Ontologies, socio-technical transitions (to sustainability), and the multi-level perspective

Using recent criticisms and suggestions regarding the multi-level perspective as stepping stones, the article aims to enhance the reflexivity in transition debates regarding social theories. To that end, the article discusses seven social science ontologies (rational choice, evolution theory, structuralism, interpretivism, functionalism, conflict and power struggle, relationism), their assumptions on agency and causal mechanisms, and their views on socio-technical transitions and environmental sustainability. The second goal is to position the multi-level perspective on transitions with regard to these ontologies and to identify directions for theoretical extensions. The MLP is characterized not as a grand or unifying theory, but as a middle range theory that makes crossovers to some ontologies and not to others.     

Toward a spatial perspective on sustainability transitions

In the past decade, the literature on transitions toward sustainable socio-technical systems has made a considerable contribution in understanding the complex and multi-dimensional shifts considered necessary to adapt societies and economies to sustainable modes of production and consumption. However, transition analyses have often neglected where transitions take place, and the spatial configurations and dynamics of the networks within which transitions evolve. A more explicit spatial perspective on sustainability transitions contributes to the extant transitions literature in three ways. Firstly it provides a contextualization on the limited territorial sensitivity of existing literature. Secondly, it explicitly acknowledges and investigates diversity in transition processes, which follows from a ‘natural’ variety in institutional conditions, networks, actor strategies and resources across space. Thirdly, it encompasses not only greater emphasis but also an opportunity to connect to a body of literature geared to understanding the international, trans-local nature of transition dynamics. Concerned with the prevalent lack of attention for the spatial dimensions of sustainability transitions in most studies, this paper seeks to unpick and make explicit sustainability transition geographies from the vantage point of economic geography. The paper argues that there are two interrelated problems requiring attention: the institutional embeddedness of socio-technical development processes within specific territorial spaces, and an explicit multi-scalar conception of socio-technical trajectories. Following these arguments, the paper concludes that transitions research would do well to take a closer look at the geographical unevenness of transition processes from the perspective of global networks and local nodes.     

The co-evolution of policy mixes and socio-technical systems: Towards a conceptual framework of policy mix feedback in sustainability transitions

Understanding how policymaking processes can influence the rate and direction of socio-technical change towards sustainability is an important, yet underexplored research agenda in the field of sustainability transitions. Some studies have sought to explain how individual policy instruments can influence transitions, and the politics surrounding this process. We argue that such individual policy instruments can cause wider feedback mechanisms that influence not only their own future development, but also other instruments in the same area. Consequently, by extending the scope of analysis to that of a policy mix allows us to account for multiple policy effects on socio-technical change and resultant feedback mechanisms influencing the policy processes that underpin further policy mix change. This paper takes a first step in this regard by combining policy studies and innovation studies literatures to conceptualise the co-evolutionary dynamics of policy mixes and socio-technical systems. We focus on policy processes to help explain how policy mixes influence socio-technical change, and how changes in the socio-technical system also shape the evolution of the policy mix. To do so we draw on insights from the policy feedback literature, and propose a novel conceptual framework. The framework highlights that policy mixes aiming to foster sustainability transitions need to be designed to create incentives for beneficiaries to mobilise further support, while overcoming a number of prevailing challenges which may undermine political support over time. In the paper, we illustrate the framework using the example of the zero carbon homes policy mix in the UK. We conclude with deriving research and policy implications for analysing and designing dynamic policy mixes for sustainability transitions.     

Shaping selection environments for industrial catch-up and sustainability transitions: A systemic perspective on endogenizing windows of opportunity

Transitioning economic sectors towards more sustainable futures is a major global challenge, in particular for non-OECD countries. Policymakers in these countries are confronted with a double challenge: how to implement cleaner technologies and infrastructures while at the same time promoting rapid industrial development. In catch-up studies, this trade-off has been increasingly interpreted as providing windows of opportunity for gaining strong leadership in new generations of cleantech industries. In this paper, we maintain that in order to specify how these windows of opportunity can be endogenized, a deeper understanding is needed about whether, how and by whom the directionality of innovation systems can be influenced. For this purpose, we propose an analytical approach that draws on the technological innovation system framework extending the current understanding of directionality in two ways: first, we complement the prevalent top-down perspective with a bottom-up view exemplified by the institutional entrepreneurship literature. Second, we posit that the focus has to be shifted from the manufacturing of single technologies to the transformation of entire socio-technical systems. The presented framework is validated by a case study on recent shifts in the dominant technology in China’s urban water management sector. Major changes in the country’s sectoral selection environment led membrane bioreactor technology to become the dominant design in urban water management – a development that is unmatched in any other country in the world. Owing to these transformations, China’s technology firms outcompete multinational players and therefore they show strong potentials for industrial leapfrogging. However, although the promise to solve environmental problems played a decisive role in the shaping of the selection environment, it remains unclear whether the observed transformation leads the way to a more sustainable sector structure in the longer run. The case, however, still enables us to specify how windows of opportunity can be endogenized through the interplay of different actors trying to shape different layers of the selection environment in a specific sector.     

Technological transitions as evolutionary reconfiguration processes: a multi-level perspective and a case-study

This paper addresses the question of how technological transitions (TT) come about? Are there particular patterns and mechanisms in transition processes? TT are defined as major, long-term technological changes in the way societal functions are fulfilled. TT do not only involve changes in technology, but also changes in user practices, regulation, industrial networks, infrastructure, and symbolic meaning or culture. This paper practices ‘appreciative theory’ [R.R. Nelson, S.G. Winter, An Evolutionary Theory of Economic Change, Bellknap Press, Cambridge, MA, 1982] and brings together insights from evolutionary economics and technology studies. This results in a multi-level perspective on TT where two views of the evolution are combined: (i) evolution as a process of variation, selection and retention, (ii) evolution as a process of unfolding and reconfiguration. The perspective is empirically illustrated with a qualitative longitudinal case-study, the transition from sailing ships to steamships, 1780–1900. Three particular mechanisms in TT are described: niche-cumulation, technological add-on and hybridisation, riding along with market growth.     

The governance of sustainable socio-technical transitions

A quasi-evolutionary model of socio-technical transitions is described in which regimes face selection pressures continuously. Differentiated transition contexts determine the form and direction of regime change in response to these pressures. The articulation of pressures, and the degree to which responses are coordinated and based on resources available within the regime, define the transition context. Four alternative contexts are described: endogenous renewal; re-orientation of trajectories; emergent transformation and purposive transitions. Agency and power in the governance of regime transformation are analysed. Power to affect change depends on regime membership, the distribution of resources for change and expectations.     

Deep transitions: Emergence,acceleration, stabilization and directionality

Industrial society has not only led to high levels of wealth and welfare in the Western world, but also to increasing global ecological degradation and social inequality. The socio-technical systems that underlay contemporary societies have substantially contributed to these outcomes. This paper proposes that these socio-technical systems are an expression of a limited number of meta-rules that, for the past 250 years, have driven innovation and hence system evolution in a particular direction, thereby constituting the First Deep Transition. Meeting the cumulative social and ecological consequences of the overall direction of the First Deep Transition would require a radical change, not only in socio-technical systems but also in the meta-rules driving their evolution – the Second Deep Transition. This paper develops a new theoretical framework that aims to explain the emergence, acceleration, stabilization and directionality of Deep Transitions. It does so through the synthesis of two literatures that have attempted to explain large-scale and long-term socio-technical change: the Multi-level Perspective (MLP) on socio-technical transitions, and Techno-economic Paradigm (TEP) framework.     

Inter-generational transitions in socio-technical systems: The case of mobile communications

Many technology studies have conceptualized transitions between technological generations as a series of S-curve performance improvements over time. Surprisingly, the interregnum between successive generations has received little attention. To understand what happens in the interregnum, we study the transition from 2G to 3G in mobile communications. Our study identifies the presence of forces for both change and continuity across heterogeneous social and technical elements shaping an uneven transition between 2G and 3G mobile communications technology platforms. Unanticipated misalignments and asynchronies that emerged during the journey shifted the incentives of the various actors involved to participate. Based on these observations, we offer several conjectures as to the dynamics that can give rise to temporal discords during inter-generational technological transitions.     

Technological innovation systems and the multi-level perspective: Towards an integrated framework

Technological innovation systems and the multi-level framework are closely related concepts for the study of far-reaching technological change. They draw on common theoretical roots and analyze similar empirical phenomena. However, they have developed rather independent research strands over the past few years. The paper reviews the state of the art of both concepts and explores commonalities as well as differences. Against this background, we outline first elements of a path towards an integrated framework that combines the strengths of the two approaches and allows providing a better understanding of radical innovation processes and socio-technical transformations.     

Technological innovations and sectoral change: Transformative capacity, adaptability, patterns of change: An analytical framework

Following up on recent debates about sectoral systems of innovation and production, the paper introduces a heuristic framework for analyzing and explaining distinct patterns of technology-based sectoral change. The concept is based on two interrelated influencing factors. The first is the sectoral-specific transformative capacity of new technologies themselves, that is, their substantial or incremental impact on socioeconomic and institutional change in a given sectoral system. The second is the sectoral adaptability of socioeconomic structures, institutions, and actors confronted with the opportunities presented by new technologies. The first factor—the sectoral transformative capacity of new technologies—enables us to identify the technology-based pressure to change and adjust the structural, institutional, and organizational architectures of the sectoral system. The second, complementary factor—sectoral adaptability—helps us to discern the distinct social patterns of anticipating and adopting this technology-based pressure. The specific interplay between the two influencing factors creates distinguishable modes of sectoral transformation, ranging from anticipative and smooth adjustments to reactive and crisis-ridden patterns of change. Even processes of radical sectoral change continue over longer periods of mismatch and are characterized by numerous and mostly gradual organizational, structural and institutional transformations.     

Rethinking the multi-level perspective of technological transitions

In recent years numerous articles have been published which advocate a multi-level perspective (MLP) for the analysis of long-term technological transitions. This paper reviews current transitions research and considers the limitations of the MLP which need to be addressed to enhance understanding of processes of innovation affecting the transformation of technology and society. The paper suggests ways in which the MLP may be effectively rethought, based on more thoroughgoing application of a co-evolutionary concept of technological transitions.     

Governing transitions in the sustainability of everyday life

The literature on sociotechnical transitions and their governance tends to concentrate on the introduction of new technologies and systems of supply. In this paper we seek to extend the scope of debate, introducing aspects of practice theory as a means of also conceptualising the dynamics of demand. Rather than treating ‘human need’ or ‘societal functions’ as given, we consider how variously sustainable practices come into existence, how they disappear and how interventions of different forms may be implicated in these dynamics. We use the two cases of daily showering and the congestion charging scheme in London to consider the distinctive challenges of understanding transitions in practice and of governing these so as to engender more sustainable ways of life.     

Structure reconsidered: Towards new foundations of explanatory transitions theory

The most prominent framework for studying socio-technical transitions to date is the multi-level perspective (MLP). While appreciated for its flexibility and usefulness for studying socio-technical transitions it has not been without its critics. In this paper we focus on the ontological foundations of the MLP and its (in)ability to explain transitions and how they come about. The purpose is to initiate development of an explanatory theory for socio-technical transitions, by carrying out an immanent critique of the ontological foundations of the MLP together with a methodological critique. We show that the ontological foundations of the MLP to a large extent inhibits explanatory capacity. The argument is fourfold: since structure and agency are understood as inseparable, (i) the causal influence of material properties are undervalued, and (ii) different degrees of structural constraint and freedom of actors are ignored. As a consequence (iii) transitions are reduced to shifts in the maturity and spread of socio-cognitive rules, without analysis of systemic change. Moreover, (iv) mechanisms are reduced to recurring patterns of events which cannot explain why some transitions fail while others succeed. To remedy these limitations we outline alternative critical realist foundations for transitions theory.     

Mapping and navigating transitions—The multi-level perspective compared with arenas of development

Transitions of socio-technical systems imply the reconfiguration of institutions and politics making made evident the need to understand and intervene in existing patterns of growth and socio-technical practices in more sustainable directions. In recent decades, theories of transitions have been introduced, which include the multi-level approach indicating ways to govern transitions through understanding the interactions between niches, regimes and landscapes. An alternative approach is suggested, which takes its outset in arenas of development and increased awareness of actors and their way of interpreting context and performing interventions.Building on three cases covering aspects of transitions since the 1970s, the article compares the two approaches based on three concerns in relation to transition studies. The first concern reflects that conflicts are important elements of change helping actors to navigate. The second concern builds on the observation that actors engage at all levels in society including visions, institutions, and innovations. The third concern addresses the role of academic theories and advice regarding governance of transition processes in which they function as entrenched actors.The article ends by emphasising the need to help actors navigate in a field in flux. The study of arenas of development may help interpret transitions in the making, and provide a background of information about how different actors can navigate and perform strategic interventions that support sustainable transitions.     

Policy mixes for sustainability transitions: New approaches and insights through bridging innovation and policy studies

There has been an increasing interest in science, technology and innovation policy studies in the topic of policy mixes. While earlier studies conceptualised policy mixes mainly in terms of combinations of instruments to support innovation, more recent literature extends the focus to how policy mixes can foster sustainability transitions. For this, broader policy mix conceptualisations have emerged which also include considerations of policy goals and policy strategies; policy mix characteristics such as consistency, coherence, credibility and comprehensiveness; as well as policy making and implementation processes. It is these broader conceptualisations of policy mixes which are the subject of the special issue introduced in this article. We aim at supporting the emergence of a new strand of interdisciplinary social science research on policy mixes which combines approaches, methods and insights from innovation and policy studies to further such broader policy mix research with a specific focus on fostering sustainability transitions. In this article we introduce this topic and present a bibliometric analysis of the literature on policy mixes in both fields as well as their emerging connections. We also introduce five major themes in the policy mix literature and summarise the contributions made by the articles in the special issue to these: methodological advances; policy making and implementation; actors and agency; evaluating policy mixes; and the co-evolution of policy mixes and socio-technical systems. We conclude by summarising key insights for policy making.     

Socio-cultural framing during the emergence of a technological field: Creating cultural resonance for solar technology

This paper depicts how cultural resonance for novel technologies is constructed as a gradual, interactive process. We adopt a cultural framing perspective and strive to understand how actors assign meaning to the novel technology and determine its appropriateness for the local context. Existing research has largely focused on the strategic and political aspects of field framing processes through depicting conscious framing struggles between protagonist and antagonist actors. In addition to such strategic framing activities, we examine how other socio-cultural factors, such as changes in actor positions, interaction between framing activities, and the cultural “repertoire” of frames interact in producing cultural resonance. For our empirical case study, we followed the emerging technological field of solar energy during an intensive period of change. Our study contributes to the growing number of studies that draw attention to the creation of cultural resonance as an interactive multi-actor process by offering in-depth understanding of the multifaceted interactions that constitute the meaning-making process for an emerging field.     

Policy-mix evaluation: Governance challenges from new place-based innovation policies

The policy mix concept has become popular in innovation policy literature. It is particularly relevant for complex challenges such as sustainable industrial transitions that require joined-up interventions from different policy domains. Yet finding the right policy mix for a given challenge is strongly conditioned by the governance context in which individual policies emerge and evolve over time. In particular, the evaluation of policy mixes in a regional context is often neglected.This paper aims to deepen understanding of the interaction between governance processes and policy mix evaluation in the specific context of smart specialisation strategies. These newly popular regional innovation strategies are ideal laboratories for analysing policy mixes due to their place-based nature, their directionality, their experimental character and potential orientation towards grand societal challenges, and their complex governance context.The paper builds on the smart specialisation literature, the innovation policy and policy evaluation literature, and the literature on governance in pluralistic contexts to build a conceptual framework for analysing the governance of policy-mix evaluation. The conceptual arguments are illustrated by the Basque Country case in Spain, providing insights on the establishment of a strategic innovation policy mix evaluation process in a complex setting of institutions and actors.     

Towards a typology of intermediaries in sustainability transitions: A systematic review and a research agenda

Intermediary actors have been proposed as key catalysts that speed up change towards more sustainable socio-technical systems. Research on this topic has gradually gained traction since 2009, but has been complicated by the inconsistency regarding what intermediaries are in the context of such transitions and which activities they focus on, or should focus on. We briefly elaborate on the conceptual foundations of the studies of intermediaries in transitions, and how intermediaries have been connected to different transition theories. This shows the divergence – and sometimes a lack – of conceptual foundations in this research. In terms of transitions theories, many studies connect to the multi-level perspective and strategic niche management, while intermediaries in technological innovation systems and transition management have been much less explored. We aim to bring more clarity to the topic of intermediaries in transitions by providing a definition of transition intermediaries and a typology of five intermediary types that is sensitive to the emergence, neutrality and goals of intermediary actors as well as their context and level of action. Some intermediaries are specifically set up to facilitate transitions, while others grow into the role during the process of socio-technical change. Based on the study, as an important consideration for future innovation governance, we argue that systemic and niche intermediaries are the most crucial forms of intermediary actors in transitions, but they need to be complemented by a full ecology of intermediaries, including regime-based transition intermediaries, process intermediaries and user intermediaries.