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The National System of Innovation as a Co-evolutionary The National System of Innovation as a Co-evolutionary Regime for Socio-Technical TransitionRegime for Socio-Technical Transition
Sangook ParkSangook Park
SPRU, University of SussexSPRU, University of Sussex
2
Contents
Part I. Brief introduction of my Ph.D. project
The National System of Innovation as a Socio-Technical Regime: Co-evolution of Technology and STI Policy in the Early Stages of the Hydrogen Energy Transition.
Part II. Ongoing WP on the result from Korean case study
R&D Network as a Precursor to an Emerging Sectoral System of Innovation: Evolution of the Hydrogen Energy Sector, Incubated by Government Funding Programmes.
3
Context of this research
The NIS concept had contributed to explain the national dependence of econ
omic development on its first phase in 1980s. (Freeman, Lundvall, Nelson) : Un
derstanding what has happened.
Until recently and going on, researchers has been using the NIS concept to s
how international differences in capability, growth, performance, etc. (Verspage
n, Fagerberg, Godinho …) : Seeing what is going on.
Various systemic approaches have been located at the centre of STI researc
hes.
In this research, the NIS is to be seen as a regime for co-evolution of everythi
ng (actors/components, tangible/intangible things), especially the co-evolution o
f an emerging technology and STI policy for it, emphasizing social aspects, co
mbined with socio-technical system theory.
Part I.
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Societal aspects of emerging technologies, especially (large) energy technology
“I wish to emphasize only that there are numerous compelling reasons
for preferring one energy form over another. Energy models that do not
take these reasons into account will be very inadequate guide to future
energy policy making.” (Rosenberg)
“Consumers cannot possibly be aware of the various long-term side
effects of a multitude of individual choices about many products….Yet the
social costs may well be so great that they negate the private benefits to
most consumers.” (Freeman)
• Innovations and deployment of sustainable energy technologies have been d
riven by supply-side actors and government policies, rather than consumers’ d
emand.• Social acceptance and technical compatibility became key factors in a large t
echnological system transition.
5
Relatively new and growing Interdisciplinary Not a big, unifying theory but a mixture of theories
Theories
(large) Technological System Theory
Actor Network Theory
Socio-technical system theory
• System builder• Pattern of evolution: inventiondevelopmentinnovation
transfergrowth, competition and consolidation• Energy systems, transport and social infrastrucre• Hughes(1983), Hughes(1989), Coutard(1999)
Innovation System Theory
• Actor, actant and their network• Mediator• Translation, Purification, Inscription• Latour(1987, 2005), Callon(1989)
• Components, actors and their networks• Institution, culture and government policy• Interactive learning• National, regional, sectoral level• Freeman(1987, 1997), Lundvall(1992), Nelson(1993),
Edquist(1997)
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T im eT im e
L a n d sc a p e d e v e lo p m e n ts p u t p re s su re o n e x is tin g re g im e , w h ic h o p e n s u p , c re a tin g w in d o w s o f o p p o rtu n ity fo r n o v e lt ie s
S o c io - te c h n ic a l re g im e is ‘d y n a m ic a lly s ta b le ’.O n d iffe re n t d im e n s io n s th e re a re o n g o in g p ro c e ss e s
N e w c o n f ig u ra tio n b re a k s th ro u g h , ta k in ga d v a n ta g e o f ‘w in d o w s o f o p p o rtu n ity ’ . A d ju s tm e n ts o c c u r in s o c io - te c h n ic a l re g im e .
E le m e n ts a re g ra d u a lly l in k e d to g e th e r,a n d s ta b il is e in a d o m in a n t d e s ig n .In te rn a l m o m e n tu m in c re a se s .
L e a rn in g p ro c e s se s ta k e p la c e o n m u ltip le d im e n s io n s .D iffe re n t e le m e n ts a re g ra d u a lly l in k e d to g e th e r in a se a m le s s w e b .
N e w s o c io - te c h n ic a lre g im e in f lu e n c e s la n d s c a p e
Tech n o log ica ln ich es
S oc io -tech n ica l’lan d scap e
S oc io -tech n ica lreg im e
Te c h n o lo g y
M a rk e ts , u se r p re fe re n c e s
C u ltu reP o lic y
S c ie n c eIn d u s try Components and network in the
socio-technical regimeWhere co-evolution take place.
Landscape:• Global environment• outer-regime factors• Interaction with the regime
Niche:• New and emerging technologies• Competition • Technology trajectory
Geels(2004)
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EmergingTechnology
Governance:mediator
Policy
STAGE I STAGE II STAGE III
possibilityDevelopment/commercialization consolidation
social change
Promotion ofR&D/ risks
+ demonstration/ industry formation/ market rules/ social acceptability
+ Regulation/ social effects/ competitiveness
emergence
researchers
maturing complex
+ Government/ industry
+ civil society/ users
all the people
Co-evolution of emerging technology and policy, mediated by governance
scientific evidence
engineeringfeasibility
innovation
Co-evolutionary paths depend on national systems of innovation• It is not necessary to start from stage I • The direction is not time-dependent: stage-up can occur discontinuously• Some countries may take the reverse-direction
Framework
8
FrameworkComponents and actors in NSI which influence the co-evolutionary pathway in e
merging energy technology
STI policies for emerging technology: • Communication language and learning process between various actors• Steering the direction of co-evolution• Influenced by actors and also influencing actors (Interacting)• They are forms of institutions and they are transforming institutions• Initial code for industry formation and market rules (standards, regulations etc.)
NIS basic factsR&D capacity
Market conditionInstitutions
Governance & political systemSocio-economic aspects
Networks of actors, especially firms (MNEs, LFs, SMEs)
Strategic aim of a nationMajor target technologies
/ technological pathwaySTI policy
Industrial policySTS policy
Interactions/ Co-evolution
9
Framework and methodology
Analysing NISs of three selected countries Comparative analysis of hydrogen R&D and energy policies
Iceland: A test-bed for the first Hydrogen Society in the world. United Kingdom: A European developed country, putting more weight
on sustainability. South Korea: Lately developed country with a rapid catching-up experi
ence.
Semi-structured interviews (government, quasi-government agencies, firm
s, policy researchers, scientific researchers, NGO etc.) Iceland: 7 interviews United Kingdom: 13 interviews so far (planned more) South Korea: 18
Social Network Analysis United Kingdom: Evidence for policy networks South Korea: will be presented in this presentation
10
Results: NSI and co-evolutionary pathways
Iceland: a living-scale experiment of socio-technical transition
Economy & energy environ.
Small economic size with high GDP per capitaPopulation: 270,000Plenty of renewable energy (hydropower and geothermal)
Society & culture
Small, primary societyEnvironment-friendlyChallengingEnergy transition experiences(coal gas renewable)High social acceptability
STI and Industry
Low technological capabilityFishery Aluminum processing FinanceEnergy firmsAlmost no manufacturing industry except aluminum
Policy Transportation (FCV and marine use), demonstration, social acceptance
Oil-free country
Focused hydrogen technology
Hydrogen storage, on-site hydrogen generation
Knowledge from operation
Governance Small, simple, primary, flexible and effective
11
Evolution of hydrogen energy policy in Iceland
(~1997)
No specific policy or R&D programme on hydrogen energy
Small group in scientific community discussed about the possibility
(1998)
The government statement on the Hydrogen Economy (world 1st)
It was resulted from the converging of following three parts; the characteristics of natural
environment of Iceland, the debates of Icelandic scientist, and the inspiration from the
changes of global status about Hydrogen energy.
Drivers: aluminum industry, Kyoto protocol, energy security
(1999~2005)- The Icelandic New Energy Ltd. established, which has performed most of activities- Demo projects like fuel cell bus, Hydrogen fuelling station
- Social aspect studies and developing PR.
- International partnership; IPHE- Supporting domestic R&D
(2006~)
- National Hydrogen Roadmap: Strategic selection of target technologies, the plan for
deployments
- Second phase demo projects
12
United Kingdom : Sustainability matters
Economy & energy environ.
Large economic size with high GDP per capitaNorth Sea oilLong history of industrialization and economic changes
Society & culture
Large, complex societyHigh environmental concernSensitive to climate changeHigh social acceptability for renewable energyMature civil participation
STI and Industry
High technological capabilityBut weak manufacturing industryLarge energy firmsService industryActive and good-quality policy researches
Policy Sustainability & against the climate change, energy security
Many policy-suggestion bodies, including interest groups, NGOs, and policy researchers
Focused hydrogen technology
Hydrogen generation and storage as an electricity storing method
Governance fragmented, complex governance
13
Evolution of hydrogen energy policy in the UK
(~2001) Research-councils based, less-organised R&D programmes (2002) DTI started organised activities, such as formation of network of interest groupsThe Carbon Trust established. (2003) Fuel Cells UK: A fuel cell vision for the UK 2003 - It emphasised the possibility of fuel cell technologies.- It requested leadership and vision on fuel cells, contained messages to stakeholders, and
requested for government actions.(2004) Tyndall Centre: Hydrogen Energy Scenarios to 2050 - To map out the stages required for a national energy infrastructure based on hydrogen
produced from renewable sources.(2004) A strategic framework for hydrogen energy in the UK (official policy paper)- Hydrogen energy is a desirable addition, to CO2 reduction and improved upstream energy
security as key goals for UK innovation and wealth creation.- The UK’s technical strength and industrial weakness(2005) Fuel Cells UK: Roadmap for fuel cell sector development - Assessment of the UK situation: strength and weaknesses in fuel cells- Steps, actions and timescales to overcome challenges(2005 onward)) UK sustainable hydrogen energy consortium: UK Hydrogen Futures to 2050 - Roadmap development and designing scenarios - Hydrogen transition (adopted socio-technical system approach)- Various social aspects, such as acceptability and risk
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South Korea: Catching-up / hydrogen as a new industrial opportunity
Economy & energy environ.
Large economic size with mid-high GDP per capitaDepends on imported fossil fuelsUnderdeveloped renewable energy Big firms (BGs) are important
Society & culture
Large, complex societyLittle environmental concernChallenging cultureRapid changesHigh social acceptability for new technologiesImmature civil participation
STI and Industry
High technological capability, especially applications & productionElectronics and automobile industry GRIsLess policy researchesCatching-up in not only technologies but also policies
Policy Industrialization of FCV and energy security
Benchmarked foreign policies, mainly U.S. policy
Focused hydrogen technology
Fuel cells
Governance Centralized, top-down (government lead), lack of policy research capability
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Evolution of hydrogen energy policy in South Korea
(~2002)
Several national-level R&D programmes on hydrogen energy as part of new & renewabl
e energy research. (Hyundai Motor Company started in-house R&D on FCV in 1998)
(2003)
Fuel cell technology was selected as the one of ten ‘Next Generation Technologies for
Economic Growth’
The first policy research report on Hydrogen technologies was reported to the
Presidential Advisory Council of Science and Technology; This report was mainly
technological, paid no attention on scenarios or socio-economic aspects.
(2004)
National RD&D Organization for Hydrogen & Fuel Cell, was launched.
South Korea joined IPHE
(2005)
The Hydrogen Economy Master Plan published by MOCIE
This can be regarded as mostly R&D policy, partly energy usage forecasting.
- The aim of this master plan is shown clearly that it is focused on the industrialisation of
fuel cell vehicle. (industrialisation > energy security > sustainability)
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Results: Policy-steered technological development
• Socio-technical regime (NSI) influences R&D activities
• Government policies strongly steer the direction of technological trajectory.
Comparison of UK and South Korea
1. Hydrogen technology emerging, and Korea’s catching-up in hydrogen technologies
SCI publications in the UK and South Korea. Subjects related to Hydrogen generation, storage, and fuel cells.
0
50
100
150
200
250
300
kor- alluk- all
kor-all 6 2 7 10 24 37 32 46 68 86 104 131 155 231 235
uk-all 85 98 91 91 109 147 149 177 162 196 166 204 190 232 246
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
17
0
20
40
60
80
100
120
140
160
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
kor- stouk- sto
0
20
40
60
80
100
120
140
160
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
korea- genuk- gen
0
20
40
60
80
100
120
140
160
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
kor- fcuk- fc
0
20
40
60
80
100
120
140
Number of US patent applications
2. Technology selection: SCI publications decomposed
Hydrogen generation Hydrogen storage Fuel cells
18
Conclusion
• Co-evolution in NSI: A dynamic transition• Everything in the system co-evolves, interacting with each other.• STI policies are steering the co-evolutionary pathway. STI policies are not
only the product from but also the language of interactions among actors an
d institutions.
• National System of Innovation as a co-evolutionary regime• This research shows that national dependence exists not only in performan
ce and capability, but also in evolution of policies.• The dependence and differences were resulted from systemic factors.
• Social aspects: historical and cultural perspectives• Existing strong industry• Governance: social capital, civil participation, and policy networks• Institutional and organisational aspects
19
Part II. Ongoing WP on the result from Korean case study
R&D Network as a Precursor to an Emerging Sectoral Syste
m of Innovation: Evolution of the Hydrogen Energy Sector in Kor
ea, Incubated by Government Funding Programmes.
Sangook Park
SPRU, University of Sussex
Hyun-do Choi
TEMAP, Seoul National University
20
The emergence of a new SSI (Malerba, 2002, 2007)
1. Emerging knowledge base
- From scientific and technological development (not necessarily new)
- From emerging social demand, or from socio-technical landscape changes
2. Formation of networks
- (sometimes) Aided by government policy
- Global industrial trend / activities of MNEs
3. Involvement of existing actors and new actors
- Number of startups in the sector can be an indicator of SSI emergence.
- The role of government / quasi-government agency is important, especially
when it is immature.
4. Institutions, evolving
- With existing institutions, in the early stages of the emerging SSI.
- Institutions are co-evolving, within the evolution of the SSI.
21
Obstacles against the emergence of a new SSI
1. Uncertainty and risk
- Technological uncertainty
- Unknown social acceptance of the new technological system
2. Possible system failure
- Absence of relevant industry policy
- Difficulties in transition management
3. Resource and investment
- (sometimes) Infrastructure is needed
4. Difficulties in knowledge flow
22
Government funding programmes as catalysts
Building capabilities for the future
Seeding and managing of knowledge networks (between universities,
GRIs, and firms)
Reducing uncertainties of under-realised technologies
Direct/indirect subsidizing firms, especially SMEs, to encourage their
involvement into the emerging sector.
Part of STI policy and/or industrial policy activities
Also, formation of policy network which is specialised to the technolo
gy
23
R&D networks as precursor to the emerging SSI
Malerba (2002, 2007) wrote about the main building blocks of a sectoral
system of innovation and production as being identified by the following ones:
• knowledge base and learning processes
• basic technologies, inputs and demand, with key links and dynamic complementarities
• type and structure of interactions among firms and non-firms organizations;
• institutions
• processes of competition, cooperation, and coevolution.
AND/OR three building blocks as:
1. Knowledge and technological domain 2. Actors and networks
3. Institutions
R&D networks can be regarded as a precursor to the sectoral system
• R&D networks have many of above identifications.
• R&D links can evolve to value chains, R&D collaborations can evolve to busi
ness collaborations/alliances. So can R&D competitions.
• They will co-evolve, interacting with other components in system.
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Methodology
Social network analysis on government R&D funding programmes in Korea 19
89~2005• Network maps were drawn by using UCINET software• Non-R&D bodies such as the government and quasi-government agencies w
ere intentionally omitted.• Any participation in the same programme was marked as one link between n
odes, with no weight given.
year Programme
1988~2004 New and renewable energy technology development (hydrogen division)
1992~2001 G7/ new energy technology development (fuel cell division)
1998~2001 G7/ Next-generation vehicle technology development
2000-2002 High efficiency hydrogen generation technology development
2003-2005(cont.)21C Frontiers/ high efficiency hydrogen energy production, storage, and
application
2004~2005(cont.) Hydrogen and fuel cells national research
2004~2005(cont.) Fuel cells core technology development
2004~2005(cont.) Driver for growth/ Future vehicle technology development
25
Results
Firms Universities GRIs
1989~1991 1992
26
Firms Universities GRIs
1993 1994
27
Firms Universities GRIs
1995 1996
28
Firms Universities GRIs
1997 1998
29
Firms Universities GRIs
1999 2000
30
Firms Universities GRIs
2001 2002
31
Firms Universities GRIs
2003 2004
32
Firms Universities GRIs
2005
33
0
5
10
15
20
25
30
35
40
45
50
1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005
number of large firms
number of SMEs
0
2
4
6
8
10
12
1998 1999 2000 2001 2002 2003 2004 2005
# of ties, LFs
# of ties, SMEs
Dynamics of formation of the new industrial sector
34
Firms
• Large firms were pre-existing actors
– Conventional energy firms, former national: Korea Gas, KEPCO etc.
– Conventional energy firms: LG-Caltex (MNE), SK corp, etc.
– Non-energy firms
• Hyundai Motor Company
• LG Chemical
• POSCO (steel)
• LG electronics
• SMEs were mostly technology-specific startups
– Growing importance of the roles in the network, but less links than LFs.
– Not only R&D, but business partnership with large firms
– Focusing on components and materials, rather than system
– Fuel Cell Power, Heung Chang Carbon, etc.
35
Analysis and discussion
• Pattern and characteristics found in evolution of R&D network
– Increasing number of involving firms (snowball, critical mass?)
– R&D bodies large firms SMEs
• Role of government-funded research institutes (GRIs: KIER, KIST, KATEC
H, KIMM)
– R&D: intermediate technologies
– Network hub: the centre of knowledge flow
– Quasi-government agency; sub-contracting, performing demo project
– Policy input
• Evolution of knowledge networks are
– Collective, rather than fragmentizing
– Cumulative: the importance of key actors are growing
– Existing-sector compatible, rather than disruptive
36
Thank you.