape society over time. Although transitions do not occur homogeneously, different development pathways provide opportunities for a transition to arise. The direction, scale and speed of the pathway can be influenced, for instant, by government policy, but never completely controlled (Rotmans et al., 2001). Transition management aims to direct certain transitions into a preferred pathway, in which the change can be influenced and intervened with different approaches, in other words, it is a mode of governance of transitions. Since the BeloMonte Hydroelectric Dam project appears to have a disconnection between the political/economic and the social/environmental domains (fig. 2), the aims of the transition theory will support a better understanding of the current system in Brazil concerning hydropower generation and therefore, the perception of the necessary means that can influence or facilitate the transition towards a more resilient societal system, which promotes sustainable energy generation.
Figure 2. Disconnection between domains in the current Belo Monte system. Environmental/social in disagreement with political/economic domains.
While the term transition means literally the process of change from one state to another, in transitions research the term is attributed to the process of change from one system to another that resulted from a set of nonlinear disruptive changes that took place in different levels and domains, yet continuously reinforcing each other in order to generate a qualitative change in the societal system (Loorbach et al., 2017). The multidimensional aspect of a transition can be visualized by the Multilevel Perspective, as seen in fig. 3.
Figure 3. Multilevel Perspective illustrated by the co-evolution between landscape, regimes and niches (Loorbach et al., 2017).
The Multilevel Perspective is based on three levels: niches, regimes and landscapes. Those concepts are linked to each other, in which regimes are set within landscapes and niches within regimes. This component hierarchy supports different kinds of coordination and structuration of practices. Each
functional level differs in stability and size; social networks involving novelties (niches) are relatively small and unstable while the ones involving regimes and landscapes are larger, structured and thus stable. Regimes present articulated rules and stable configurations, whereas landscapes include broader structures with exogenous trends. The concept of regime is the main notion in transition studies. In the socio-technical context, regimes help to explain path dependencies of current socio-technical systems regarding specific technologies, such as a hydroelectric power plant. Thus, the dominant configuration (regime) and its interaction with external pressures and preferences (landscape), as well as, with novelties and alternatives (niches) can be better understood through the underlying patterns of historical transitions and the combined processes of innovations (Loorbach et al., 2017).
Critical here are the alignments between those levels; niches support emerging novelties while regimes and landscapes select and diffuse those novelties (Grin et al., 2010). For that reason, transitions only occur when trends, developments and events on the three functional scale levels are aligned and enhance each other to the same pathway. Path dependencies of societal systems are unable to change through optimization and thus, lead to tensions and problems in the system (Loorbach et al., 2017). When external crises (landscape), internal tensions (regime) and innovative alternatives (niches) align and potentially disturb the current system, the latter reorganizes toward a new equilibrium.
During this research, the governance of changes will be focused on the regime and niche level, as well as in between. However, events and trends on the landscape level - for instance, a future energy crisis in Brazil - can together with instabilities in the regime and niche levels (fig.4) be strategically used in the governance of activities (Grin et al., 2010).
Figure 4. The Multilevel perspective on transitions dynamics and the variety of pathways (Loorbach et al., 2017). The analysis of a system based on the Multilevel Perspective enables not only a better understanding on how problems arising with hydropower plants in Brazil persist, but also allows insights on patterns of the multilevel dynamics in a certain domain (Grin et al., 2010). The variety of processes on different levels may have divergent orientations, that might be hindering a transition to occur. The dynamic multilevel interactions indicate the transitions that emerge from interactions between processes at different levels (Grin et al., 2010), as seen in fig. 4. Novelties at the niche level are crucial for initiating a transition. However, coordinating the regime level to be respectively aligned is determinant for a niche-innovation to diffuse. In other words, the Multilevel Perspective facilitates the interactions between levels in a system, showing up opportunities for transitions.
The functioning socio-technical system as a whole comprises different social groups, such as policy-makers, users and scientists. Those social groups share a mutual dependency as they interact and form networks with each other (Grin et al., 2010). Therefore, crucial for this research will be the concept of socio-technical regimes, characterized by the intergroup coordination. These organizations are more invulnerable to fundamental changes, since they create a web of interdependent relationships between the involved actors, developing patterns of norms and ideology as well. (Grin et al., 2010). The separate trajectories of those social groups share, therefore, distinctive perceptions and
preferences during their own structuration dynamics. Nevertheless, different groups interact and form networks with common dependencies, establishing the functioning of the socio-technical system. Thus, different trajectories co-evolve in socio-technical systems, leading to the overlapping of groups. It is, therefore, crucial to analyse the independent development of social groups as well as their interdependence, in order to understand their loss of integration and their reintegration into the system. Coordinating trajectories implies the coordination of the distributed agency of actors involved in the system that are accessible for adopting activities focused on structural change. The governance perspective, as presented by Grin et al. (2010), emphasizes the quality of transitions as fundamental changes in established practices and in the structure in which they are entrenched, as an reflexive approach to consider patterns of change (Loorbach et al., 2017). Secondly, it focuses on how those changes in practices and structure are influenced by exogenous tendencies in a certain domain. Governance contributes to the historical contextualizing of the transition towards a more sustainable Belo Monte system, taking into account the reason and origin for common problems to persist. The purpose of analysing the governance of transitions here is that it considers the influence of involved actors in transition processes. Searching for new insights that bring unsustainable constraints to an end and for disruptive innovations that empower the transformative capacity of a system, the governance in transition research explores how the agency of actors can be encouraged to contribute to a transition. Transition governance, therefore, focuses on targeting strategies to stimulate context-specific solutions developed in multi-actor networks (Loorbach et al., 2017). The presented theories add insight into the opportunities for transformative interventions in the Belo Monte system. Since sustainable development is the key to achieve a pertinent future, in which the current and coming generations are able to enjoy the benefits of living in a stable and ethical society as much as of ecosystem services, the enjoyment of the steep slopes and mighty water flows in the Amazon region for hydropower generation is evidently still in need for improvement. The theory of transition management can determine the necessary changes in the system. Managing the transition to sustainable energy as well as to sustainable use and management of natural resources, like water, aims at shaping and redirecting processes of co-evolution (Kemp et al., 2005). Those co-evolution processes, as supported by Kemp et al., 2005, involve changes in needs and desires, whereas the patterns of interactions over societal issues can be shaped by redesigned systems of governance. Given the complexity and the multi-dimensional aspect of transitions, the fragmented condition of the Belo Monte system is not suited for dealing with the desired long-term change.
Bos & Grin (2012) declare that sustainability is a result of not only technical innovation - in the case study as a run-of-river dam - but also of the reorientation of the current socio-technical regime. The so-called double track governance focus on establishing a functional connection between the coordination of regime-actors that aim at structural change and the development of novel practices. Structural change and the reorientation to a more sustainable pathway is fundamentally sustained by the term reflexibility (Bos & Grin, 2012), which is defined as "the self-critical and self-conscious
reflection on processes of modernity. Here the actors reflect on and confront not only the self-induced problems of modernity, but also the approaches, structures and systems that reproduce them" (Brauch et al., 2016). The latter still remains marginal from the theories of ecological modernization and the ongoing environmental policy unification (Feindt & Weiland, 2018).
By considering the concept of environmental ethics, as described by Jeffrey (2005), a measure for the evaluation of impacts in projects of this scale can be established more precisely. Environmental ethics is based on the moral philosophy of people - which involves knowledge, capacity, choice and significance - regarding our responsibility towards natural landscapes and resources as well as non-human living beings. Taking into account that environmental ethics is a diversified discourse, Attfield (1991) presents the egalitarianism principle as a satisfactory attempt to regard the biosphere as a community, unifying the commitment to matters related to humanity, nonhuman animals and the environment. This principle implies that all entities in the ecosphere are part of an interrelated whole and are, therefore, equal in intrinsic value. We are fully aware of our potential damages caused to nature as we have also the capability of preventing and remediating them (Jeffrey, 2005). Therefore, the knowledge of human impact on the environment makes us morally obligated to reflect and, if necessary, to act on it.
Research problem and aim
Considering the need of progressively generating renewable energy as stated in the main world climate conferences and environmental assessments (such as IPCC, Kyoto Protocol, EU 2030 and Paris Agreement), hydroelectricity is the most important one due to its high level of reliability, proven technology, high efficiency and low operating and maintenance costs. It is obtained by the gravitational potential energy of water, usually contained through a dam. The generated power is proportional to the height of the waterfall and the outflow of the liquid. During the generation process, before it becomes electric energy, it must be converted into kinetic energy. The transformation from kinetic to electric energy takes place when the water flows into an hydraulic turbine, which drives an electric generator (Electricity Fundamentals, n.d.). This water movement can occur naturally or artificially, created by a dam, such as the Belo Monte Hydroelectric Dam Complex.
In contrast to the electricity generated from fossil fuels, hydroelectricity uses the waterflow (velocity and mass of water, delivered by gravity) as its "fuel", which is stated as a clean, renewable and cheap energy source. Hydroelectric power is the primary source of electric generation in Brazil, reaching an notable amount of 82,8% (Bermann, 2007) of the electricity consumption while the world average hydropower consumption lies around 16% (Sperling, 2012). The use of water for electricity generation marks an important pattern for the development of the Brazilian engineering. The use of the hydraulic potential of a certain fraction of a river is ensured by a dam which, consequently, formes a reservoir. Those reservoirs store water and regulate the waterflow, ensuring energy availability for an extended amount of time (Bermann, 2007). Therefore, the use of hydric resources for electricity generation has been considered a priority in Brazil. Yet, the installed capacity of hydropower plants that are currently operating reach only 28,4% of the hydroelectric potential in the country (Bermann, 2007). This situation justifies the persuasive expansion of hydropower projects in Brazil, bringing along social and environmental consequences.
Half of the hydropower generation capacity in Brazil is located in the Amazon region, specifically in the rivers Tocantins, Araguaia, Xingu and Tapajós. The unsustainable character of hydroelectricity companies is linked with physical, chemical and biological complications that arise from the hydropower plant interaction with the surrounding environment where it has been constructed (Bermann, 2007). The main environmental complications are:
● Deforestation and elimination of the riparian forest. ● The change in the hydrological regime.
● Reduced quality of water, caused by the still water trapped in the reservoir that hinders the decay of effluents.
● Emission of greenhouse gases (methane and carbon dioxide) caused by the decomposition of plants underwater without oxygen.
Considering the social issues caused by the installation of hydropower plants, the affected riverside and indigenous communities are consistently disregarded, as argued by Bermann (2007). A hydropower plant imposes their compulsory displacement and the actual participation of the affected communities in the decision making process of hydroelectric enterprises is the biggest challenge, presenting barriers that are hard to overcome. Conflicts arising from the violation of the material and cultural bases for existence of those affected communities are commonly suppressed by the respective entrepreneurs, who focus essentially on the economic principles. On the other hand, riverside communities and environmental organizations who achieve in exposing the conflicts, use essentially environmental and humanitarian principles (Bermann, 2007). This assumption demonstrates the entrenched and, therefore, persistent problems that repeatedly arise with the installation of hydropower plants in Brazil over the years. However, those issues can be better analysed when understanding the origin of the disconnection between environmental/social and political/economic domains in Brazil, as suggested in the Theoretical Background.
The Belo Monte Hydroelectric Dam Complex project is an interesting case involving the generation of renewable energy and strong popular opposition. The main reason for implementing the project lies exclusively on the expansion of energy supply due to the estimated economic growth in Brazil, although the country is not experiencing any energy emergency. Another controversial aspect is the chosen territory for the construction of the hydroelectric plant, which was selected due the favorable slopes of the Xingu river for energy generation and the declining population that reside on the projected areas to be flooded (Sousa Júnior et al., 2006), aiming to reduce social impacts of the project. Nonetheless, Belo Monte symbolizes one of the biggest contemporary conflicts with the indigenous population of the Amazon.
Literature provides information on the social and environmental impacts of hydroelectric power plants in Brazil, but it can be noticed that these studies do not include a more profound analysis about the reason for the problems to persist. This research gap opens space for further discussion, attempting to propose new alternatives to reduce the prevailing impact during the installation and management of new power plants.
Aside from allowing grounds for debate on the meaning of sustainable development, the concept of environmental ethics generates new opinions, which can have an influence on beliefs and values and, consequently, redirect governance towards a more sustainable future. It is useful to remark that both concepts, environmental ethics and sustainable development, are partly derived from a human rights perspective, where “development” is people centred and participatory, as much as environmentally friendly (Jeffrey, 2005). Therefore, the constant improvement of ideals should enhance such integration, where the entire population of individuals - including the vulnerable, minorities and indigenous people - have a relevant participation in the development and thus fairly benefiting from
In order to conceive the Belo Monte Dam Complex as a sustainable and ethical project, the economic interests of some stakeholders should not overlap nor raise issues to other stakeholders or actors. Taking the environmental ethics perspective into account, nonhuman interests must be acknowledged in order to realize the desired sustainable development. However, considering the environmental problems of the present time and the ongoing debates involving sustainable development, the current values and beliefs demonstrate that people are able to intuitively sense whether something is inappropriate, though it’s still not agreed what obligations people may hold in its respect (Attfield, 1991).
In this context, it is observed that literature providing traditional alternatives to the Belo Monte conflict based on environmental criteria and on economic criteria are frequently found. The difficulty in assisting group decisions is eminent, since those assessments seem to adopt a principle of homogeneity of conflicts (Cuoghi, 2015), which do not consider the divergent opinions between the involved actors in a proper way.
Thus, from the normative perspectives of environmental ethics (egalitarian) and sustainability, the Belo Monte Hydroelectric Dam Complex raises concerns. It has been subject of several criticism regarding its decision-making process during the construction of the project. How come that such difficulties rise time and again, as Bermann stipulates? According to the transition theory (Grin et al, 2010), the ecological consequence that emerged from modern socio-technical systems typically displays the risk and side effects of these systems. As the desired practice (electricity generation) is embodied in the current societal structure, these problems exhibit a certain persistence. In order to address such problems, the underlying systemic failures must be discussed through system restructuring and, subsequently, transitioning it from one dynamic equilibrium to another (Loorbach et al., 2017).
Given the complexity of the persistent problems associated with the installation of hydropower plants in Brazil and the clear need for a more future-oriented ethical and sustainable energy supply system, the aim of this research is to develop alternative plans for the Belo Monte Hydroelectric Dam
Complex that can support efficient and sustainable hydroelectricity without having major adverse effects on the social and economic development in Brazil. Therefore, the following
objectives are fundamental in order to obtain new feasible alternatives for the respective hydropower plant:
I. To analyse persistent problems of the Belo Monte system from two normative perspectives (environmental ethics and sustainability) and to understand their systemic roots according to transition studies by investigating the incumbent regime; the dominant practices and their institutional, discursive and material structural embedment.
II. Based on the objective above, insights from governance of transition will be used to explore attractive and feasible redesigns of the Belo Monte system. Its associated practices and their structural embedment will be considered as well.
Research questions
Hence, the purpose of combining the theories presented by Grin et al. (2010) is to describe and explain the feasible transition mechanisms, patterns and pathways concerning the transition into a more ethical and sustainable Belo Monte system by answering the research question:
➔ To what extent and how may an alternative plan for the Belo Monte Dam Complex be developed that does not have major adverse effects to social and economic development while guaranteeing efficient and sustainable energy generation?
The following sub-questions raise support for the decision making process to be strategically analysed in this research through transition governance ideas, whereas the Multilevel perspective is considered for aligning the dominant regime with emerging alternatives in the Belo Monte system:
→ What regime dynamics are ongoing or being promoted by persistent problems, instabilities and external pressures?
→ What is the sustainable state of the energy supply system supported by the Belo Monte Hydroelectric Dam Complex?
→ Which strategies can be developed through the Belo Monte’s multi-actor network that empower technical and social transformative solutions for a more ethical and sustainable Belo Monte system?
Methodology
The research will be conducted following a design-oriented approach called Reflexive Interactive Design (RIO - in Dutch). This approach establishes a common basis of the assessment for system innovation, in which the transition to a more sustainable Belo Monte system is anticipated and facilitated through the respective design and design process. The latter functions as a tool that allows processes of change at the niche level as well as at the regime level to align (Bos & Grin, 2012). This approach demands a closer analysis on how the energy sector has developed for decades, seeking to understand barriers to novel practices as indicators of structural flaws that need to be remedied, to avoid repeating mistakes of the past and break through the persistence of problems. By increasing the reflexive character of society's innovation efforts, relevant actors can plan a deliberative and participatory assessment that includes technical and social aspects of societal systems for production and consumption (in the energy domain). This empowers the interactive exchange between the involved actors. In order to satisfy the aim of the proposed research, a qualitative assessment will be hold.
The sequence of the following methodology consists of three phases that will be developed in chronological order; (1) during the preliminary research, information about Belo Monte's network, regime practices, prevailing problems and main actors will be collected through a literature review. The gathered information is fundamental to determine the needs, challenges and goals of the Belo Monte Hydroelectric Dam Complex. (2) In order to define key functions for the restructuring of Belo
Belo Monte Hydroelectric Dam Complex will be assembled. During this phase, qualitative information will be collected through interviews with the relevant stakeholders and actors in the respective system, which will result in a list of requirements. Afterwards, (3) feasible solutions will be explored, remediating barriers, aiming to design new structural rearrangements for an alternative plan for the Belo Monte Hydroelectric Dam Complex that converges the gathered requirements. Finally, the proposals will be reported back to the actors in order to trace this research progress and to allow the designs to be potentially modified and reshaped. A visual representation of the proposed workflow is portrayed in fig. 5.
Figure 5. Workflow of the proposed research. Blocks represent analysis and activities while diamonds represent outcomes.
The elements of the RIO approach are precisely suited for projects that contain a heterogeneous set of sustainability challenges (Elzen & Bos, 2019). Particularly here, the environmental damage that emerged from the dam construction, the indigenous communities welfare, public acceptance and companies’ profitability. The respective design process is related to the philosophy of system thinking and to system innovation theory, merging an interactive approach to the problem and, therefore, searching for feasible, adequate and, most importantly, attractive solutions (Bos et al., 2008). As introduced by Bos & Grin (2012), a technical improvement is not the only aspect to contribute to the sustainable development, but also the coordination of the relevant actors in the system, allowing a structural change to occur. Thus, integrating the dynamics of processes at innovative practices (niche level) and structure (regime level) by designing new structures and concepts for the Belo Monte Dam Complex results in mutual reinforcement to achieve a desired transition (Bos & Grin, 2012) . The design process of RIO is expected to align the dominant configuration of the system with innovative practices and to make functional connections between the relevant actors of the Belo Monte Dam Complex, facilitating, therefore, a system innovation.
1. Preliminary research (reflexive)
1.1 System analysis
To start with, a reflection on the current structural arrangements of the system will be carried out analytically through a literature review. The collection of information on the current functional network of the Belo Monte Dam Complex enables a more profound understanding of the reason for the lack of interaction between actors of the political/economic and the social/environmental domains, as seen in fig. 2. Since this study is not just a matter of technological elements (power generation), the relationships and connections between the actors involved (human and non-human) and their motivations establish the dynamics of the current system. This section will, therefore, demand a systematic reflexion on the current structural settlement, including the identification of the needs regarding the relevant actors, as well as, a systematic analysis on the regime practices and their connection to the current function of the respective Hydroelectric Dam Complex. Thereby, the practices at the regime level (social, institutional or cultural) that may be preventing the formation of novel practices will be exposed (challenges). The challenges aim (a) to provide a concrete perception of the main barriers that that ought to be overcomed and (b) anticipate the formulation of desired goals - based on the three pillars of sustainable development and on the concept of environmental ethics (egalitarian) - designed for the long term. As presented in the theoretical framework, most challenges persist because they are profoundly rooted in the structure of a system and, therefore, connected to a certain desirable result. An historical contextualization will enable to assess the origins of the main problems surrounding the current Belo Monte system and evaluate their interconnection. Typical to any technological system, the hydroelectricity sector is extremely heterogeneous. The respective sector’s operations, functions and development path are influenced by a socio-technical regime, in which economy is regarded as a first concern. The complexity of the system requires this study to analyse the case study from different perspective (e.g. socio-technical, sustainability and ethical) in order to identify the structural roots of the main problems found.
1.2 Definition of goals
Since this research aims at serving as a general guideline for a more sustainable hydroelectricity generation through the extensive Belo Monte Dam Complex, a precise delimitation of the fundamentals for sustainability in the Belo Monte system will specified. Comparing the current Belo Monte system to its desired sustainable state, the sustainability and ethical goals of the desired Belo Monte system will be assessed based on the needs and challenges acquired in the previous section. An interdisciplinary review will be required in order to gain a deep insight on different disciplines such as hydropower generation, hydroelectric plant management, ecology, economy and communication. The scientific knowledge gained will then enable the development of envisioned goals that are feasible in this study. Desired and suitable goals will be proposed according to the respective barrier and need, which they are connected to. A template will be created, which will include the main needs, challenges and goals established. The template will be send in advance to the actors that are going to be interviewed, allowing them to reflect on it. The relevance of defining the main needs, challenges and goals is that it contributes to the anticipation of the projects’ restructuring. This will later on be presented to the relevant actors, in order to provide them a concrete reflexion about the current system and its main barriers that need to be remediated throughout this research.
2. Requirements assessment (interactive)
Firstly, a quantitative consultation will be carried out in order to measure the satisfaction of the relevant actors regarding the current Belo Monte system. Based on a Likert scale, they will indicate their level of agreement or disagreement on five statements (from "strongly agree" to "strongly disagree") about current system functions. The results will be later compared with the agreement level obtained by the end of this study. The objective in this section is the assemblance of aspects that each of the relevant actors prioritise in regard to the Belo Monte Hydroelectric Dam Complex. The qualitative data will be collected through a structured interview, which includes questions developed for the same purpose. In parallel, semi-structured interviewing is also expected to occur so that there is less restriction on the information to be found out (Bryman, 2012). The interviews during this section will be held by telephone or in person. Some of the actors, such as the indigenous community Juruna, may not be easily accessible through telephone calls. The individuals to be interviewed should be associated to the Brazilian energy supply system and to the governmental body for energy policies and guidelines, as well as, ones dependent on the energy to be generated and others impacted by the Belo Monte Dam Complex. Since ordinary routines are within the rooted structures and, therefore, do not make matters explicit (Bos et al., 2008), involved actors increase their problem notion in the dominant socio-technical regime by interacting with the needs, challenges and goals of the current system. The template of section 1.2 will be discussed with each of them in order to determine their priorities regarding the current Belo Monte project. The motive for their preferences will be considered and associated with the scientific knowledge gained from the literature review and from the system analysis. Beliefs, opinions and positioning of the actors regarding a sustainable Belo Monte Dam Complex will be discussed. The interviews will be based on a questionnaire survey, whereas discussion and observations will be taken into account in the data analysis. If necessary, they will be audio-recorded in order to subsequently transcribe the data in detail. The data analysis will be fundamentally about reducing the information gathered by grouping the material into categories. The outcome of this section will be a list with the actors’ requirements for a desired Belo Monte system. These requirements will be translated into the key functions, which contribute to the adequate performance of the desired system.
3. Structure and concept design (reflexive and interactive)
3.1 Identification of possible structural rearrangements
This section aims at disconnecting undesired side effects related to key functions. Those relations will be decoupled for new possible structural rearrangements in order to give the opportunity for innovative practices to settle into the desired situation. The structural rearrangement should also be capable of maintaining the desired system for the long-term. It is likely that specific solutions causes other challenges to be overcomed, as the system is always interconnected. In order to disconnect a desired effect from an undesired side effect, an interactive discussion will be held with the involved actors. Therefore, a second dialogue (by telephone or in person, depending on the interviewee) will be necessary. The possible solutions can be developed as suggested by Bos et al. (2008):
● As one actor comes up with a solution that may generate an undesired side effect, another can think of a replacement that does not cause the same side effect.
● One can propose a new system function that transforms an undesired side effect into a desired effect.
In this section, creativity will be essential in order to generate the respective solutions. The reflection on undesired side effects will lead to the interaction of actors to create solutions. As an outcome of these discussions, new feasible ideas and perceptions that enhance ideally more than one dimension of sustainability (environment, economy, society) regarding the Belo Monte Hydroelectric Dam Complex are created. Proposals and interventions that lower or completely remove barriers at the regime level will be discussed. Discussions will be audio-recorded in order to transcribe the ideas in detail.
3.2 Proposals
The previous sections are supposed to provide some promising structural rearrangements that fit into the aim of this study and appear feasible and appealing to the involved actors of the Belo Monte system. However, they are not expected to be the complete solution, as they serve as intentional interventions into the current system and also as inspiring working approaches that should be continuously transformed by the relevant actors. Therefore, the design process and the resulting concepts are designated to initiate a structural change (Bos et al., 2008) in the Belo Monte system. In this section, some possible structural combinations will be proposed, preventing, therefore, a broad and possibly nonspecific structural design due to the complexity of system. It is presumed that new involved actors arise from the new proposed designs. The new designs will be reported back to the relevant actors as a written document. A quantitative consultation will be carried out in order to measure the satisfaction of this study's outcomes as well as the likeliness of each actor to apply the knowledge gained. The involved actors will receive a draft of the resulted structure designs and, based on a Likert scale, they will indicate their level of agreement or disagreement on five statements (from "strongly agree" to "strongly disagree") about the study's outcomes. The indicator will be, respectively, presented as a chart that will be compared the agreement level obtained in section 2.1. Comparing the level of satisfaction of the actors involved in the Belo Monte system before and after this research will expose the potential progress of using a reflexive interactive approach for dealing with structural and systemic challenges. This research intends to stimulate those who are striving for a change in the current hydroelectricity generation system of Belo Monte and to inspire those who have the power to do so.
Data management
Based on the FAIR data principles, this research will meet the requirements by making the data: - Findable:
Since this study will be followed through an independent research work, the data does not contain a persistent identifier. This study involves qualitative data, in which interviews will be transcribed into Microsoft Word documents. As for the quantitative data obtained by the Likert scales, Microsoft Excel charts will enable the visualization of research outcomes.
- Accessible:
- Interoperable:
The research will be written in English, which remains as the dominant language for global communication. Even though the interviews will be conducted in Portuguese, the same will be translated into English in order to make the qualitative data of this research accessible, interpretative and exchangeable to anyone.
- Reusable:
Every document will contain the name of the interviewee, as well as, the hour, date and place of the respective interview. It will be specified whether the interview occurred in person or by telephone.
Time Schedule
The research will begin with an intensive literature review, in which the current Belo Monte system will be analysed more deeply. The literature review will last up to one month, to enable the collection of important information for the continuity of the research. Subsequently, the data will be collected through interviews with the relevant actors of the system, which is expected to last up to one month. At the same time, the gathered data will start being assessed in order to define the key functions for the new desired Belo Monte system. Two months are predicted for the data assessment, which in the second month will concurrently begin the design process of finding possible structural rearrangements of the system and developing proposals for the Belo Monte's governance. The design process can last up to two months. During the two last months of the project, the final thesis report and presentation will be prepared.
Budget
The interviews are planned to occur in the city of Altamira, in the Brazilian federal state of Pará, where the Belo Monte Hydroelectric Dam Complex is situated. Housing in São Paulo/ Brazil will be provided by other means. Therefore, only travel costs will be required.
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