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.     

Causality and explanation in socio-technical transitions research: Mobilising epistemological insights from the wider social sciences

In response to criticisms about the status of causal explanation in socio-technical transitions research, this article elaborates the epistemological underpinnings of this emerging research field, mobilising insights from the wider social sciences where foundational debates have started to transform the understanding of causality and explanation. The article shows that socio-technical transitions are a special kind of research topic with phenomenological characteristics that pose challenges for mainstream explanatory formats and therefore warrant particular approaches to causality and explanation. It first discusses three philosophical positions on causality and explanation (positivism, pragmatism, critical realism), and concludes that critical realism is most suited to address phenomenological characteristics of socio-technical transitions. Elaborating the critical realist approach, the article then discusses the relevance of complex causalities (especially conjunctural, configurational, and event-chain causality) for explaining transitions and how existing transition frameworks (MLP, TIS, SNM) can improve their use of these causalities. The article subsequently discusses the role of theories in explanations (including heuristic roles), and the relevance of conceptual frameworks, causal mechanisms, process tracing and narrative explanation in socio-technical transitions research. Theoretical and methodological suggestions for improving transition research are provided throughout.     

Global socio-technical regimes

This paper addresses the question why socio-technical transitions follow similar trajectories in various parts of the world, even though the relevant material preconditions and institutional contexts vary greatly between different regions and countries. It takes a critical stance on the implicit methodological nationalism in transition studies’ socio-technical regime concept and proposes an alternative ‘global’ regime perspective that embraces the increasingly multi-scalar actor networks and institutional rationalities, which influence transition dynamics beyond national or regional borders. By drawing on globalization theories from sociology and human geography, we show that socio-technical systems often develop institutional rationalities that are diffused via international networks and thus become influential in various places around the world. In so doing, we shed light on the multi-scalar interrelatedness of institutional structures and actors in socio-technical systems and elaborate on the implications for the conceptualization of transition dynamics. The paper illustrates this with the case study of an unsuccessful transition in the Chinese wastewater sector. Recent studies indicate that key decisions on wastewater infrastructure expansion were not only influenced by path-dependencies stemming from China’s national context, but equally (or even more critically) by the dominant rationality of the water sector’s global socio-technical regime. We conclude by discussing the contours of a new research agenda around the notion of global socio-technical regimes.     

The structuration of socio-technical regimes—Conceptual foundations from institutional theory

In recent years, socio-technical transitions literature has gained importance in addressing long-term, transformative change in various industries. In order to account for the inertia and path-dependency experienced in these sectors, the concept of the socio-technical regime has been formulated. Socio-technical regimes denote the paradigmatic core of a sector, which results from the co-evolution of institutions and technologies over time. Despite its widespread acceptance, the regime concept has repeatedly been criticized for lacking a clear operationalization. As a consequence, empirical applications tend to depict regimes as too ‘monolithic’ and ‘homogenous’, not adequately considering persistent institutional tensions and contradictions. These are however crucial for assessing transition dynamics. In this paper, we revisit two concepts from institutional theory that enable an explicit identification of socio-technical regimes and more generally a specification of the ‘semi-coherence’ of socio-technical systems. First, we will show that ‘levels of structuration’ can be conceptualized as degrees of institutionalization, thereby treating institutionalization as a variable with different effects on actors, the stability of the system and thus the potential for change. Secondly, we draw on the institutional logics approach to characterize the content of various structural elements present in a system and to trace conflicts and contradictions between them. We illustrate this approach with an empirical in-depth analysis of the transformation of the Australian urban water sector since the 1970ies.     

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.     

Uncovering the link between governance as an innovation process and socio-economic regime transition in cities

A major proportion of the world’s population will be located in cities by 2030. With cities globally facing challenges due to the social exclusion of significant proportions of their populace, new thinking is needed on ways to correlate the competing socio-economic goals of various actors. This study sought to uncover the link between governance in cities as an innovation process and socio-economic regime transition towards a more equitable urban society. To do so, we draw on transition management thinking to consider urban regime transitions evolving in a temporal and incremental manner and in a multi-level context. We sought expansion from a delimited focus on socio-technical regimes in transition management literature to incorporate the notion of urban socio-economic regimes. This involved integrating aspects of reflexive governance and politics in a city context with a basic ontology of complex social systems and their evolutionary dynamics that underlies transition management approaches. Our focus is on learning by doing and experimentation as well as participation of citizens with other key city actors in a radically new process of mutual learning that creates social inclusion. The juxtaposition of national, city and community level interactions and their impact on socio-economic regime transition brings into sharp relief the issue of spatial scale and a lack of consideration in transition approaches generally. The study findings reveal a spatial orientation for creating new urban forms of reflexive governance as an innovation process taking place in transition arenas that can trigger new pathways to socio-economic change.     

Government-affiliated intermediary organisations as actors in system-level transitions

The article draws from two theoretical fields, innovation intermediation and sustainability transitions, to examine the role of government-affiliated intermediary organisations in system-level transitions. The role of intermediaries working between actors – producers and users, entrepreneurs and adopters, idea generators and funders – has seldom been specifically addressed in the transitions literature. Thus, the role of intermediary organisations in enacting change in socio-technical regimes, particularly of intermediaries falling between traditional public sector and private sector actors, is of interest in this article. Empirical analyses of two Finnish organisations, Sitra and Motiva, show that government-affiliated intermediaries are likely to engage in strategic niche management processes in diverse ways, each organisation having its own distinct characteristics. The analysis also points out that to get from niches to transition, sustained systemic intermediaries are crucial in articulating new visions and expectations. Government-affiliated intermediaries may make an important contribution to sustainability transitions by initiating and managing new policy or market processes and by acting as an impartial contact point or voice for new networks of actors. While independence from public administration is likely to facilitate networking, too neutral a stance or limited temporal engagement may reduce the transition-facilitating effects.     

社会-技术范式视角下的低碳转型

透过社会-技术范式视角,低碳转型是一个打破高碳锁定、从高碳的社会-技术范式向低碳的社会-技术范式转型的过程。这一过程是多要素参与、复杂、动态和长周期的。从多层视角来看,转型过程离不开三个层面的相互作用：利基（niche）培育了破坏式低碳创新,使之成为推动范式更迭的内在动量;地景（landscape）对高碳社会-技术范式施加压力,为低碳创新的成长提供了机会之窗;最终原先主导的高碳社会-技术范式瓦解,高碳“锁定”被打破,新的动态稳定的低碳社会-技术范式形成。中国汽车低碳交通转型的案例,说明了社会-技术范式及多层视角对上述复杂和不确定性过程进行认知和分析时的有效性。相关行动者特别是政策制定者在引导低碳转型时,需要改变相对线性的技术替代认识论立场及相应的政策手段,采用范式更替的认识论立场和转型策略。     

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.     

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.     

Destination unknown: Pursuing sustainable mobility in the face of rival societal aspirations

A growing volume of scholarship and policy practice focuses on developing societal capacity to guide transitions of socio-technical systems toward more sustainable alternatives. Because several prominent modes of transportation are widely regarded as systemically problematic, the notion of sustainable mobility has received considerable attention from the standpoint of system innovation. Sustainability though constitutes only one of many contemporary political objectives and public commitment to goals consistent with such a future is highly equivocal. A related challenge arises from the ambivalence that sustainability champions often harbor on an individual level. It is probable that efforts to facilitate sustainable mobility will need to be reconciled with rival societal aspirations such as the pursuit of faster and more convenient forms of travel. Drawing on insights from the multi-level perspective, this article contrasts the relatively static automobility system with its more dynamic aeromobility counterpart and explores why evidence of an incipient transition is more apparent within the realm of aviation. In particular, the diffusion of “personal aeromobility” involving the use of small airplanes for on-demand, point-to-point air travel raises perplexing questions for the governance of sustainable mobility.     

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.     

Assessing transitions through socio-technical configuration analysis – a methodological framework and a case study in the water sector

Classic accounts of transitions research have predominantly built on reconstructions of historical transition processes and in-depth case studies to identify and conceptualize socio-technical change. While such approaches have substantively improved our understanding of transitions, they often suffer from methodological nationalism and a lack of generalizability beyond spatial and sectoral boundaries. To address this gap, we propose a novel methodology – socio-technical configuration analysis (STCA) – to map and measure socio-technical alignment processes across time and space. STCA provides a configurational and dynamic perspective on how social and technical elements get aligned into “configurations that work”, allowing for the identification of differentiated transition trajectories at and across spatial and sectoral contexts. The methodology's value is illustrated with the empirical case of an ongoing shift from centralized to more modular infrastructure configurations in the global water sector. Building on this illustration, we outline potential contributions of STCA to configurational theorizing in transition studies, sketching the contours of what we believe could become a generative epistemological approach for this field.     

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.     

Can cities shape socio-technical transitions and how would we know if they were?

This paper asks two - relatively simple - questions: can cities shape socio-technical transitions? And how would we know if they were? There are three key objectives. The first of these is to set out emerging, and in our view, convincing evidence, that large world cities have political aspirations to develop purposive and managed change in the socio-technical organisation of infrastructure networks that can be characterised as ‘systemic’ transitions. The second objective is conceptual in orientation and seeks to address how we understand transitions at the scale of the city, the role of ‘the city’ in undertaking transitions, and review both the strengths and shortcomings of the multi-level perspective (MLP) on socio-technical transitions in addressing this. The third objective is to identify what an urban transition would look like, and then constructs a new framework to conceptualise and research urban transitions. The paper then summarises the key aspects and implications of our argument.     

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.     

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.     

Innovation,growth and the transition to net-zero emissions

The climate crisis and the global economic impact of the Covid-19 crisis occur against a background of slowing growth and widening inequalities, which together imply an urgent need for a new environmentally sustainable and inclusive approach to growth. Investments in “clean” innovation and its diffusion are key to shaping this, accompanied by investments in complementary assets including sustainable infrastructure, and human, natural and social capital which will not only help achieve net-zero greenhouse gas emissions, but will also improve productivity, living standards and the prospects of individuals. In this article, we draw on the theoretical and empirical evidence on the opportunities, drivers and policies for innovation-led sustainable growth. We highlight the importance of a coordinated set of long-term policies and institutions that can enable and foster private sector investments in clean innovation and assets quickly and at scale. In doing so, we draw inspiration from Chris Freeman's work on the system-wide drivers of innovation, and his early vision of achieving environmental sustainability by reorienting growth.     

Characterizing eParticipation

eParticipation is an emerging research area which, like most emerging areas, lacks a clear literature base or research approach. This study maps out some of the academic theories and disciplines that the new area addresses, using conventional literature study techniques. We identify 99 articles that are considered to be highly relevant to eParticipation. We develop a definitional schema that suggests different ways of understanding an emerging research area, and use this schema to identify key academic articles that help to define eParticipation. We adapt Deetz's [(1996). Describing differences in approaches to organization science: Rethinking Burrell and Morgan and their legacy. Organization Science, 7(2), 191–207] taxonomy of discourses in organizational science to provide an overall categorization scheme for research in the area, and map the literature. The article thus contributes to a developing picture which will help future researchers both to understand and to navigate the research area.