Individual and collective agency and capabilities in learning communities for the energy transition

Individual and collective agency and capabilities in learning communities for the energy transition | Research Square window.SnipcartSettings = { analytics: { enabled: false } }; (function() { var accessVector = localStorage.getItem('access_vector') || ''; window.dataLayer = window.dataLayer || []; if (accessVector) { window.dataLayer.push({ user: { profile: { profileInfo: { snid: accessVector } } } }); } })(); (function(w,d,s,l,i){w[l]=w[l]||[];w[l].push({'gtm.start':new Date().getTime(),event:'gtm.js'});var f=d.getElementsByTagName(s)[0],j=d.createElement(s),dl=l!='dataLayer'?'&l='+l:'';j.async=true;j.src='https://www.googletagmanager.com/gtm.js?id='+i+dl;f.parentNode.insertBefore(j,f);})(window,document,'script','dataLayer','GTM-K279D39R'); Browse Preprints In Review Journals COVID-19 Preprints AJE Video Bytes Research Tools Research Promotion AJE Professional Editing AJE Rubriq About Preprint Platform In Review Editorial Policies Our Team Advisory Board Help Center Sign In Submit a Preprint Cite Share Download PDF Article Individual and collective agency and capabilities in learning communities for the energy transition Maaike Konings, Miranda de Hei, Ellen Sjoer This is a preprint; it has not been peer reviewed by a journal. https://doi.org/ 10.21203/rs.3.rs-7380499/v1 This work is licensed under a CC BY 4.0 License Status: Posted Version 1 posted You are reading this latest preprint version Abstract In learning communities (LCs), various parties from public, private and civil society organizations come together to deal with ever-changing ‘wicked situations’, as for the energy transition, while developing the capabilities of participants and their organizations. This requires agency processes at both individual and collective levels. This study aims to provide insight into both factors influencing agency and individual and collective agency processes within LCs for energy transition. For this purpose,15 open-ended interviews were conducted with stakeholders of existing LCs in the energy transition in the Netherlands. The analysis used the Capability Approach (CA), which focuses on an opportunity and process aspect. The results show that within the opportunity aspect, conversion factors such as socio-ecological and organizational factors, as well as access to resources including human and social capital play a crucial role in capability development. In addition, structural constraints within the LC, such as social norms and the role of the facilitator, appear to be essential for LC effectiveness. The study concludes that by taking into account opportunities and creating opportunities, agency processes at the individual and collective level can be optimized. Therewith, goals and values are identified, and (inter)actions taken lead to value for individuals and collectives. Earth and environmental sciences/Environmental social sciences Biological sciences/Psychology Social science/Psychology Figures Figure 1 Figure 2 Figure 3 Figure 4 Figure 5 1. Introduction Education for sustainable development (ESD) empowers learners of all ages to make informed decisions and takes individual and collective action so as to change society and care for the planet (UNESCO, n.d.). However, generic learning programs insufficiently reflect the needs of employees, their organizations, and the challenges in society (Emanuel, et al., 2022 ). Challenges related to sustainable development, such as the energy transition, will have to be tackled in a transdisciplinary way focusing on the ever-changing ‘wicked situation’, rather than fixed policies and pre-programmed solutions (Teisman, 2019 ; Noordegraaf, et al., 2019 ). According to Billett ( 2004 ) learning in this kind of settings is a balance between affordance and agency; learning is shaped by the opportunities and constraints of the social setting, such as expectations and norms; the type of learning environment; personal values ​​and interests; and access to resources as knowledge and means. Individuals choose to engage in activities and interactions, dependent on their own preferences and goals. Learning communities (LCs) are especially suited to deal with ‘wicked situations’ in the energy transition and simultaneously strengthen agency and capabilities of participants, organizations and the LC itself. This is because in these partnerships participants with various backgrounds work together across the boundaries of their organizations and deal with a combination of complexity, uncertainty and value divergence (Schipper et al., 2023 ; Veltman, et al., 2021 ). As shown in Fig. 1 , they cooperate in a socio-ecological context, exchanging and connecting different forms of capital (Carayannis & Campbell, 2010). According to Carayannis, et al. ( 2012 ), universities can bring in ‘human capital’, in the form of research, for example. Companies can provide the LC with ‘economic capital’, by means of machinery, products and technology. Governance on the other hand focuses on political and legal capital through, for example, laws and plans. The public influenced by culture and media, integrates and combines both social capital and information capital (Carayannis, et al., 2012 ). In the extended case where all these parties are involved in the LC, there is a public- private- people- planet partnership (Carayannis, et al., 2024 ). In this study, we define a learning community as a dynamic system in which one or more groups of cooperating participants from various public, private and/ or people organizations and other (non- or less organized) parties are dealing with shared ‘wicked situations’ and create value for the participants, their organizations, the LC itself, the planet and society (based on Schipper, et al., 2022 ; Emanuel, et al., 2022 ; Carayannis, et al., 2024 ). The value in this definition refers to value created through social learning and contributes to the ability to make a difference (Wenger-Trayner & Wenger- Trayner, 2020). Recent studies on LCs often address design principles, but are less focused on the dynamic nature of LCs (Schipper, et al., 2022 ). Working together in an LC presupposes an agentic role for participants; they are in charge of what they experience and of how and what they learn. Agency allows people to pursue their goals and interests (Wenger-Trayner & Wenger-Trayner, 2020 ). In an LC, individual and collective goals are identified and capabilities are deployed to contribute to solutions to ‘wicked situations’. In addition, value can be created for participants and their organizations. Agency is required at both the individual level of participants representing their organizations and at the collective level of the LC. The aim of this article is to provide insight into both the factors that influence agency in LCs for energy transition and the agency processes at individual and collective levels. In doing so, we aim to contribute to empowering and further developing LCs. We used the Capability Approach (CA) as described by economist and philosopher Amartya Sen ( 1999 ; 2009 ). We regard it an appropriate theoretical framework for the following reasons: In LCs, value is created for a collective goal e.g. energy transition, but at the same time people learn and develop themselves and achieve individual goals. Unlike other standard evaluation methods, The CA approach consider humans not only as means of production, but also as ends of development (Robeyns, 2016 ; Alkire & Deneulin, 2009 ). The perspective of value within the CA resonates with the notion of caring to make a difference, in which agency is central (Wenger-Trayner & Wenger-Trayner, 2020 ). People's interactions and actions are based on what they value or have reason to value (Sen, 2009 ). The CA is considered a suitable framework for the analysis of well-being and sustainability, including in the energy transition, that can only be addressed collectively (Seckler & Volkert, 2021 ; Griewald & Rauschmayer, 2014 ). The CA pays attention to both individual and collective agency and capabilities (Ibrahim, 2006 ). 1.1 Capability approach Capabilities and agency are core concepts of the CA and are considered as two distinct but equally important and interdependent aspects (Alkire & Deneulin, 2009 ). People’s capabilities to function in life are their “effective opportunities to undertake the actions that they want to engage in, and to be whom they want to be” (Robeyns, 2005 , p. 95). The capabilities people have, depend on access to resources and conversion factors (Ibrahim, 2014 ). According to the CA, resources, e.g. material and non-material goods and services, including various types of capital, are not automatically translated into capabilities (Pelenc, et al., 2015 ). As illustrated in Fig. 2 , available resources are first converted via conversion factors. These factors determine the extent to which a person can actually use available resources (Griewald & Rauschmayer, 2014 ; Robeyns, 2016 ). In addition, Robeyns ( 2016 ) indicates that so-called ‘structural constraints’, including legal and social norms, also affect a person’s capability set. According to the CA, people’s capabilities to function is linked to the opportunity aspect of freedom (Alkire & Deneulin, 2009 ). It refers to the actual opportunities that people have, given their circumstances, to pursue their goals. In other words, it refers to the ability of people to achieve what they value, no matter the process (Sen 2009 ). In the CA, the concept of agency deals with the process aspect of freedom, which gives importance to the process of choice itself (Alkire & Deneulin, 2009 ). It allows freedom of actions and decisions and refers to people’s capability to change their own situation according to their goals and values (Sen, 1999 ; 2009 ). Sen ( 1999 ) defines an agent as “someone who acts and brings about change” (p. 19). Vecchio & Martens ( 2021 ) argue that where the term 'constraints' often refers to the transfer of resources through conversion factors to capabilities, the term 'choice' is of great importance in the transfer of capabilities to functionings (see Fig. 2 ). Functionings are therefore defined as choices successfully achieved, and they “represent what people have succeeded in being or doing” (Sen, 1985 b, p.19). Individuals can undertake action to achieve their own self-regarding goals and improve their own capabilities, but they can also undertake actions to achieve goals other than their own, bringing positive changes to (their) society (Ibrahim, 2014 ). Some sustainable choices involve a (voluntary) reduction of well-being of others (Sen, 2009 ). For example, when people’s view is obstructed by windmills. It is therefore important that decisions are not externally generated or imposed, but are a product of deliberative (public) reasoning and agency (Pelenc et al., 2015 ). Sustainable choices can only be achieved collectively (Leβmann, 2022). Responsibility, sympathy and generosity are essential to achieve commitments and shared values in pursuing sustainable development (Seckler & Volkert, 2021 ). Organizations provide some of their individual resources, such as human capital, within the social and environmental context, that result in the first collective capability (Pelenc et al., 2015 ), in our case: being able to contribute to energy transition by being involved in an LC. What follows is a complex continuous and iterative process through acts of collective agency with the possibility of developing new individual and collective capabilities and functionings benefiting both individuals and their communities. Conversion factors and structural constraints play a role in this process (Ibrahim, 2006 ).The CA can serve as a framework to better understand individual and collective agency and capabilities, contributing to more effective LCs for energy transition in the Netherlands. Therefore, the study addresses the following research question: To what extent can individual and collective agency and capabilities in LCs focusing on the energy transition be related to both the opportunity aspect and the process aspect of freedom as described in the CA? 2. Methods 2.1 Terminology In this study, we focus on agency in LCs, both at the level of participants and organizations to pursue individual goals (individual agency), and at the level of the LC. in order to deal with ‘wicked situations’ in the energy transition (collective agency). Although organizations can be considered collective actors, we conceptualize them as if they were individuals (based on Griewald & Rauschmayer, 2014 ; Pelenc, Bazile, & Ceruti, 2015 . Participants with various backgrounds, expertise and knowledge represent the different organizations within the LC and its internal groups, including students, teachers, scientists, workers, citizens and policymakers. The LC is regarded as a collective actor, bringing together different value perspectives and ways of working. (see Fig. 3 ). 2.2 Context This study involved 15 already existing LCs in which the various organizations were mutually dependent to pursue their goals. At least two categories of public, private or people's organizations were represented in each LC: education- and knowledge institutions, companies, government and civil society organizations. The partnerships covered sustainable energy solutions, energy transition, and innovative research and knowledge sharing related to energy transition. They focused on developing technologies (such as smart grids, wind and solar energy), educational projects, energy conservation and policy-making. 2.3 Respondents Fifteen open interviews were conducted with stakeholders involved in energy transition initiatives. These respondents were active in their own organizations as founders and strategists, systems integration specialists, wind energy experts, knowledge managers, energy systems researcher, Chief Technology Officer, Director of Cooperative Development, or Energy Transition Program Manager. In the LCs, respondents fulfil roles as facilitators, coordinators, managers and researchers, and represented educational institutions (6 interviews), government (1 interview), civil society organizations (2 interviews) and companies (6 interviews). They derive from the network of the NWO project TransAct, which focused on LCs in installation engineering, and from Energy Transition- Talent in LCs, which focused on LCs in the energy transition in solar, wind and hydrogen. 2.4 Data collection The interviews focused on assessing the appropriateness of the opportunity and process aspect identified in the CA literature to LCs involved in energy transition. Additionally, these interviews sought to reveal any unique influencing factors and agency processes specific to LCs which may not have been captured in the literature. An approach with open-ended questions was used to obtain a holistic understanding of existing LCs. The conversation themes covered a range of topics at both an individual and a collective level, including themes such as goals, value creation, strategies, interactions, facilitation, reflection, and context. All participants were interviewed individually in 2022 and in 2023, during 60-minute interviews that were audio-recorded. The participants were asked for permission to record the interview. In addition, all participants signed a form to consent to the use of the data obtained. In line with ethical research practices, the data collection was subjected to an ethical review process. This process included evaluation and approval by the THUAS Ethics Committee to ensure that the research adhered to ethical standards and guidelines. 2.5 Data Analysis Interview transcripts were analyzed using the qualitative data analysis software package Atlas.TI. The coding scheme was based on the opportunity aspect and process aspect of the CA (see Fig. 4 ). As described in CA literature, the opportunity aspect was divided into conversion factors, resources and structural constraints (Griewald & Rauschmayer, 2014 ; Robeyns, 2016 ). Within the resources, we used the different forms of capital as described in the introduction and we related social capital to the network of potential participants in the LC. Within the conversion factors, we distinguished socio-ecological (Carayannis et al., 2012 ), organizational (Pelenc et al, 2015 ) and personal (Robeyns, 2005 ) factors. We applied the structural constraints concept specifically to the LC and focused on social norms and aligning resources. The process aspect was divided into identifying goals and values, using and developing capabilities, and achieving functionings. Furthermore, within the process aspect a distinction was made between the individual level of participants and organizations, and the collective level of the LC as a whole and its internal groups. In parallel to using the described codes for the analysis, open coding was used, in search of new influencing factors and agency processes on a sublevel. 3. Results The results below are based on the 15 interviews as described in section 2 Materials and methods. We summarize the statements of the respondents in the description of the opportunity and process aspect. 3.1 Opportunity aspect Based on CA literature, the opportunity aspect is divided into conversion factors, resources and structural constraints (see section 1.1 Capability Approach). 3.1.1 Conversion factors Conversion factors were found to play an important role in LCs' access to resources from partners in particular. Three categories proved to be important conversion factors: socio-ecological factors that determine the joint social and ecological direction of the LC (based on Carayannis, 2021), organizational factors (based on Robeyns, 2005 ) and personal factors of participants in the LC (based on Pelenc et al., 2015 ). These factors serve both as barriers and promoters of individual and collective capabilities in the LCs. 3.1.1.1 Socio-ecological factors Hindering factors : Existing structures in the economy, described by the respondentss as: focused on profit and shareholder value, hinder a shift to a sustainable value stream. Continued government support for these economic models makes it more difficult for LCs to make changes essential for the energy transition. Distrust of large companies can lead to resistance among citizens to participate in energy transition initiatives, especially in less prosperous neighborhoods. In addition, innovations in the energy sector may have unintended negative consequences for the natural environment. ‘The urgency is that more and more wind farms are built at sea, and the fear is that at some point this will go beyond the carrying capacity of nature and thus eventually leads to loss of bird populations’ (respondent 7, company) . Promoting factors ‘ The whole context of climate policy, the acceleration of energy transition, that all helps (respondent 11, company)’ . The government has a crucial role to play by encouraging innovations by LCs through subsidies, regulations, and tenders. For instance, the Dutch government offers subsidies for sustainable initiatives such as ventilation systems or energy solutions, and offers companies and knowledge institutions the opportunity to contribute to the energy transition in innovative ways. There is a growing need in the construction and energy sectors to work on sustainable solutions in a transdisciplinary way, which fosters the emergence of LCs in this field. Citizens are not only seen as consumers, but also as investors and co-owners of sustainable energy solutions in LCs, fostering their involvement and keeping value local. 3.1.1.2 Organizational factors Hindering factors Organizational factors can hinder effective collaboration, e.g. differences in working culture between academic institutions and companies in focusing on long-term versus short-term results as well as varying urgency and motivation to participate in collaborative projects. Strict, standardized systems within organizations can also hinder innovation and collaboration. Such systems are often not flexible enough to implement new ways of working and new ideas. Having to deal with new contracts and legal documents repeatedly is perceived as time-consuming and sometimes frustrating. This leads to delays and reliance on personal contacts to make processes work. Encouraging factors Organizations that allow flexibility in their processes and structures are more able to respond to innovative initiatives and cooperation. Knowledge about partners, for example about the requirements of educational institutions for the students, allows for timely consideration. If managers and decision-makers are aware of innovations and support them, this can have a stimulating effect on the employees involved and on the overall cooperation between organizations. ‘Accepting that it is a different form of education, and that it does not fit the standard’(respondent 3, educational institution). This also applies to willingness to have an open discussion and seek alternatives, if certain employees or organizations cannot or do not wish to participate. 3.1.1.3 Personal factors Hindering factors People with dominant attitudes or strong preferences while being unwilling to compromise can hinder cooperation and consensus building within a group. This often leads to irritation and stagnation. Cooperation can also be weakened by people who are not intrinsically motivated or who only participate for external rewards, such as credits, and by people who do not dare to take risks or stick to traditional ways of working. Personalities and backgrounds can clash. Specifically for technically savvy people, rigid thinking with strong technical preferences for certain solutions is a hindering factor in processes of change. Encouraging factors On the other hand, people who are intrinsically motivated to innovate, share knowledge and actively contribute, are an important for the collaborative process. This motivation ensures that they are actively engaged. The ability to deal flexibly with different opinions, willingness to consider new ideas, and agility in dealing with complex situations also contribute to fruitful collaboration. Innovation requires taking risks and daring to make mistakes. People with this attitude contribute to a culture of learning and creativity. Sharing ideas without fear of other organizations using them for their own gain, is seen as an important attitude. 3.1.2 Resources The conversion factors described above affect the LC's access to resources from partners. Through open coding, three other resources emerged that are essential for being able to collaborate in an LC: access to funding, learning environments and time. 3.1.2.1 Human capital It is highlighted that well-functioning LCs are diverse and include different levels of expertise, e.g. Technical University students as well as vocational educational students, who often bring practical technical skills. Some issues require very specific knowledge that is not always present in the existing groups or among the partners within the LC, requiring a search for and collaboration with other parties. ' You still have to put in a lot of energy to get the right parties. That's frustrating’(respondent 3, educational institution . In order to quickly and effectively integrate new participants into the LC, onboarding courses are organized. These courses are often taught by (former) group members who have specific expertise. Good onboarding helps to achieve quick results and makes working together more efficient. 3.1.2.2. Social capital LCs benefit from access to a broad network of companies, authorities and knowledge institutions. ' The people who are in the LC have worked together in other projects in the past. They already know each other a bit. Otherwise it would take time to get to know who spins the wheels’ (Respondent 11, company) . Building and maintaining networks with various partners is seen as essential for LCs which composition changes and evolves regularly. They play a crucial role in attracting the right people and expertise. Attracting students is often done through recommendations from lecturers, professors, and regular supervisors. When arranging groups in LCs, efforts are made to diversify the composition and include various demographic groups, such as different age groups, for example. 3.1.2.3 Information capital Access to information capital is obtained by the LC, e.g. by inviting someone from the network to give a presentation or workshop, or by attending a conference. ‘ What is happening elsewhere in the world, what are the latest developments?’(Respondent 12, company). End users, such as customers, citizens and students, are involved in the LC and enabled to communicate their needs and ideas. How to reach these target groups properly, is a tricky issue. In only a few cases they are an integral part of the LC. Although end users often have no direct decision-making power, their feedback and experience provide valuable insights that help to better align output with user needs and expectations. This leads to better results and support for implementation. 3.1.2.4 Economic capital Innovations in the energy transition require advanced technologies, such as supercomputer simulations. Partners make their economic capital available by providing essential technologies, materials and infrastructure. There is a strong reliance on collaborations with technology partners, such as universities, for fine-scale weather modelling, and grid operators for infrastructure such as hydrogen and DC networks. Partners' systems are used for software choices and digital platforms. ‘ We prefer to follow the researchers’ choice of systems’(Respondent 5, educational institution). 3.1.2.5 Political and legal capital Legislation can also play a crucial role in promoting sustainable innovation, such as by taxing CO2 and supporting renewable energy. ‘ This helps to create value streams that generate social value: turning streams of interest into streams of value’(Respondent 1, educational institution) . However, current legislation is often behind according to the respondents and does not match current needs and technological developments within the energy transition. Sometimes missing legislation causes the ad hoc drafting of rules, which slows down the innovation process in LCs. New legislation within the EU, such as data availability, can remove existing barriers and thus enable innovation. This makes it easier to adopt new technologies and methods. 3.1.2.6 Funding Many LCs encounter difficulties in obtaining grants due to strict application terms and bureaucratic restrictions. Moreover, not all acquired finances can be spent freely because of the grant’s terms. Although various funds and grants are available, especially from the government, it appears that they often do not cover overall cost. As a result, organizations have to start investing themselves with the prospect of future benefits. ‘ You now make an investment in time and funding, and you hope it will pay off for your company either in knowledge or in money or both’(Respondent 10, company). Many LCs rely on temporary grants, and without a sustainable funding model, they run into trouble when the project ends. There is a clear need for structural funding and long-term solutions to ensure continuity. 3.1.2.7 Learning environments Three learning environments emerge that contribute to LCs: 1) Physical spaces within knowledge institutions or at specific locations where participants can experiment and test in a controlled, realistic setting. Examples include labs within colleges and selected buildings used to test prototypes and software at scale. Physical spaces are also seen as essential for consultations and meetings related to both in-depth discussions and informal contacts. 2) Online Collaboration Environments, promoting the use of digital tools such as interactive systems, phones and online meetings. Online meetings are more efficient in terms of time and saved travel time. 3) On-site learning environments that allow participants to physically see what they are working on, such as visits to pilot sites. 3.1.2.8 Time Employees of companies and educational institutions must schedule time for participation in an LC in addition to their regular work, which creates additional pressure and sometimes results in not being able to contribute optimally to the LC. It remains a challenge for academics with full schedules to find sufficient time, but also for companies that must prioritize LCs that are not immediately profitable. Effectiveness is indicated as crucial. ‘So you just have little time, and within that time you just have to do it’(Respondent 6, company) . In order to ensure this, planning must take place far in advance. The use of online tools and meetings has increased people's availability, as there is no need to be physically present. This allows meetings to take place faster and more often. 3.1.3 Structural constraints The structural constraints ‘Social norms within the LC’ and ‘Aligning resources’ were coded based on Robeyns ( 2016 ). From the open coding process, ‘Structure within the LC’ and ‘Role of the facilitator’ also emerged as important structural constraints. 3.1.3.1 Structure within the LC In collaborations aimed at creating technological solutions for the energy transition, tension arises between the need for flexibility and contextual adaptation on the one hand, and the need for standardization and structured methods on the other. Strict project management structures, such as the scrum method, promote monitoring and efficiency, which is necessary for e.g. timely ordering of materials, but they can also lead to an overly structured environment that hinders innovation and flexibility. ‘ Everything is contextual..., so that requires flexibility’(Respondent 8, educational institution) . The emphasis on flexibility and avoiding a ‘one size fits all’ approach promotes organic and adaptable cooperation that takes into account specific regional contexts and needs. In addition, tension between top-down and bottom-up approaches is of influence. While a lack of high-quality process management can cause inefficiencies, an overly hierarchical approach can undermine local commitment and motivation. 3.1.3.2 Social norms within the LC Fostering a culture of open communication, transparency and trust enables fruitful collaboration. In successful cooperation processes, everyone is free to share ideas and make mistakes without fear of negative consequences (see above). Sharing concerns and discussing problems in an open environment fosters mutual understanding. ‘ If participants have seen each other once and know each other a bit better, the threshold to pick up the phone or send an email is much lower’ (Respondent 11, company). Without clear guidelines for desired behavior and protection against pitfalls, cooperation can be severely hampered. ‘ A social contract: Guys, listen to each other, don't unnecessarily try to achieve your own points at the expense of all kinds of other people’ (Respondent 14, civil society organization). Miscommunication and confusion of speech, as people with diverse backgrounds and specializations work together, can lead to frustration and inefficiency. Active listening, being open to other perspectives, and respecting different views are essential for avoiding this. Creating an ethical balance, where not the loudest voice achieves the most goals, but where everyone feels heard and where compromises are made is crucial for sustainable collaboration. 3.1.3.3 Aligning resources within the LC Clear agreements on partners' resources set out in contracts prevent misunderstandings and give direction to cooperation, such as project- or knowledge-sharing plans. Inadequate agreements on intellectual property and sensitive information can limit knowledge sharing and create mistrust, making cooperation more difficult. However, overly strict contracts can limit innovation by leaving unexpected opportunities unexploited and by stifling creativity. ‘ This will be it and we'll all sign off on this. But I don't think that [a strict contract] is the solution, because that obviously destroys the chances of any accidental innovation’(Respondent 11, educational institution). Flexibility in contracts so as to adapt them to new circumstances without damaging existing cooperation is essential for supporting dynamic developments. Regular coordination on framework conditions, such as staff deployment, promotes successful cooperation. 3.1.3.4 Role facilitator The role of facilitators is essential for the success of complex collaborations between different parties. They are independent, not overbearing, and guide the process by connecting opinions and by creating support for collective goals. This requires diplomacy and the ability to reduce conflict. The facilitator creates a stimulating environment, promotes cooperation and communication, and helps to make strategic decisions by bringing different points of view together. Flexibility and intuition are important to respond to group dynamics and needs. The facilitator organizes meetings, keeps the agenda efficient, assigns actions and monitors progress. Additionally, the facilitator collects feedback and ensures that the right people are involved at the right times. In short, successful facilitators are versatile, flexible and communicatively strong in order to successfully manage the process and collaboration. Additionally one respondent stated: ‘ That simply requires someone who has a lot of time available’(Respondent 8, educational institution). 3.2 Process aspect Congruent with CA literature (Pelenc, et al., 2015 ; Leβman, 2022), agency processes take place in LCs for energy transition based on offered opportunities through which capacities are developed, and functions are achieved at individual and collective levels. To this end, individual and collective actions and interactions are undertaken on the basis of identified goals and values. 3.2.1 Identifying goals and values Goals and values are identified at the individual level for participants in the LC and their organizations. At the collective level, they are identified for the LC, society and planet. 3.2.1.1 Identifying individual goals Participants and their organizations are especially motivated to engage in the pursuit of goals when they see the benefit for their own organization. It is important that everyone in the LC feels that they can benefit, this encourages actors to contribute. It is crucial that on the one hand the goals of participants and organizations and on the other hand collective goal or goals are well aligned. ‘And then it turns out afterwards that we didn't quite understand each other, because everyone is kind of in it from their own problem definition’ (Respondent 5, educational institution) . When goals are in line with each other, cooperation becomes easier and everyone involved contributes to the collective goal(s). However, individuals and organizations may have their own interests that clash with collective goals. Interests should be clearly expressed to each other. Through open and safe communication, potential conflicts can be managed and a compromise acceptable to all parties can be found. 3.2.1.2 Identifying collective goals It is important that both the collective end goals and intermediate goals are clearly defined. A clear vision and direction are important for the cooperation and success of the LC. Back casting, or working backwards from a desired future outcome, can help to identify the necessary steps to reach the end goals. ' When you do back casting, you put a dot on the horizon, and then you say: what happens if everything is sustainable? ...Then what do we need to do now to get the whole system working properly?' (Respondent 1, educational institution). The LC as a whole and its internal groups should focus on the main collective goals and prioritize. Without focus, there is a risk that efforts will be fragmented and the ultimate goals will not be achieved. However, this does not mean that the goals are fixed from the start. The strategy must be flexible and able to evolve as the situation changes. This includes adjusting the goals and methods based on feedback and changes in the external environment. 3.2.1.3 Set expectations of value ‘ The goal was clear, but we didn't quite know what it should look like’ (Respondent 9, company). It is essential to clearly agree in advance on what the level and quality of the anticipated value should be. This includes defining the specific requirements that a final product must meet, such as usability, government regulations, and serving the ecosystem. It is important to set realistic expectations about what is achievable within a given time frame and with the available resources. Thus, it is sometimes important to make choices between quick delivery or higher quality. Setting realistic expectations helps to avoid misunderstandings and overestimating what needs to be delivered, increasing the chances of successful completion. As with goal setting, the way in which the process develops may lead to adjustment of the requirements along the way. 3.2.2 Using and developing capabilities Capabilities are used and developed through interactions and actions at the individual level by participants in the LC and their organizations, as well as at the collective level by the LC as a whole and its groups. 3.2.2.1 Individual (inter)actions In the groups within the LC, each delegated participant has a specific task or responsibility that contributes to the success of the LC. ‘ Everyone has their own interest... and we assess what tasks match with particular expertise and interest’ (Respondent 12, company). Both formal and informal interactions between individuals play a big role in sharing knowledge and getting feedback. Interactions can take place through scheduled evaluations, presentations and progress reports, but also through informal conversations at lunch or at the coffee machine. One-to-one contact is particularly needed to discuss complex topics more thoroughly and go over calculations or details. Specialists also have behind-the-scenes meetings with executives from their own or other organizations to fine-tune issues, make decisions or solve problems. Another interaction mentioned, is that organizations, such as universities and companies, supervise students and PhD students in their research and internship assignments in the LC. 3.2.2.2 Collective (inter)actions A delegation of the organizations involved, the participants, actively work together in one or more groups to achieve the goals and values of the LC for the energy transition. The actions taken create an iterative process of improvement and innovation. Much attention is paid to carrying out basic studies and measurements, e.g. in buildings, and analyzing data based on interviews, company visits and feasibility studies. The importance of testing and prototyping quickly by the groups is emphasized, without dwelling too long on theoretical discussions. ' One of the things we do a lot in product development is build things quickly..., because then you start seeing what doesn't work. Otherwise you're going to overlook things. So doing a good analysis quickly, but also experimenting'(Respondent 6, company) . Regular consultations with partners and other stakeholders take place in order to gather feedback and implement improvements. Interactions within the groups include daily operational updates. There are also (sprint) meetings that take place every few weeks where presentations are made, progress is discussed and joint reflection on value achieved and future areas of concern. ‘ If we only evaluate the moment there is a problem, then of course we are too late’ (Respondent 11, educational institution). Formal and informal communication occurs vertically to management as well as horizontally between groups when one group builds on the other group's ideas. By organizing meetings at LC level, more people of involved organizations can be informed about previous experiences and new developments, as well as provide valuable input in terms of content and process. LC meetings often consist of workshops, presentations and guest lectures that provide inspiration and stimulate cooperation within the LC. ‘In November, we had a consortium meeting, and linked to it several workshops and consultations to brainstorm on how to proceed and what methodology we will apply took place’ (Respondent 11, educational institution). Discussions and evaluations take place both in terms of content and at the collaboration level, which allows participants to share their views on progress. 3.2.3 Achieving functionings Actions and interactions lead to functionings (see section 1.1 Capability Approach), divided into value at the individual level for participants and organizations, and at the collective level for the energy transition and the LC. Within the collective value, knowledge sharing emerged as a separate code, as it frequently showed up as an important collaborative value. 3.2.3.1 Achieving individual value Participants Through collaboration in the LC, participants continuously gain insights that can be directly applied to their daily work, such as new technologies or methodologies. By giving presentations and actively participating in knowledge sharing, through papers and conferences for example. Academics gain recognition within their field, which can help advance their careers. ‘ It is also a process of development, knowledge broadening, and socially you are trying to do something good’ (Respondent 10, company). Professional growth of participants is allied to an extensive network. Students who meet companies during a project or internship can create opportunities for future workplaces during the collaboration. Seeing progress, such as testing ideas, sparring with academics and working with young talent, gives participants both satisfaction and a motivation to contribute. Organizations Organizations strive for broader goals, such as contributing to the energy transition. Social impact is an important motivation for many parties to cooperate in a LC, but collaboration also often leads to commercial opportunities. At the end of the collaboration, organizations can valorize the knowledge they have accumulated by disseminating it through publications, new products, or by applying it in other projects or processes. This leads to long-term benefits, such as new business cases or improved processes. In addition, organizations in an LC can identify talent (early) and potentially recruit future staff. 3.2.3.2 Achieving collective value The goal of many LCs is creating societal and ecological benefit, such as improving energy efficiency in neighborhoods and schools. By working together, new concepts and prototypes are created, tested and improved, leading to an accelerated innovation cycle and practical sustainable solutions for local communities, such as hot water buffers. As a result, valuable learning experiences and insights are gained by the LC as a whole and its internal groups that contribute to further development and improvement. Products can eventually be further scaled up and more widely implemented in buildings and other applications. Knowledge sharing is considered an important yield, distinguishing between internal knowledge sharing within the LC and external knowledge sharing. Not every partner is equally active within the LC. In order to increase engagement and share the latest developments, communication to partners takes place through various channels, such as e-mail, internal platforms, newsletters and reports. ' If it stays within the group of people, no one else benefits. So which people need to know? How will you disseminate the knowledge?'(Respondent 12, company). By actively sharing knowledge externally through publications, conferences, workshops, tours, webinars and other forms of communication, knowledge becomes accessible to a wider audience, such as other companies, governments and educational institutions. Participants give lessons about energy transition in primary schools, for example, and develop supporting educational resources and tools, such as explainer videos. It is emphasized that publicity should be planned strategically, especially in product development. A balance is needed between informing the public and avoiding distractions or unrealistic expectations. Celebrating important milestones, such as the completion of a pilot or product, is seen as an opportune time to share knowledge with a wider audience, including potential customers and funders. Finally, it is indicated that new relationships and shared networks ensure future collaborations and projects, with potential long-term benefits for all parties involved. Collaboration between different LCs is seen as essential to accelerate the energy transition. 4. Discussion The present study aimed to gain insight into factors that influence capabilities and into agency processes in LCs for the energy transition, both at individual and collective level. Therefore, the following research question was formulated: To what extent can individual and collective agency and capabilities in LCs focusing on the energy transition be related to both the opportunity aspect and the process aspect of freedom as described in the CA? The results affirm that individual and collective agency in LCs focusing on the energy transition can be related to both the opportunity aspect and the process aspect of freedom as described in the CA. The factors and processes we identified are shown schematically in the model in Fig. 5 . The capabilities (participants of) LCs in the energy transition have, is linked to the opportunity aspect. The conversion factors determine the extent to which available resources can actually be used in the LC. Hindering and promoting ‘socio-ecological’, ‘organizational’ and ‘personal conversion factors’ can reduce and boost individual and collective capabilities. The different forms of capital described by Carayannis et al. ( 2012 ) were used for coding our study: ‘human’, ‘social’, ‘information’, ’economic’, and ‘political and legal capital’. These forms of capital are important to be exchanged in LCs to develop capabilities and achieve functionings, showing the importance of involving various organizations with different backgrounds in the LC. Our results also show that if capital is not present among the partners, it is attracted from outside the LC (see section 3.1.2 . Resources). This is especially true for human capital and information capital. Furthermore, it emerged that access to three additional resources is essential for being able to collaborate in an LC: ‘funding’, ‘learning environments’ and ‘time’. Besides resources, structural constraints influence people's capabilities (Robeyns, 2016 ). We applied the following specific structural constraints to the LC: ‘social norms’ and ‘aligning resources’. ‘Structure within the LC’ and the ‘role of the facilitator’ emerged as other important structural constraints. Structural constraints in particular highlight the balancing act between the need for structure and standardization in order to ensure efficiency and progress on the one hand, and the need for flexibility and contextual adaptation to promote creativity and innovation on the other hand. The facilitator's role proves crucial to the LC's performance and therefore represents an important structural constraint. Facilitators independently guide processes that take place within the LC as a whole and its internal groups, such as planning and guiding meetings. Since structural constraints in our study refer not only to limitations but also to chances, we would prefer to use the term structural conditions instead of structural constraints. The process aspect, that is linked to agency, concerns identifying goals and values , both at an individual and collective level. In addition, we found that it is important to have clear expectations about anticipated value. Based on the identified goals and values, capabilities are utilized and developed through individual and collective actions and interactions of participants, organizations, and the LC ‘(the groups and the LC as a whole) (Pelenc et al., 2015 ; Leβman, 2022). Actions and interactions lead to achieved functionings for the energy transition, the LC, organizations and participants. Knowledge sharing with partners and other target groups emerged as one of the key values of the collaboration. Continuous evaluation and feedback, explicit or implicit, plays an important role in adjusting goals and plans to improve innovations. The process aspect consists of: 1) identifying goals and values, 2) utilizing and developing capabilities, and 3) achieving functionings. Therefore, it should not be seen as a linear process, but as a dynamic model. As such, identifying goals and values cannot take place without actions and interactions; with the accomplishment of (intermediate) goals, new goals are identified; and during the achievement of functionings, capabilities are used and developed. The separation between the individual and collective levels is not always clear either. For example, individual actions and interactions take place in the context of the group and are often in the interest of both the individual participants and their organizations, but at the same time relevant for achieving collective goals. Even with regard to the opportunity aspect, the different factors cannot be strictly separated. For example, within ‘Resources’, available time and funding appear to be directly related: without funding, time cannot be provided. It was sometimes difficult to compartmentalize agency for the reason described above. Although factors and processes cannot be strictly divided, we consider a division to be useful. This is because if influencing factors are recognized and taken into account, optimal opportunities can be created for individual and collective agency processes to take place in LCs for energy transition. Follow-up research is needed to investigate how the model (see Fig. 5 ) can be used in setting up new LCs. In addition, future research could study empowering and evaluating agency in existing LCs, both focused on the energy transition as well as (potentially) in other areas such as healthcare and logistics. For setting up or further developing an LC, it may be useful to relate our model to design considerations for hybrid learning environments, such as the multilevel design framework by Bouw et al. ( 2021 ). We have described all value created in this process under ‘achieving functions’, including potential value that can be seen as a product of using and developing capabilities. Follow-up research could delve deeper into the relationship between value creation, resources and capabilities by, for example, using the value-creation framework described by Wenger-Trayner and Wenger-Trayner ( 2020 ). Finally, the interviewees were in many cases involved in an LC consisting of companies and educational organizations. Only three representatives of civil society organizations and government were interviewed. As a result, the contribution of these parties as partners in the LC has been underexposed in this study. While this clarifies that some forms of resources, such as information capital, can also be obtained from outside the LC, it would be interesting for the further development of the model to study more LCs in which all the parties of the public- private- people- planet partnership (Carayannis, et al., 2024 ) are represented, including non-humans and future generations (Seckler & Volkert, 2021 ). Nevertheless, we conclude that with this study we have taken a first step in developing a model that understands individual and collective agency and capabilities in LCs for the energy transition Declarations Data availability The dataset generated during and/ or analyzed during the current study in the ET-TLC project will be securely stored at 4TU.ResearchData (http://researchdata.4tu.nl), which is a Trusted Digital Repository for technical-scientific research data in the Netherlands. Funding declaration This work was supported by NWO call 'Human Capital: Learning communities as innovation accelerators’, Project: ‘Energy Transition: Talent in Learning Communities (ET TLC)’, Grant number / URL: 2022/KIC/01245237 Competing interests The authors declare no competing interests. Ethical statements Ethical Approval This study was performed in line with the principles of the Declaration of Helsinki and its later amendments. Approval was granted by the Ethics Committee of The Hague University of Applied Sciences (THUAS Ethics Committee) on July 9, 2024, following review of the research project titled “Characteristics of individual and collective agency in learning communities for the energy transition.” The approval number is Approval number: 20240513-01. The committee raised no objections to the ethical aspects of the study. The approval remains valid unless substantial changes are made to the research protocol, in which case an amendment must be submitted for continued approval. Informed consent Written informed consent was obtained from all participants using a standardized form signed on July 8, 2024. Participants were fully informed about the study’s purpose, procedures, data handling, and their rights, including voluntary participation and the option to withdraw at any time. Consent covered participation, anonymized data use for scientific publications and presentations, and potential reuse for future research within the same academic field. All data were anonymized and securely stored in accordance with GDPR regulations. References Alkire, S., & Deneulin, S. (2009). The human development and capability approach. In S. Deneulin & L. Shahani (Eds.), An introduction to the human development and capability approach: Freedom and agency (pp. 22-48). 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M., Mennens, K., Preenen, P., Vos, M., van den Tooren, M., & Hofstra, N. (2023). Interorganizational learning: A conceptualization of public-private learning communities. Human Resource Development Review, 22(4), 494–523. https://doi.org/10.1177/15344843231198361 Seckler, M., & Volkert, J. (2021). The capability approach: A promising foundation for sustainable development? Ecological Economics, 183 , 106951. https://doi.org/10.1016/j.ecolecon.2021.106951 Sen, A. (1985). Commodities and capabilities . Elsevier Science Publishers. Sen, A. (1999). Development as freedom . Oxford University Press. Sen, A. (2009). The idea of justice . Penguin Books. Teisman, G. (2019, 31 oktober). Energietransitie gediend bij slim georganiseerde regionale tussenruimtes [keynote]. Werkconferentie Topsector Energie 2019 - NVKL, NBC Nieuwegein. UNESCO. (n.d.). What you need to know about UNESCO’s recommendation on education for peace, human rights, and sustainable development. UNESCO. https://www.unesco.org/en/articles/what-you-need-know-about-unescos-recommendation-education-peace-human-rights-and-sustainable. Accessed September 20, 2024. Vecchio, G. & Martens, K. (2021): Accessibility and the Capabilities Approach: a review of the literature and proposal for conceptual advancements, Transport Reviews, DOI: 10.1080/01441647.2021.1931551 Veltman, M. E., van Keulen, J., & Voogt, J. M. (2021). Using problems with wicked tendencies as vehicles for learning in higher professional education: Towards coherent curriculum design. Curriculum Journal, 30(4), 530-548. https://doi.org/10.1002/curj.100 Wenger-Trayner, E., & Wenger-Trayner, B. (2020). Learning to make a difference: Value creation in social learning spaces . Cambridge University Press. Additional Declarations No competing interests reported. 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1","display":"","copyAsset":false,"role":"figure","size":547898,"visible":true,"origin":"","legend":"\u003cp\u003eThe LC as a public- private-people- planet partnership. Organizations cooperate in a socio-ecological context, exchanging and connecting different forms of capital.\u003c/p\u003e","description":"","filename":"Figure1.png","url":"https://assets-eu.researchsquare.com/files/rs-7380499/v1/ed242ff542c3277a2e730684.png"},{"id":93796895,"identity":"cff54d94-9398-41df-92ab-a8a91ea93ce6","added_by":"auto","created_at":"2025-10-17 15:54:33","extension":"png","order_by":2,"title":"Figure 2","display":"","copyAsset":false,"role":"figure","size":43186,"visible":true,"origin":"","legend":"\u003cp\u003eOpportunity and process aspect of freedom in the CA. \u0026nbsp;The transfer of available resources through conversion factors to capabilities, and the transfer of capabilities to functionings.\u003c/p\u003e","description":"","filename":"Figure2.png","url":"https://assets-eu.researchsquare.com/files/rs-7380499/v1/4ebd552c4afd4b77e1a78009.png"},{"id":93796896,"identity":"0be52bcf-ce06-4b4c-a136-7e1a747ceae6","added_by":"auto","created_at":"2025-10-17 15:54:33","extension":"png","order_by":3,"title":"Figure 3","display":"","copyAsset":false,"role":"figure","size":469567,"visible":true,"origin":"","legend":"\u003cp\u003eParticipants in the groups represent their organizations (individuals) and the groups represent the LC as a whole (collectives). The LC is regarded as a collective actor, bringing together different value perspectives and ways of working.\u003c/p\u003e","description":"","filename":"Figure3.png","url":"https://assets-eu.researchsquare.com/files/rs-7380499/v1/4650234e0007a2e4dfad5884.png"},{"id":93798814,"identity":"99a2d55d-7827-4dfa-8771-9670930d53b7","added_by":"auto","created_at":"2025-10-17 16:18:33","extension":"png","order_by":4,"title":"Figure 4","display":"","copyAsset":false,"role":"figure","size":757674,"visible":true,"origin":"","legend":"\u003cp\u003eThe opportunity and process aspect of the CA applied to LCs. The opportunity aspect is divided into conversion factors, resources and structural constraints. The process aspect is divided into identifying goals and values, using and developing capabilities, and achieving functionings. Within the process aspect a distinction is made between the individual level of participants and organizations, and the collective level of the LC as a whole and its internal groups.\u003c/p\u003e","description":"","filename":"Figure4.png","url":"https://assets-eu.researchsquare.com/files/rs-7380499/v1/cf062fd4ca47de9c596cd512.png"},{"id":93796897,"identity":"576d948d-1462-45db-a8a6-a27dae53f760","added_by":"auto","created_at":"2025-10-17 15:54:33","extension":"png","order_by":5,"title":"Figure 5","display":"","copyAsset":false,"role":"figure","size":1188241,"visible":true,"origin":"","legend":"\u003cp\u003eInfluencing factors and agency processes in LCs for the energy transition. Model of all factors and processes identified in the study.\u003c/p\u003e","description":"","filename":"Figure5.png","url":"https://assets-eu.researchsquare.com/files/rs-7380499/v1/7d4240f5d8165d4aee33e9ed.png"},{"id":102748762,"identity":"3781e6cb-6269-4e1a-871c-80db76f20da2","added_by":"auto","created_at":"2026-02-16 09:11:30","extension":"pdf","order_by":0,"title":"","display":"","copyAsset":false,"role":"manuscript-pdf","size":3644425,"visible":true,"origin":"","legend":"","description":"","filename":"manuscript.pdf","url":"https://assets-eu.researchsquare.com/files/rs-7380499/v1/21d82b0d-82c0-4bfc-8db5-ee274dbe7199.pdf"}],"financialInterests":"No competing interests reported.","formattedTitle":"Individual and collective agency and capabilities in learning communities for the energy transition","fulltext":[{"header":"1. Introduction","content":"\u003cp\u003eEducation for sustainable development (ESD) empowers learners of all ages to make informed decisions and takes individual and collective action so as to change society and care for the planet (UNESCO, n.d.). However, generic learning programs insufficiently reflect the needs of employees, their organizations, and the challenges in society (Emanuel, et al., \u003cspan citationid=\"CR6\" class=\"CitationRef\"\u003e2022\u003c/span\u003e). Challenges related to sustainable development, such as the energy transition, will have to be tackled in a transdisciplinary way focusing on the ever-changing \u0026lsquo;wicked situation\u0026rsquo;, rather than fixed policies and pre-programmed solutions (Teisman, \u003cspan citationid=\"CR21\" class=\"CitationRef\"\u003e2019\u003c/span\u003e; Noordegraaf, et al., \u003cspan citationid=\"CR11\" class=\"CitationRef\"\u003e2019\u003c/span\u003e). According to Billett (\u003cspan citationid=\"CR2\" class=\"CitationRef\"\u003e2004\u003c/span\u003e) learning in this kind of settings is a balance between affordance and agency; learning is shaped by the opportunities and constraints of the social setting, such as expectations and norms; the type of learning environment; personal values ​​and interests; and access to resources as knowledge and means. Individuals choose to engage in activities and interactions, dependent on their own preferences and goals.\u003c/p\u003e\u003cp\u003eLearning communities (LCs) are especially suited to deal with \u0026lsquo;wicked situations\u0026rsquo; in the energy transition and simultaneously strengthen agency and capabilities of participants, organizations and the LC itself. This is because in these partnerships participants with various backgrounds work together across the boundaries of their organizations and deal with a combination of complexity, uncertainty and value divergence (Schipper et al., \u003cspan citationid=\"CR16\" class=\"CitationRef\"\u003e2023\u003c/span\u003e; Veltman, et al., \u003cspan citationid=\"CR24\" class=\"CitationRef\"\u003e2021\u003c/span\u003e). As shown in Fig.\u0026nbsp;\u003cspan refid=\"Fig1\" class=\"InternalRef\"\u003e1\u003c/span\u003e, they cooperate in a socio-ecological context, exchanging and connecting different forms of capital (Carayannis \u0026amp; Campbell, 2010). According to Carayannis, et al. (\u003cspan citationid=\"CR4\" class=\"CitationRef\"\u003e2012\u003c/span\u003e), universities can bring in \u0026lsquo;human capital\u0026rsquo;, in the form of research, for example. Companies can provide the LC with \u0026lsquo;economic capital\u0026rsquo;, by means of machinery, products and technology. Governance on the other hand focuses on political and legal capital through, for example, laws and plans. The public influenced by culture and media, integrates and combines both social capital and information capital (Carayannis, et al., \u003cspan citationid=\"CR4\" class=\"CitationRef\"\u003e2012\u003c/span\u003e). In the extended case where all these parties are involved in the LC, there is a public- private- people- planet partnership (Carayannis, et al., \u003cspan citationid=\"CR5\" class=\"CitationRef\"\u003e2024\u003c/span\u003e).\u003c/p\u003e\u003cp\u003e\u003c/p\u003e\u003cp\u003eIn this study, we define a learning community as a dynamic system in which one or more groups of cooperating participants from various public, private and/ or people organizations and other (non- or less organized) parties are dealing with shared \u0026lsquo;wicked situations\u0026rsquo; and create value for the participants, their organizations, the LC itself, the planet and society (based on Schipper, et al., \u003cspan citationid=\"CR15\" class=\"CitationRef\"\u003e2022\u003c/span\u003e; Emanuel, et al., \u003cspan citationid=\"CR6\" class=\"CitationRef\"\u003e2022\u003c/span\u003e; Carayannis, et al., \u003cspan citationid=\"CR5\" class=\"CitationRef\"\u003e2024\u003c/span\u003e). The value in this definition refers to value created through social learning and contributes to the ability to make a difference (Wenger-Trayner \u0026amp; Wenger- Trayner, 2020).\u003c/p\u003e\u003cp\u003eRecent studies on LCs often address design principles, but are less focused on the dynamic nature of LCs (Schipper, et al., \u003cspan citationid=\"CR15\" class=\"CitationRef\"\u003e2022\u003c/span\u003e). Working together in an LC presupposes an agentic role for participants; they are in charge of what they experience and of how and what they learn. Agency allows people to pursue their goals and interests (Wenger-Trayner \u0026amp; Wenger-Trayner, \u003cspan citationid=\"CR25\" class=\"CitationRef\"\u003e2020\u003c/span\u003e). In an LC, individual and collective goals are identified and capabilities are deployed to contribute to solutions to \u0026lsquo;wicked situations\u0026rsquo;. In addition, value can be created for participants and their organizations. Agency is required at both the individual level of participants representing their organizations and at the collective level of the LC. The aim of this article is to provide insight into both the factors that influence agency in LCs for energy transition and the agency processes at individual and collective levels. In doing so, we aim to contribute to empowering and further developing LCs. We used the Capability Approach (CA) as described by economist and philosopher Amartya Sen (\u003cspan citationid=\"CR19\" class=\"CitationRef\"\u003e1999\u003c/span\u003e; \u003cspan citationid=\"CR20\" class=\"CitationRef\"\u003e2009\u003c/span\u003e). We regard it an appropriate theoretical framework for the following reasons:\u003c/p\u003e\u003cp\u003e\u003col\u003e\u003cspan\u003e\u003cli\u003e\u003cp\u003eIn LCs, value is created for a collective goal e.g. energy transition, but at the same time people learn and develop themselves and achieve individual goals. Unlike other standard evaluation methods, The CA approach consider humans not only as means of production, but also as ends of development (Robeyns, \u003cspan citationid=\"CR14\" class=\"CitationRef\"\u003e2016\u003c/span\u003e; Alkire \u0026amp; Deneulin, \u003cspan citationid=\"CR1\" class=\"CitationRef\"\u003e2009\u003c/span\u003e).\u003c/p\u003e\u003c/li\u003e\u003c/span\u003e\u003cspan\u003e\u003cli\u003e\u003cp\u003eThe perspective of value within the CA resonates with the notion of caring to make a difference, in which agency is central (Wenger-Trayner \u0026amp; Wenger-Trayner, \u003cspan citationid=\"CR25\" class=\"CitationRef\"\u003e2020\u003c/span\u003e). People's interactions and actions are based on what they value or have reason to value (Sen, \u003cspan citationid=\"CR20\" class=\"CitationRef\"\u003e2009\u003c/span\u003e).\u003c/p\u003e\u003c/li\u003e\u003c/span\u003e\u003cspan\u003e\u003cli\u003e\u003cp\u003eThe CA is considered a suitable framework for the analysis of well-being and sustainability, including in the energy transition, that can only be addressed collectively (Seckler \u0026amp; Volkert, \u003cspan citationid=\"CR17\" class=\"CitationRef\"\u003e2021\u003c/span\u003e; Griewald \u0026amp; Rauschmayer, \u003cspan citationid=\"CR7\" class=\"CitationRef\"\u003e2014\u003c/span\u003e).\u003c/p\u003e\u003c/li\u003e\u003c/span\u003e\u003cspan\u003e\u003cli\u003e\u003cp\u003eThe CA pays attention to both individual and collective agency and capabilities (Ibrahim, \u003cspan citationid=\"CR8\" class=\"CitationRef\"\u003e2006\u003c/span\u003e).\u003c/p\u003e\u003c/li\u003e\u003c/span\u003e\u003c/ol\u003e\u003c/p\u003e\u003cdiv id=\"Sec2\" class=\"Section2\"\u003e\u003ch2\u003e1.1 Capability approach\u003c/h2\u003e\u003cp\u003eCapabilities and agency are core concepts of the CA and are considered as two distinct but equally important and interdependent aspects (Alkire \u0026amp; Deneulin, \u003cspan citationid=\"CR1\" class=\"CitationRef\"\u003e2009\u003c/span\u003e). People\u0026rsquo;s capabilities to function in life are their \u0026ldquo;effective opportunities to undertake the actions that they want to engage in, and to be whom they want to be\u0026rdquo; (Robeyns, \u003cspan citationid=\"CR13\" class=\"CitationRef\"\u003e2005\u003c/span\u003e, p. 95). The capabilities people have, depend on access to resources and conversion factors (Ibrahim, \u003cspan citationid=\"CR9\" class=\"CitationRef\"\u003e2014\u003c/span\u003e). According to the CA, resources, e.g. material and non-material goods and services, including various types of capital, are not automatically translated into capabilities (Pelenc, et al., \u003cspan citationid=\"CR12\" class=\"CitationRef\"\u003e2015\u003c/span\u003e). As illustrated in Fig.\u0026nbsp;\u003cspan refid=\"Fig2\" class=\"InternalRef\"\u003e2\u003c/span\u003e, available resources are first converted via conversion factors. These factors determine the extent to which a person can actually use available resources (Griewald \u0026amp; Rauschmayer, \u003cspan citationid=\"CR7\" class=\"CitationRef\"\u003e2014\u003c/span\u003e; Robeyns, \u003cspan citationid=\"CR14\" class=\"CitationRef\"\u003e2016\u003c/span\u003e). In addition, Robeyns (\u003cspan citationid=\"CR14\" class=\"CitationRef\"\u003e2016\u003c/span\u003e) indicates that so-called \u0026lsquo;structural constraints\u0026rsquo;, including legal and social norms, also affect a person\u0026rsquo;s capability set.\u003c/p\u003e\u003cp\u003e\u003c/p\u003e\u003cp\u003eAccording to the CA, people\u0026rsquo;s capabilities to function is linked to the opportunity aspect of freedom (Alkire \u0026amp; Deneulin, \u003cspan citationid=\"CR1\" class=\"CitationRef\"\u003e2009\u003c/span\u003e). It refers to the actual opportunities that people have, given their circumstances, to pursue their goals. In other words, it refers to the ability of people to achieve what they value, no matter the process (Sen \u003cspan citationid=\"CR20\" class=\"CitationRef\"\u003e2009\u003c/span\u003e). In the CA, the concept of agency deals with the process aspect of freedom, which gives importance to the process of choice itself (Alkire \u0026amp; Deneulin, \u003cspan citationid=\"CR1\" class=\"CitationRef\"\u003e2009\u003c/span\u003e). It allows freedom of actions and decisions and refers to people\u0026rsquo;s capability to change their own situation according to their goals and values (Sen, \u003cspan citationid=\"CR19\" class=\"CitationRef\"\u003e1999\u003c/span\u003e; \u003cspan citationid=\"CR20\" class=\"CitationRef\"\u003e2009\u003c/span\u003e). Sen (\u003cspan citationid=\"CR19\" class=\"CitationRef\"\u003e1999\u003c/span\u003e) defines an agent as \u0026ldquo;someone who acts and brings about change\u0026rdquo; (p. 19). Vecchio \u0026amp; Martens (\u003cspan citationid=\"CR23\" class=\"CitationRef\"\u003e2021\u003c/span\u003e) argue that where the term 'constraints' often refers to the transfer of resources through conversion factors to capabilities, the term 'choice' is of great importance in the transfer of capabilities to functionings (see Fig.\u0026nbsp;\u003cspan refid=\"Fig2\" class=\"InternalRef\"\u003e2\u003c/span\u003e). Functionings are therefore defined as choices successfully achieved, and they \u0026ldquo;represent what people have succeeded in being or doing\u0026rdquo; (Sen, \u003cspan citationid=\"CR18\" class=\"CitationRef\"\u003e1985\u003c/span\u003eb, p.19).\u003c/p\u003e\u003cp\u003eIndividuals can undertake action to achieve their own self-regarding goals and improve their own capabilities, but they can also undertake actions to achieve goals other than their own, bringing positive changes to (their) society (Ibrahim, \u003cspan citationid=\"CR9\" class=\"CitationRef\"\u003e2014\u003c/span\u003e). Some sustainable choices involve a (voluntary) reduction of well-being of others (Sen, \u003cspan citationid=\"CR20\" class=\"CitationRef\"\u003e2009\u003c/span\u003e). For example, when people\u0026rsquo;s view is obstructed by windmills. It is therefore important that decisions are not externally generated or imposed, but are a product of deliberative (public) reasoning and agency (Pelenc et al., \u003cspan citationid=\"CR12\" class=\"CitationRef\"\u003e2015\u003c/span\u003e). Sustainable choices can only be achieved collectively (Leβmann, 2022). Responsibility, sympathy and generosity are essential to achieve commitments and shared values in pursuing sustainable development (Seckler \u0026amp; Volkert, \u003cspan citationid=\"CR17\" class=\"CitationRef\"\u003e2021\u003c/span\u003e). Organizations provide some of their individual resources, such as human capital, within the social and environmental context, that result in the first collective capability (Pelenc et al., \u003cspan citationid=\"CR12\" class=\"CitationRef\"\u003e2015\u003c/span\u003e), in our case: being able to contribute to energy transition by being involved in an LC. What follows is a complex continuous and iterative process through acts of collective agency with the possibility of developing new individual and collective capabilities and functionings benefiting both individuals and their communities. Conversion factors and structural constraints play a role in this process (Ibrahim, \u003cspan citationid=\"CR8\" class=\"CitationRef\"\u003e2006\u003c/span\u003e).The CA can serve as a framework to better understand individual and collective agency and capabilities, contributing to more effective LCs for energy transition in the Netherlands. Therefore, the study addresses the following research question:\u003c/p\u003e\u003cp\u003eTo what extent can individual and collective agency and capabilities in LCs focusing on the energy transition be related to both the opportunity aspect and the process aspect of freedom as described in the CA?\u003c/p\u003e\u003c/div\u003e"},{"header":"2. Methods","content":"\u003cdiv id=\"Sec4\" class=\"Section2\"\u003e\u003ch2\u003e2.1 Terminology\u003c/h2\u003e\u003cp\u003eIn this study, we focus on agency in LCs, both at the level of participants and organizations to pursue individual goals (individual agency), and at the level of the LC. in order to deal with \u0026lsquo;wicked situations\u0026rsquo; in the energy transition (collective agency). Although organizations can be considered collective actors, we conceptualize them as if they were individuals (based on Griewald \u0026amp; Rauschmayer, \u003cspan citationid=\"CR7\" class=\"CitationRef\"\u003e2014\u003c/span\u003e; Pelenc, Bazile, \u0026amp; Ceruti, \u003cspan citationid=\"CR12\" class=\"CitationRef\"\u003e2015\u003c/span\u003e. Participants with various backgrounds, expertise and knowledge represent the different organizations within the LC and its internal groups, including students, teachers, scientists, workers, citizens and policymakers. The LC is regarded as a collective actor, bringing together different value perspectives and ways of working. (see Fig.\u0026nbsp;\u003cspan refid=\"Fig3\" class=\"InternalRef\"\u003e3\u003c/span\u003e).\u003c/p\u003e\u003cp\u003e\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec5\" class=\"Section2\"\u003e\u003ch2\u003e2.2 Context\u003c/h2\u003e\u003cp\u003eThis study involved 15 already existing LCs in which the various organizations were mutually dependent to pursue their goals. At least two categories of public, private or people's organizations were represented in each LC: education- and knowledge institutions, companies, government and civil society organizations. The partnerships covered sustainable energy solutions, energy transition, and innovative research and knowledge sharing related to energy transition. They focused on developing technologies (such as smart grids, wind and solar energy), educational projects, energy conservation and policy-making.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec6\" class=\"Section2\"\u003e\u003ch2\u003e2.3 Respondents\u003c/h2\u003e\u003cp\u003eFifteen open interviews were conducted with stakeholders involved in energy transition initiatives. These respondents were active in their own organizations as founders and strategists, systems integration specialists, wind energy experts, knowledge managers, energy systems researcher, Chief Technology Officer, Director of Cooperative Development, or Energy Transition Program Manager. In the LCs, respondents fulfil roles as facilitators, coordinators, managers and researchers, and represented educational institutions (6 interviews), government (1 interview), civil society organizations (2 interviews) and companies (6 interviews). They derive from the network of the NWO project TransAct, which focused on LCs in installation engineering, and from Energy Transition- Talent in LCs, which focused on LCs in the energy transition in solar, wind and hydrogen.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec7\" class=\"Section2\"\u003e\u003ch2\u003e2.4 Data collection\u003c/h2\u003e\u003cp\u003eThe interviews focused on assessing the appropriateness of the opportunity and process aspect identified in the CA literature to LCs involved in energy transition. Additionally, these interviews sought to reveal any unique influencing factors and agency processes specific to LCs which may not have been captured in the literature. An approach with open-ended questions was used to obtain a holistic understanding of existing LCs. The conversation themes covered a range of topics at both an individual and a collective level, including themes such as goals, value creation, strategies, interactions, facilitation, reflection, and context. All participants were interviewed individually in 2022 and in 2023, during 60-minute interviews that were audio-recorded. The participants were asked for permission to record the interview. In addition, all participants signed a form to consent to the use of the data obtained. In line with ethical research practices, the data collection was subjected to an ethical review process. This process included evaluation and approval by the THUAS Ethics Committee to ensure that the research adhered to ethical standards and guidelines.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec8\" class=\"Section2\"\u003e\u003ch2\u003e2.5 Data Analysis\u003c/h2\u003e\u003cp\u003eInterview transcripts were analyzed using the qualitative data analysis software package Atlas.TI. The coding scheme was based on the opportunity aspect and process aspect of the CA (see Fig.\u0026nbsp;\u003cspan refid=\"Fig4\" class=\"InternalRef\"\u003e4\u003c/span\u003e). As described in CA literature, the opportunity aspect was divided into conversion factors, resources and structural constraints (Griewald \u0026amp; Rauschmayer, \u003cspan citationid=\"CR7\" class=\"CitationRef\"\u003e2014\u003c/span\u003e; Robeyns, \u003cspan citationid=\"CR14\" class=\"CitationRef\"\u003e2016\u003c/span\u003e). Within the resources, we used the different forms of capital as described in the introduction and we related social capital to the network of potential participants in the LC. Within the conversion factors, we distinguished socio-ecological (Carayannis et al., \u003cspan citationid=\"CR4\" class=\"CitationRef\"\u003e2012\u003c/span\u003e), organizational (Pelenc et al, \u003cspan citationid=\"CR12\" class=\"CitationRef\"\u003e2015\u003c/span\u003e) and personal (Robeyns, \u003cspan citationid=\"CR13\" class=\"CitationRef\"\u003e2005\u003c/span\u003e) factors. We applied the structural constraints concept specifically to the LC and focused on social norms and aligning resources. The process aspect was divided into identifying goals and values, using and developing capabilities, and achieving functionings. Furthermore, within the process aspect a distinction was made between the individual level of participants and organizations, and the collective level of the LC as a whole and its internal groups. In parallel to using the described codes for the analysis, open coding was used, in search of new influencing factors and agency processes on a sublevel.\u003c/p\u003e\u003cp\u003e\u003c/p\u003e\u003c/div\u003e"},{"header":"3. Results","content":"\u003cp\u003eThe results below are based on the 15 interviews as described in section \u003cspan refid=\"Sec3\" class=\"InternalRef\"\u003e2\u003c/span\u003e Materials and methods. We summarize the statements of the respondents in the description of the opportunity and process aspect.\u003c/p\u003e\u003cdiv id=\"Sec10\" class=\"Section2\"\u003e\u003ch2\u003e3.1 Opportunity aspect\u003c/h2\u003e\u003cp\u003eBased on CA literature, the opportunity aspect is divided into conversion factors, resources and structural constraints (see section \u003cspan refid=\"Sec2\" class=\"InternalRef\"\u003e1.1\u003c/span\u003e Capability Approach).\u003c/p\u003e\u003cdiv id=\"Sec11\" class=\"Section3\"\u003e\u003ch2\u003e3.1.1 Conversion factors\u003c/h2\u003e\u003cp\u003eConversion factors were found to play an important role in LCs' access to resources from partners in particular. Three categories proved to be important conversion factors: socio-ecological factors that determine the joint social and ecological direction of the LC (based on Carayannis, 2021), organizational factors (based on Robeyns, \u003cspan citationid=\"CR13\" class=\"CitationRef\"\u003e2005\u003c/span\u003e) and personal factors of participants in the LC (based on Pelenc et al., \u003cspan citationid=\"CR12\" class=\"CitationRef\"\u003e2015\u003c/span\u003e). These factors serve both as barriers and promoters of individual and collective capabilities in the LCs.\u003c/p\u003e\u003cdiv id=\"Sec12\" class=\"Section4\"\u003e\u003ch2\u003e3.1.1.1 Socio-ecological factors\u003c/h2\u003e\u003cp\u003e\u003cem\u003eHindering factors\u003c/em\u003e: Existing structures in the economy, described by the respondentss as: focused on profit and shareholder value, hinder a shift to a sustainable value stream. Continued government support for these economic models makes it more difficult for LCs to make changes essential for the energy transition. Distrust of large companies can lead to resistance among citizens to participate in energy transition initiatives, especially in less prosperous neighborhoods. In addition, innovations in the energy sector may have unintended negative consequences for the natural environment. \u003cem\u003e\u0026lsquo;The urgency is that more and more wind farms are built at sea, and the fear is that at some point this will go beyond the carrying capacity of nature and thus eventually leads to loss of bird populations\u0026rsquo; (respondent 7, company)\u003c/em\u003e.\u003c/p\u003e\u003cp\u003e\u003cstrong\u003ePromoting factors\u003c/strong\u003e\u003cp\u003e\u0026lsquo;\u003cem\u003eThe whole context of climate policy, the acceleration of energy transition, that all helps (respondent 11, company)\u0026rsquo;\u003c/em\u003e. The government has a crucial role to play by encouraging innovations by LCs through subsidies, regulations, and tenders. For instance, the Dutch government offers subsidies for sustainable initiatives such as ventilation systems or energy solutions, and offers companies and knowledge institutions the opportunity to contribute to the energy transition in innovative ways. There is a growing need in the construction and energy sectors to work on sustainable solutions in a transdisciplinary way, which fosters the emergence of LCs in this field. Citizens are not only seen as consumers, but also as investors and co-owners of sustainable energy solutions in LCs, fostering their involvement and keeping value local.\u003c/p\u003e\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec13\" class=\"Section4\"\u003e\u003ch2\u003e3.1.1.2 Organizational factors\u003c/h2\u003e\u003cp\u003e\u003cstrong\u003eHindering factors\u003c/strong\u003e\u003cp\u003eOrganizational factors can hinder effective collaboration, e.g. differences in working culture between academic institutions and companies in focusing on long-term versus short-term results as well as varying urgency and motivation to participate in collaborative projects. Strict, standardized systems within organizations can also hinder innovation and collaboration. Such systems are often not flexible enough to implement new ways of working and new ideas. Having to deal with new contracts and legal documents repeatedly is perceived as time-consuming and sometimes frustrating. This leads to delays and reliance on personal contacts to make processes work.\u003c/p\u003e\u003c/p\u003e\u003cp\u003e\u003cstrong\u003eEncouraging factors\u003c/strong\u003e\u003cp\u003eOrganizations that allow flexibility in their processes and structures are more able to respond to innovative initiatives and cooperation. Knowledge about partners, for example about the requirements of educational institutions for the students, allows for timely consideration. If managers and decision-makers are aware of innovations and support them, this can have a stimulating effect on the employees involved and on the overall cooperation between organizations. \u003cem\u003e\u0026lsquo;Accepting that it is a different form of education, and that it does not fit the standard\u0026rsquo;(respondent 3, educational institution).\u003c/em\u003e This also applies to willingness to have an open discussion and seek alternatives, if certain employees or organizations cannot or do not wish to participate.\u003c/p\u003e\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec14\" class=\"Section4\"\u003e\u003ch2\u003e3.1.1.3 Personal factors\u003c/h2\u003e\u003cp\u003e\u003cstrong\u003eHindering factors\u003c/strong\u003e\u003cp\u003ePeople with dominant attitudes or strong preferences while being unwilling to compromise can hinder cooperation and consensus building within a group. This often leads to irritation and stagnation. Cooperation can also be weakened by people who are not intrinsically motivated or who only participate for external rewards, such as credits, and by people who do not dare to take risks or stick to traditional ways of working. Personalities and backgrounds can clash. Specifically for technically savvy people, rigid thinking with strong technical preferences for certain solutions is a hindering factor in processes of change.\u003c/p\u003e\u003c/p\u003e\u003cp\u003e\u003cstrong\u003eEncouraging factors\u003c/strong\u003e\u003cp\u003eOn the other hand, people who are intrinsically motivated to innovate, share knowledge and actively contribute, are an important for the collaborative process. This motivation ensures that they are actively engaged. The ability to deal flexibly with different opinions, willingness to consider new ideas, and agility in dealing with complex situations also contribute to fruitful collaboration. Innovation requires taking risks and daring to make mistakes. People with this attitude contribute to a culture of learning and creativity. Sharing ideas without fear of other organizations using them for their own gain, is seen as an important attitude.\u003c/p\u003e\u003c/p\u003e\u003c/div\u003e\u003c/div\u003e\u003cdiv id=\"Sec15\" class=\"Section3\"\u003e\u003ch2\u003e3.1.2 Resources\u003c/h2\u003e\u003cp\u003eThe conversion factors described above affect the LC's access to resources from partners. Through open coding, three other resources emerged that are essential for being able to collaborate in an LC: access to funding, learning environments and time.\u003c/p\u003e\u003cdiv id=\"Sec16\" class=\"Section4\"\u003e\u003ch2\u003e3.1.2.1 Human capital\u003c/h2\u003e\u003cp\u003eIt is highlighted that well-functioning LCs are diverse and include different levels of expertise, e.g. Technical University students as well as vocational educational students, who often bring practical technical skills. Some issues require very specific knowledge that is not always present in the existing groups or among the partners within the LC, requiring a search for and collaboration with other parties. '\u003cem\u003eYou still have to put in a lot of energy to get the right parties. That's frustrating\u0026rsquo;(respondent 3, educational institution .\u003c/em\u003e In order to quickly and effectively integrate new participants into the LC, onboarding courses are organized. These courses are often taught by (former) group members who have specific expertise. Good onboarding helps to achieve quick results and makes working together more efficient.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec17\" class=\"Section4\"\u003e\u003ch2\u003e3.1.2.2. Social capital\u003c/h2\u003e\u003cp\u003eLCs benefit from access to a broad network of companies, authorities and knowledge institutions. '\u003cem\u003eThe people who are in the LC have worked together in other projects in the past. They already know each other a bit. Otherwise it would take time to get to know who spins the wheels\u0026rsquo; (Respondent 11, company)\u003c/em\u003e. Building and maintaining networks with various partners is seen as essential for LCs which composition changes and evolves regularly. They play a crucial role in attracting the right people and expertise. Attracting students is often done through recommendations from lecturers, professors, and regular supervisors. When arranging groups in LCs, efforts are made to diversify the composition and include various demographic groups, such as different age groups, for example.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec18\" class=\"Section4\"\u003e\u003ch2\u003e3.1.2.3 Information capital\u003c/h2\u003e\u003cp\u003eAccess to information capital is obtained by the LC, e.g. by inviting someone from the network to give a presentation or workshop, or by attending a conference. \u0026lsquo;\u003cem\u003eWhat is happening elsewhere in the world, what are the latest developments?\u0026rsquo;(Respondent 12, company).\u003c/em\u003e End users, such as customers, citizens and students, are involved in the LC and enabled to communicate their needs and ideas. How to reach these target groups properly, is a tricky issue. In only a few cases they are an integral part of the LC. Although end users often have no direct decision-making power, their feedback and experience provide valuable insights that help to better align output with user needs and expectations. This leads to better results and support for implementation.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec19\" class=\"Section4\"\u003e\u003ch2\u003e3.1.2.4 Economic capital\u003c/h2\u003e\u003cp\u003eInnovations in the energy transition require advanced technologies, such as supercomputer simulations. Partners make their economic capital available by providing essential technologies, materials and infrastructure. There is a strong reliance on collaborations with technology partners, such as universities, for fine-scale weather modelling, and grid operators for infrastructure such as hydrogen and DC networks. Partners' systems are used for software choices and digital platforms. \u0026lsquo;\u003cem\u003eWe prefer to follow the researchers\u0026rsquo; choice of systems\u0026rsquo;(Respondent 5, educational institution).\u003c/em\u003e\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec20\" class=\"Section4\"\u003e\u003ch2\u003e3.1.2.5 Political and legal capital\u003c/h2\u003e\u003cp\u003eLegislation can also play a crucial role in promoting sustainable innovation, such as by taxing CO2 and supporting renewable energy. \u0026lsquo;\u003cem\u003eThis helps to create value streams that generate social value: turning streams of interest into streams of value\u0026rsquo;(Respondent 1, educational institution)\u003c/em\u003e. However, current legislation is often behind according to the respondents and does not match current needs and technological developments within the energy transition. Sometimes missing legislation causes the ad hoc drafting of rules, which slows down the innovation process in LCs. New legislation within the EU, such as data availability, can remove existing barriers and thus enable innovation. This makes it easier to adopt new technologies and methods.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec21\" class=\"Section4\"\u003e\u003ch2\u003e3.1.2.6 Funding\u003c/h2\u003e\u003cp\u003eMany LCs encounter difficulties in obtaining grants due to strict application terms and bureaucratic restrictions. Moreover, not all acquired finances can be spent freely because of the grant\u0026rsquo;s terms. Although various funds and grants are available, especially from the government, it appears that they often do not cover overall cost. As a result, organizations have to start investing themselves with the prospect of future benefits. \u0026lsquo;\u003cem\u003eYou now make an investment in time and funding, and you hope it will pay off for your company either in knowledge or in money or both\u0026rsquo;(Respondent 10, company).\u003c/em\u003e Many LCs rely on temporary grants, and without a sustainable funding model, they run into trouble when the project ends. There is a clear need for structural funding and long-term solutions to ensure continuity.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec22\" class=\"Section4\"\u003e\u003ch2\u003e3.1.2.7 Learning environments\u003c/h2\u003e\u003cp\u003eThree learning environments emerge that contribute to LCs: 1) Physical spaces within knowledge institutions or at specific locations where participants can experiment and test in a controlled, realistic setting. Examples include labs within colleges and selected buildings used to test prototypes and software at scale. Physical spaces are also seen as essential for consultations and meetings related to both in-depth discussions and informal contacts. 2) Online Collaboration Environments, promoting the use of digital tools such as interactive systems, phones and online meetings. Online meetings are more efficient in terms of time and saved travel time. 3) On-site learning environments that allow participants to physically see what they are working on, such as visits to pilot sites.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec23\" class=\"Section4\"\u003e\u003ch2\u003e3.1.2.8 Time\u003c/h2\u003e\u003cp\u003eEmployees of companies and educational institutions must schedule time for participation in an LC in addition to their regular work, which creates additional pressure and sometimes results in not being able to contribute optimally to the LC. It remains a challenge for academics with full schedules to find sufficient time, but also for companies that must prioritize LCs that are not immediately profitable. Effectiveness is indicated as crucial. \u003cem\u003e\u0026lsquo;So you just have little time, and within that time you just have to do it\u0026rsquo;(Respondent 6, company)\u003c/em\u003e. In order to ensure this, planning must take place far in advance. The use of online tools and meetings has increased people's availability, as there is no need to be physically present. This allows meetings to take place faster and more often.\u003c/p\u003e\u003c/div\u003e\u003c/div\u003e\u003cdiv id=\"Sec24\" class=\"Section3\"\u003e\u003ch2\u003e3.1.3 Structural constraints\u003c/h2\u003e\u003cp\u003eThe structural constraints \u0026lsquo;Social norms within the LC\u0026rsquo; and \u0026lsquo;Aligning resources\u0026rsquo; were coded based on Robeyns (\u003cspan citationid=\"CR14\" class=\"CitationRef\"\u003e2016\u003c/span\u003e). From the open coding process, \u0026lsquo;Structure within the LC\u0026rsquo; and \u0026lsquo;Role of the facilitator\u0026rsquo; also emerged as important structural constraints.\u003c/p\u003e\u003cdiv id=\"Sec25\" class=\"Section4\"\u003e\u003ch2\u003e3.1.3.1 Structure within the LC\u003c/h2\u003e\u003cp\u003eIn collaborations aimed at creating technological solutions for the energy transition, tension arises between the need for flexibility and contextual adaptation on the one hand, and the need for standardization and structured methods on the other. Strict project management structures, such as the scrum method, promote monitoring and efficiency, which is necessary for e.g. timely ordering of materials, but they can also lead to an overly structured environment that hinders innovation and flexibility. \u0026lsquo;\u003cem\u003eEverything is contextual..., so that requires flexibility\u0026rsquo;(Respondent 8, educational institution)\u003c/em\u003e. The emphasis on flexibility and avoiding a \u0026lsquo;one size fits all\u0026rsquo; approach promotes organic and adaptable cooperation that takes into account specific regional contexts and needs. In addition, tension between top-down and bottom-up approaches is of influence. While a lack of high-quality process management can cause inefficiencies, an overly hierarchical approach can undermine local commitment and motivation.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec26\" class=\"Section4\"\u003e\u003ch2\u003e3.1.3.2 Social norms within the LC\u003c/h2\u003e\u003cp\u003eFostering a culture of open communication, transparency and trust enables fruitful collaboration. In successful cooperation processes, everyone is free to share ideas and make mistakes without fear of negative consequences (see above). Sharing concerns and discussing problems in an open environment fosters mutual understanding. \u0026lsquo;\u003cem\u003eIf participants have seen each other once and know each other a bit better, the threshold to pick up the phone or send an email is much lower\u0026rsquo; (Respondent 11, company).\u003c/em\u003e Without clear guidelines for desired behavior and protection against pitfalls, cooperation can be severely hampered. \u0026lsquo;\u003cem\u003eA social contract: Guys, listen to each other, don't unnecessarily try to achieve your own points at the expense of all kinds of other people\u0026rsquo; (Respondent 14, civil society organization).\u003c/em\u003e Miscommunication and confusion of speech, as people with diverse backgrounds and specializations work together, can lead to frustration and inefficiency. Active listening, being open to other perspectives, and respecting different views are essential for avoiding this. Creating an ethical balance, where not the loudest voice achieves the most goals, but where everyone feels heard and where compromises are made is crucial for sustainable collaboration.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec27\" class=\"Section4\"\u003e\u003ch2\u003e3.1.3.3 Aligning resources within the LC\u003c/h2\u003e\u003cp\u003eClear agreements on partners' resources set out in contracts prevent misunderstandings and give direction to cooperation, such as project- or knowledge-sharing plans. Inadequate agreements on intellectual property and sensitive information can limit knowledge sharing and create mistrust, making cooperation more difficult. However, overly strict contracts can limit innovation by leaving unexpected opportunities unexploited and by stifling creativity. \u0026lsquo;\u003cem\u003eThis will be it and we'll all sign off on this. But I don't think that\u003c/em\u003e [a strict contract] \u003cem\u003eis the solution, because that obviously destroys the chances of any accidental innovation\u0026rsquo;(Respondent 11, educational institution).\u003c/em\u003e Flexibility in contracts so as to adapt them to new circumstances without damaging existing cooperation is essential for supporting dynamic developments. Regular coordination on framework conditions, such as staff deployment, promotes successful cooperation.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec28\" class=\"Section4\"\u003e\u003ch2\u003e\u003cb\u003e3.1.3.4 Role facilitator\u003c/b\u003e\u003c/h2\u003e\u003cp\u003eThe role of facilitators is essential for the success of complex collaborations between different parties. They are independent, not overbearing, and guide the process by connecting opinions and by creating support for collective goals. This requires diplomacy and the ability to reduce conflict. The facilitator creates a stimulating environment, promotes cooperation and communication, and helps to make strategic decisions by bringing different points of view together. Flexibility and intuition are important to respond to group dynamics and needs. The facilitator organizes meetings, keeps the agenda efficient, assigns actions and monitors progress. Additionally, the facilitator collects feedback and ensures that the right people are involved at the right times. In short, successful facilitators are versatile, flexible and communicatively strong in order to successfully manage the process and collaboration. Additionally one respondent stated: \u0026lsquo;\u003cem\u003eThat simply requires someone who has a lot of time available\u0026rsquo;(Respondent 8, educational institution).\u003c/em\u003e\u003c/p\u003e\u003c/div\u003e\u003c/div\u003e\u003c/div\u003e\u003cdiv id=\"Sec29\" class=\"Section2\"\u003e\u003ch2\u003e3.2 Process aspect\u003c/h2\u003e\u003cp\u003eCongruent with CA literature (Pelenc, et al., \u003cspan citationid=\"CR12\" class=\"CitationRef\"\u003e2015\u003c/span\u003e; Leβman, 2022), agency processes take place in LCs for energy transition based on offered opportunities through which capacities are developed, and functions are achieved at individual and collective levels. To this end, individual and collective actions and interactions are undertaken on the basis of identified goals and values.\u003c/p\u003e\u003cdiv id=\"Sec30\" class=\"Section3\"\u003e\u003ch2\u003e3.2.1 Identifying goals and values\u003c/h2\u003e\u003cp\u003eGoals and values are identified at the individual level for participants in the LC and their organizations. At the collective level, they are identified for the LC, society and planet.\u003c/p\u003e\u003cdiv id=\"Sec31\" class=\"Section4\"\u003e\u003ch2\u003e3.2.1.1 Identifying individual goals\u003c/h2\u003e\u003cp\u003eParticipants and their organizations are especially motivated to engage in the pursuit of goals when they see the benefit for their own organization. It is important that everyone in the LC feels that they can benefit, this encourages actors to contribute. It is crucial that on the one hand the goals of participants and organizations and on the other hand collective goal or goals are well aligned. \u003cem\u003e\u0026lsquo;And then it turns out afterwards that we didn't quite understand each other, because everyone is kind of in it from their own problem definition\u0026rsquo; (Respondent 5, educational institution)\u003c/em\u003e. When goals are in line with each other, cooperation becomes easier and everyone involved contributes to the collective goal(s). However, individuals and organizations may have their own interests that clash with collective goals. Interests should be clearly expressed to each other. Through open and safe communication, potential conflicts can be managed and a compromise acceptable to all parties can be found.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec32\" class=\"Section4\"\u003e\u003ch2\u003e3.2.1.2 Identifying collective goals\u003c/h2\u003e\u003cp\u003eIt is important that both the collective end goals and intermediate goals are clearly defined. A clear vision and direction are important for the cooperation and success of the LC. Back casting, or working backwards from a desired future outcome, can help to identify the necessary steps to reach the end goals. '\u003cem\u003eWhen you do back casting, you put a dot on the horizon, and then you say: what happens if everything is sustainable? ...Then what do we need to do now to get the whole system working properly?' (Respondent 1, educational institution).\u003c/em\u003e The LC as a whole and its internal groups should focus on the main collective goals and prioritize. Without focus, there is a risk that efforts will be fragmented and the ultimate goals will not be achieved. However, this does not mean that the goals are fixed from the start. The strategy must be flexible and able to evolve as the situation changes. This includes adjusting the goals and methods based on feedback and changes in the external environment.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec33\" class=\"Section4\"\u003e\u003ch2\u003e3.2.1.3 Set expectations of value\u003c/h2\u003e\u003cp\u003e\u0026lsquo;\u003cem\u003eThe goal was clear, but we didn't quite know what it should look like\u0026rsquo; (Respondent 9, company).\u003c/em\u003e It is essential to clearly agree in advance on what the level and quality of the anticipated value should be. This includes defining the specific requirements that a final product must meet, such as usability, government regulations, and serving the ecosystem. It is important to set realistic expectations about what is achievable within a given time frame and with the available resources. Thus, it is sometimes important to make choices between quick delivery or higher quality. Setting realistic expectations helps to avoid misunderstandings and overestimating what needs to be delivered, increasing the chances of successful completion. As with goal setting, the way in which the process develops may lead to adjustment of the requirements along the way.\u003c/p\u003e\u003c/div\u003e\u003c/div\u003e\u003cdiv id=\"Sec34\" class=\"Section3\"\u003e\u003ch2\u003e3.2.2 Using and developing capabilities\u003c/h2\u003e\u003cp\u003eCapabilities are used and developed through interactions and actions at the individual level by participants in the LC and their organizations, as well as at the collective level by the LC as a whole and its groups.\u003c/p\u003e\u003cdiv id=\"Sec35\" class=\"Section4\"\u003e\u003ch2\u003e3.2.2.1 Individual (inter)actions\u003c/h2\u003e\u003cp\u003eIn the groups within the LC, each delegated participant has a specific task or responsibility that contributes to the success of the LC. \u0026lsquo;\u003cem\u003eEveryone has their own interest... and we assess what tasks match with particular expertise and interest\u0026rsquo; (Respondent 12, company).\u003c/em\u003e\u003c/p\u003e\u003cp\u003eBoth formal and informal interactions between individuals play a big role in sharing knowledge and getting feedback. Interactions can take place through scheduled evaluations, presentations and progress reports, but also through informal conversations at lunch or at the coffee machine. One-to-one contact is particularly needed to discuss complex topics more thoroughly and go over calculations or details. Specialists also have behind-the-scenes meetings with executives from their own or other organizations to fine-tune issues, make decisions or solve problems. Another interaction mentioned, is that organizations, such as universities and companies, supervise students and PhD students in their research and internship assignments in the LC.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec36\" class=\"Section4\"\u003e\u003ch2\u003e3.2.2.2 Collective (inter)actions\u003c/h2\u003e\u003cp\u003eA delegation of the organizations involved, the participants, actively work together in one or more groups to achieve the goals and values of the LC for the energy transition. The actions taken create an iterative process of improvement and innovation. Much attention is paid to carrying out basic studies and measurements, e.g. in buildings, and analyzing data based on interviews, company visits and feasibility studies. The importance of testing and prototyping quickly by the groups is emphasized, without dwelling too long on theoretical discussions. '\u003cem\u003eOne of the things we do a lot in product development is build things quickly..., because then you start seeing what doesn't work. Otherwise you're going to overlook things. So doing a good analysis quickly, but also experimenting'(Respondent 6, company)\u003c/em\u003e. Regular consultations with partners and other stakeholders take place in order to gather feedback and implement improvements.\u003c/p\u003e\u003cp\u003eInteractions within the groups include daily operational updates. There are also (sprint) meetings that take place every few weeks where presentations are made, progress is discussed and joint reflection on value achieved and future areas of concern. \u0026lsquo;\u003cem\u003eIf we only evaluate the moment there is a problem, then of course we are too late\u0026rsquo; (Respondent 11, educational institution).\u003c/em\u003e Formal and informal communication occurs vertically to management as well as horizontally between groups when one group builds on the other group's ideas.\u003c/p\u003e\u003cp\u003eBy organizing meetings at LC level, more people of involved organizations can be informed about previous experiences and new developments, as well as provide valuable input in terms of content and process. LC meetings often consist of workshops, presentations and guest lectures that provide inspiration and stimulate cooperation within the LC. \u003cem\u003e\u0026lsquo;In November, we had a consortium meeting, and linked to it several workshops and consultations to brainstorm on how to proceed and what methodology we will apply took place\u0026rsquo; (Respondent 11, educational institution).\u003c/em\u003e Discussions and evaluations take place both in terms of content and at the collaboration level, which allows participants to share their views on progress.\u003c/p\u003e\u003c/div\u003e\u003c/div\u003e\u003cdiv id=\"Sec37\" class=\"Section3\"\u003e\u003ch2\u003e3.2.3 Achieving functionings\u003c/h2\u003e\u003cp\u003eActions and interactions lead to functionings (see section \u003cspan refid=\"Sec2\" class=\"InternalRef\"\u003e1.1\u003c/span\u003e Capability Approach), divided into value at the individual level for participants and organizations, and at the collective level for the energy transition and the LC. Within the collective value, knowledge sharing emerged as a separate code, as it frequently showed up as an important collaborative value.\u003c/p\u003e\u003cdiv id=\"Sec38\" class=\"Section4\"\u003e\u003ch2\u003e3.2.3.1 Achieving individual value\u003c/h2\u003e\u003cp\u003e\u003cem\u003eParticipants\u003c/em\u003e Through collaboration in the LC, participants continuously gain insights that can be directly applied to their daily work, such as new technologies or methodologies. By giving presentations and actively participating in knowledge sharing, through papers and conferences for example. Academics gain recognition within their field, which can help advance their careers. \u0026lsquo;\u003cem\u003eIt is also a process of development, knowledge broadening, and socially you are trying to do something good\u0026rsquo; (Respondent 10, company).\u003c/em\u003e Professional growth of participants is allied to an extensive network. Students who meet companies during a project or internship can create opportunities for future workplaces during the collaboration. Seeing progress, such as testing ideas, sparring with academics and working with young talent, gives participants both satisfaction and a motivation to contribute.\u003c/p\u003e\u003cp\u003e\u003cem\u003eOrganizations\u003c/em\u003e Organizations strive for broader goals, such as contributing to the energy transition. Social impact is an important motivation for many parties to cooperate in a LC, but collaboration also often leads to commercial opportunities. At the end of the collaboration, organizations can valorize the knowledge they have accumulated by disseminating it through publications, new products, or by applying it in other projects or processes. This leads to long-term benefits, such as new business cases or improved processes. In addition, organizations in an LC can identify talent (early) and potentially recruit future staff.\u003c/p\u003e\u003c/div\u003e\u003cdiv id=\"Sec39\" class=\"Section4\"\u003e\u003ch2\u003e3.2.3.2 Achieving collective value\u003c/h2\u003e\u003cp\u003eThe goal of many LCs is creating societal and ecological benefit, such as improving energy efficiency in neighborhoods and schools. By working together, new concepts and prototypes are created, tested and improved, leading to an accelerated innovation cycle and practical sustainable solutions for local communities, such as hot water buffers. As a result, valuable learning experiences and insights are gained by the LC as a whole and its internal groups that contribute to further development and improvement. Products can eventually be further scaled up and more widely implemented in buildings and other applications.\u003c/p\u003e\u003cp\u003eKnowledge sharing is considered an important yield, distinguishing between internal knowledge sharing within the LC and external knowledge sharing. Not every partner is equally active within the LC. In order to increase engagement and share the latest developments, communication to partners takes place through various channels, such as e-mail, internal platforms, newsletters and reports. '\u003cem\u003eIf it stays within the group of people, no one else benefits. So which people need to know? How will you disseminate the knowledge?'(Respondent 12, company).\u003c/em\u003e By actively sharing knowledge externally through publications, conferences, workshops, tours, webinars and other forms of communication, knowledge becomes accessible to a wider audience, such as other companies, governments and educational institutions. Participants give lessons about energy transition in primary schools, for example, and develop supporting educational resources and tools, such as explainer videos.\u003c/p\u003e\u003cp\u003eIt is emphasized that publicity should be planned strategically, especially in product development. A balance is needed between informing the public and avoiding distractions or unrealistic expectations. Celebrating important milestones, such as the completion of a pilot or product, is seen as an opportune time to share knowledge with a wider audience, including potential customers and funders. Finally, it is indicated that new relationships and shared networks ensure future collaborations and projects, with potential long-term benefits for all parties involved. Collaboration between different LCs is seen as essential to accelerate the energy transition.\u003c/p\u003e\u003c/div\u003e\u003c/div\u003e\u003c/div\u003e"},{"header":"4. Discussion","content":"\u003cp\u003e\u003cdiv class=\"BlockQuote\"\u003e\u003cp\u003eThe present study aimed to gain insight into factors that influence capabilities and into agency processes in LCs for the energy transition, both at individual and collective level. Therefore, the following research question was formulated: To what extent can individual and collective agency and capabilities in LCs focusing on the energy transition be related to both the opportunity aspect and the process aspect of freedom as described in the CA?\u003c/p\u003e\u003c/div\u003e\u003c/p\u003e\u003cp\u003eThe results affirm that individual and collective agency in LCs focusing on the energy transition can be related to both the opportunity aspect and the process aspect of freedom as described in the CA. The factors and processes we identified are shown schematically in the model in Fig.\u0026nbsp;\u003cspan refid=\"Fig5\" class=\"InternalRef\"\u003e5\u003c/span\u003e. The capabilities (participants of) LCs in the energy transition have, is linked to the opportunity aspect. The \u003cem\u003econversion factors\u003c/em\u003e determine the extent to which available \u003cem\u003eresources\u003c/em\u003e can actually be used in the LC. Hindering and promoting \u0026lsquo;socio-ecological\u0026rsquo;, \u0026lsquo;organizational\u0026rsquo; and \u0026lsquo;personal conversion factors\u0026rsquo; can reduce and boost individual and collective capabilities. The different forms of capital described by Carayannis et al. (\u003cspan citationid=\"CR4\" class=\"CitationRef\"\u003e2012\u003c/span\u003e) were used for coding our study: \u0026lsquo;human\u0026rsquo;, \u0026lsquo;social\u0026rsquo;, \u0026lsquo;information\u0026rsquo;, \u0026rsquo;economic\u0026rsquo;, and \u0026lsquo;political and legal capital\u0026rsquo;. These forms of capital are important to be exchanged in LCs to develop capabilities and achieve functionings, showing the importance of involving various organizations with different backgrounds in the LC. Our results also show that if capital is not present among the partners, it is attracted from outside the LC (see section \u003cspan refid=\"Sec15\" class=\"InternalRef\"\u003e3.1.2\u003c/span\u003e. Resources). This is especially true for human capital and information capital. Furthermore, it emerged that access to three additional resources is essential for being able to collaborate in an LC: \u0026lsquo;funding\u0026rsquo;, \u0026lsquo;learning environments\u0026rsquo; and \u0026lsquo;time\u0026rsquo;. Besides resources, \u003cem\u003estructural constraints\u003c/em\u003e influence people's capabilities (Robeyns, \u003cspan citationid=\"CR14\" class=\"CitationRef\"\u003e2016\u003c/span\u003e). We applied the following specific structural constraints to the LC: \u0026lsquo;social norms\u0026rsquo; and \u0026lsquo;aligning resources\u0026rsquo;. \u0026lsquo;Structure within the LC\u0026rsquo; and the \u0026lsquo;role of the facilitator\u0026rsquo; emerged as other important structural constraints. Structural constraints in particular highlight the balancing act between the need for structure and standardization in order to ensure efficiency and progress on the one hand, and the need for flexibility and contextual adaptation to promote creativity and innovation on the other hand. The facilitator's role proves crucial to the LC's performance and therefore represents an important structural constraint. Facilitators independently guide processes that take place within the LC as a whole and its internal groups, such as planning and guiding meetings. Since structural constraints in our study refer not only to limitations but also to chances, we would prefer to use the term structural conditions instead of structural constraints.\u003c/p\u003e\u003cp\u003e\u003c/p\u003e\u003cp\u003eThe process aspect, that is linked to agency, concerns \u003cem\u003eidentifying goals and values\u003c/em\u003e, both at an individual and collective level. In addition, we found that it is important to have clear expectations about anticipated value. Based on the identified goals and values, \u003cem\u003ecapabilities are utilized and developed\u003c/em\u003e through individual and collective actions and interactions of participants, organizations, and the LC \u0026lsquo;(the groups and the LC as a whole) (Pelenc et al., \u003cspan citationid=\"CR12\" class=\"CitationRef\"\u003e2015\u003c/span\u003e; Leβman, 2022). Actions and interactions lead to \u003cem\u003eachieved functionings\u003c/em\u003e for the energy transition, the LC, organizations and participants. Knowledge sharing with partners and other target groups emerged as one of the key values of the collaboration.\u003c/p\u003e\u003cp\u003eContinuous evaluation and feedback, explicit or implicit, plays an important role in adjusting goals and plans to improve innovations. The process aspect consists of: 1) identifying goals and values, 2) utilizing and developing capabilities, and 3) achieving functionings. Therefore, it should not be seen as a linear process, but as a dynamic model. As such, identifying goals and values cannot take place without actions and interactions; with the accomplishment of (intermediate) goals, new goals are identified; and during the achievement of functionings, capabilities are used and developed. The separation between the individual and collective levels is not always clear either. For example, individual actions and interactions take place in the context of the group and are often in the interest of both the individual participants and their organizations, but at the same time relevant for achieving collective goals. Even with regard to the opportunity aspect, the different factors cannot be strictly separated. For example, within \u0026lsquo;Resources\u0026rsquo;, available time and funding appear to be directly related: without funding, time cannot be provided.\u003c/p\u003e\u003cp\u003eIt was sometimes difficult to compartmentalize agency for the reason described above. Although factors and processes cannot be strictly divided, we consider a division to be useful. This is because if influencing factors are recognized and taken into account, optimal opportunities can be created for individual and collective agency processes to take place in LCs for energy transition. Follow-up research is needed to investigate how the model (see Fig.\u0026nbsp;\u003cspan refid=\"Fig5\" class=\"InternalRef\"\u003e5\u003c/span\u003e) can be used in setting up new LCs. In addition, future research could study empowering and evaluating agency in existing LCs, both focused on the energy transition as well as (potentially) in other areas such as healthcare and logistics. For setting up or further developing an LC, it may be useful to relate our model to design considerations for hybrid learning environments, such as the multilevel design framework by Bouw et al. (\u003cspan citationid=\"CR3\" class=\"CitationRef\"\u003e2021\u003c/span\u003e).\u003c/p\u003e\u003cp\u003eWe have described all value created in this process under \u0026lsquo;achieving functions\u0026rsquo;, including potential value that can be seen as a product of using and developing capabilities. Follow-up research could delve deeper into the relationship between value creation, resources and capabilities by, for example, using the value-creation framework described by Wenger-Trayner and Wenger-Trayner (\u003cspan citationid=\"CR25\" class=\"CitationRef\"\u003e2020\u003c/span\u003e). Finally, the interviewees were in many cases involved in an LC consisting of companies and educational organizations. Only three representatives of civil society organizations and government were interviewed. As a result, the contribution of these parties as partners in the LC has been underexposed in this study. While this clarifies that some forms of resources, such as information capital, can also be obtained from outside the LC, it would be interesting for the further development of the model to study more LCs in which all the parties of the public- private- people- planet partnership (Carayannis, et al., \u003cspan citationid=\"CR5\" class=\"CitationRef\"\u003e2024\u003c/span\u003e) are represented, including non-humans and future generations (Seckler \u0026amp; Volkert, \u003cspan citationid=\"CR17\" class=\"CitationRef\"\u003e2021\u003c/span\u003e). Nevertheless, we conclude that with this study we have taken a first step in developing a model that understands individual and collective agency and capabilities in LCs for the energy transition\u003c/p\u003e"},{"header":"Declarations","content":"\u003cp\u003eData availability\u003c/p\u003e\n\u003cp\u003eThe dataset generated during and/ or analyzed during the current study in the ET-TLC project will be securely stored at 4TU.ResearchData (http://researchdata.4tu.nl), which is a Trusted Digital Repository for technical-scientific research data in the Netherlands.\u003c/p\u003e\n\n\u003cp\u003eFunding declaration \u003c/p\u003e\n\u003cp\u003eThis work was supported by NWO call \u0026apos;Human Capital: Learning communities as innovation accelerators\u0026rsquo;, Project: \u0026lsquo;Energy Transition: Talent in Learning Communities (ET TLC)\u0026rsquo;, Grant number / URL: 2022/KIC/01245237\u003c/p\u003e\n\n\u003cp\u003eCompeting interests\u003c/p\u003e\n\u003cp\u003eThe authors declare no competing interests.\u003c/p\u003e\n\n\u003cp\u003eEthical statements\u003c/p\u003e\n\u003cp\u003e\u003cstrong\u003eEthical Approval \u003c/strong\u003eThis study was performed in line with the principles of the Declaration of Helsinki and its later amendments. Approval was granted by the Ethics Committee of The Hague University of Applied Sciences (THUAS Ethics Committee) on July 9, 2024, following review of the research project titled \u0026ldquo;Characteristics of individual and collective agency in learning communities for the energy transition.\u0026rdquo; The approval number is Approval number: 20240513-01. The committee raised no objections to the ethical aspects of the study. The approval remains valid unless substantial changes are made to the research protocol, in which case an amendment must be submitted for continued approval.\u003c/p\u003e\n\u003cp\u003e\u003cstrong\u003eInformed consent \u003c/strong\u003eWritten informed consent was obtained from all participants using a standardized form signed on July 8, 2024. Participants were fully informed about the study\u0026rsquo;s purpose, procedures, data handling, and their rights, including voluntary participation and the option to withdraw at any time. Consent covered participation, anonymized data use for scientific publications and presentations, and potential reuse for future research within the same academic field. All data were anonymized and securely stored in accordance with GDPR regulations.\u003c/p\u003e"},{"header":"References","content":"\u003col\u003e\n\u003cli\u003eAlkire, S., \u0026amp; Deneulin, S. (2009). The human development and capability approach. In S. Deneulin \u0026amp; L. Shahani (Eds.), An introduction to the human development and capability approach: Freedom and agency (pp. 22-48). Routledge. https://doi.org/10.4324/9781849770026\u003c/li\u003e\n\u003cli\u003eBillett, S. (2004). Workplace participatory practices. Journal of Workplace Learning, 16(6), 312\u0026ndash;324. https://doi.org/10.1108/13665620410550295 \u003c/li\u003e\n\u003cli\u003eBouw, E., Zitter, I., \u0026amp; de Bruijn, E. (2021). Multilevel design considerations for vocational curricula at the boundary of school and work. 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UNESCO. https://www.unesco.org/en/articles/what-you-need-know-about-unescos-recommendation-education-peace-human-rights-and-sustainable. Accessed September 20, 2024.\u003c/li\u003e\n\u003cli\u003eVecchio, G. \u0026amp; Martens, K. (2021): Accessibility and the Capabilities Approach: a review of the literature and proposal for conceptual advancements, Transport Reviews, DOI: 10.1080/01441647.2021.1931551\u003c/li\u003e\n\u003cli\u003eVeltman, M. E., van Keulen, J., \u0026amp; Voogt, J. M. (2021). Using problems with wicked tendencies as vehicles for learning in higher professional education: Towards coherent curriculum design. Curriculum Journal, 30(4), 530-548. https://doi.org/10.1002/curj.100 \u003c/li\u003e\n\u003cli\u003eWenger-Trayner, E., \u0026amp; Wenger-Trayner, B. (2020). \u003cem\u003eLearning to make a difference: Value creation in social learning spaces\u003c/em\u003e. Cambridge University Press.\u003c/li\u003e\n\u003c/ol\u003e"}],"fulltextSource":"","fullText":"","funders":[],"hasAdminPriorityOnWorkflow":false,"hasManuscriptDocX":true,"hasOptedInToPreprint":true,"hasPassedJournalQc":"","hasAnyPriority":false,"hideJournal":true,"highlight":"","institution":"","isAcceptedByJournal":false,"isAuthorSuppliedPdf":false,"isDeskRejected":"","isHiddenFromSearch":false,"isInQc":false,"isInWorkflow":false,"isPdf":false,"isPdfUpToDate":true,"isWithdrawnOrRetracted":false,"journal":{"display":true,"email":"[email protected]","identity":"researchsquare","isNatureJournal":false,"hasQc":true,"allowDirectSubmit":true,"externalIdentity":"","sideBox":"","snPcode":"","submissionUrl":"/submission","title":"Research Square","twitterHandle":"researchsquare","acdcEnabled":true,"dfaEnabled":false,"editorialSystem":"","reportingPortfolio":"","inReviewEnabled":false,"inReviewRevisionsEnabled":true},"keywords":"","lastPublishedDoi":"10.21203/rs.3.rs-7380499/v1","lastPublishedDoiUrl":"https://doi.org/10.21203/rs.3.rs-7380499/v1","license":{"name":"CC BY 4.0","url":"https://creativecommons.org/licenses/by/4.0/"},"manuscriptAbstract":"\u003cp\u003eIn learning communities (LCs), various parties from public, private and civil society organizations come together to deal with ever-changing \u0026lsquo;wicked situations\u0026rsquo;, as for the energy transition, while developing the capabilities of participants and their organizations. This requires agency processes at both individual and collective levels. This study aims to provide insight into both factors influencing agency and individual and collective agency processes within LCs for energy transition. For this purpose,15 open-ended interviews were conducted with stakeholders of existing LCs in the energy transition in the Netherlands. The analysis used the Capability Approach (CA), which focuses on an opportunity and process aspect. The results show that within the opportunity aspect, conversion factors such as socio-ecological and organizational factors, as well as access to resources including human and social capital play a crucial role in capability development. In addition, structural constraints within the LC, such as social norms and the role of the facilitator, appear to be essential for LC effectiveness. The study concludes that by taking into account opportunities and creating opportunities, agency processes at the individual and collective level can be optimized. Therewith, goals and values are identified, and (inter)actions taken lead to value for individuals and collectives.\u003c/p\u003e","manuscriptTitle":"Individual and collective agency and capabilities in learning communities for the energy transition","msid":"","msnumber":"","nonDraftVersions":[{"code":1,"date":"2025-10-17 15:54:28","doi":"10.21203/rs.3.rs-7380499/v1","editorialEvents":[{"type":"communityComments","content":0}],"status":"published","journal":{"display":true,"email":"[email protected]","identity":"researchsquare","isNatureJournal":false,"hasQc":true,"allowDirectSubmit":true,"externalIdentity":"","sideBox":"","snPcode":"","submissionUrl":"/submission","title":"Research Square","twitterHandle":"researchsquare","acdcEnabled":true,"dfaEnabled":false,"editorialSystem":"","reportingPortfolio":"","inReviewEnabled":false,"inReviewRevisionsEnabled":true}}],"origin":"","ownerIdentity":"f1f12f5b-779b-4e5d-87cc-421fcd1cd4fb","owner":[],"postedDate":"October 17th, 2025","published":true,"recentEditorialEvents":[],"rejectedJournal":[],"revision":"","amendment":"","status":"posted","subjectAreas":[{"id":56181729,"name":"Earth and environmental sciences/Environmental social sciences"},{"id":56181730,"name":"Biological sciences/Psychology"},{"id":56181731,"name":"Social science/Psychology"}],"tags":[],"updatedAt":"2026-02-15T13:54:13+00:00","versionOfRecord":[],"versionCreatedAt":"2025-10-17 15:54:28","video":"","vorDoi":"","vorDoiUrl":"","workflowStages":[]},"version":"v1","identity":"rs-7380499","journalConfig":"researchsquare"},"__N_SSP":true},"page":"/article/[identity]/[[...version]]","query":{"redirect":"/article/rs-7380499","identity":"rs-7380499","version":["v1"]},"buildId":"8U1c8b4HqxoKbykW_rLl7","isFallback":false,"isExperimentalCompile":false,"dynamicIds":[84888],"gssp":true,"scriptLoader":[]}