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L U N D S U N I V E R S I T E T

Innovation processes and transitions towards

sustainability

Stockholm Resilience Centre, Stockholm University

Lars CoenenCIRCLE

Lars.Coenen@circle.lu.se

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L U N D S U N I V E R S I T E T

Objectives of lecture

• Theory: create understanding of key concepts for transition analysis

• Analysis: develop ability to translate concepts into pragmatic framework for empirical analysis

• Critical thinking: reflect on limitations and shortcomings of transition studies

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L U N D S U N I V E R S I T E T

Overview of lecture

• What is a sustainability transition? Key characteristics?

• Theoretical origins: evolutionary and institutional approaches to socio-technical change

• Two key analytical framework:– Technological Innovation Systems– Multi-Level Perspective

• Implications for governance / policy• What is a sustainability transition? Key

characteristics?

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L U N D S U N I V E R S I T E T

Theoretical origins

• (Economic) Evolutionary theory (Nelson, Winter, Dosi):– Change as a process of variation, selection

and retention– Dominant design (Abarnathy & Utterback)– Incremental, radical and paradigmatic

innovation• Institutional theory (North, Scott, Hodgson)

– Innovation as inter-organizational process– Organizations are guided by institutions

which results in mimicry and conformity

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Socio-Technical System (Geels, 2004)

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A definition of ’transition’

• Co-evolution towards system innovations through new technology, changes in markets, user pratices, policy and cultural discourses, and governing institutions (Geels, Hekkert and Jacobsson, 2008)(1) co-evolution and multiple changes in socio-

technical systems or configurations(2) multi-actor interactions between social

groups such as firms, user groups, scientific communities, policy makers, social movements and special interest groups

(3) ‘radical’ change in terms of scope of change (not speed)

(4) long-term processes covering 40-50 years.

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L U N D S U N I V E R S I T E TTIS: framework for analyzing the emergence and formation of new technology (Bergek et al., 2008)

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TIS: example

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TIS: critisisms

• Strict technology focus– Is technology always the solution?– Pet-technology versus technology mix

• Too much focus on mechanisms– Black-boxing the causes for

inducement / blocking mechanisms– Naive policy lessons (push the button)

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Socio-technical regimes (Kemp et al. 1998)

• A socio-technical regime is defined as `the coherent complex of scientific knowledge, engineering practices, production process technologies, product characteristics, skills and procedures, established user needs, regulatory requirements, institutions and infrastructures that make up the totality of a technology‘’

• A regime pre-defines the variation and selection environment for an innovation

• Helps explain why most change is non-radical and geared to regime optimization

• Constitutes a major barrier for new technology

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Example regime

• Technological convergence around combustion engine, personal vehicles and fossil fuels

• Government policy and regulatory framework: e.g. safety requirements, taxes, city planning

• Cultural and psychological factors: car as symbol of indivual freedom

• Demand factors: price competitiveness & institutionalized user behaviour

• Production factors: economies of scale through mass production

• Infrastructure and maintenance: threshold to existing distribution system & repairs

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Niche

• Niches are “protected spaces in which actors learn about novel technologies and their uses” (Geels, 2002, p. 365) and that nurture novelty and protect radical innovations against mainstream market selection– Military demand– Early markets

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Governance implications: Strategic Niche Management (Raven, 2005)

technical development: design specifications and required complementary technologyuser context: user characteristics, requirements, meanings and barriers to usesocietal and environmental impactindustrial development: production and maintenancegovernment policy and regulatory framework.

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Socio-technical transitions: multi level perspective (Geels, 2004)

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L U N D S U N I V E R S I T E TMulti-level perspective: path dependence versus path creation (Geels & Schot, 2006)

• Reproduction of regime: business as usual• Transformation path: the regime adapts to

landscape pressures without being threathened by niches

• Technological substitution: the existing regime is replaced by a sufficiently strong niche

• Reconfiguration: partial replacement of elements if the regime by niche

• De-alignment & re-alignment: in case of multiple niches

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Three analytic dimensions to regimes and niches

• Rules• Actors• System

• Defining difference: degree of stability

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Scheme for analysis of rulesFormal/regulative Normative Cognitive

Technological and product regimes (research, development, production)

Science regimes

Policy regimes

Socio-cultural regimes (societal groups, media)Users, markets and distribution networks

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Transitions as a new policy approach to sustainability

• Existing approaches…– Technical expertise and administration– Market reforms– Behavioural change

…only focus on singular dimensions of sustainability.• Transitions acknowledges:

– Co-evolution– Multi-dimensional interaction– Long-term goals and committment

• Through:– Learning, radical innovation, experimentation, searching

for new paths, participatory approaches, multi-actor interactions, selection processes and network evolution.

• But…

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Critisism

• Neglect of power dimension (Kern and Smith, 2008)– Who are regime / niche actors?– Impact of globalization

• Risk of devolving into ’soft’ policy

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Exercise

• What is a sustainability transition?• What are it’s key characteristics? Or: how

do we recognize a sustainability transitions when we see one?