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.     

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.     

Technological guideposts and innovation avenues

This paper presents an integrative view of innovation processes based on a theory of systems developed by the author over the past few years. In its essence, one of the most important clues to the origin of innovations is to be found in the fact that the performance of every technology depends upon its size and structure. Specifically, as a technology is continuously made to become larger or smaller, the relationship between its size and structural requirements changes, which in turn, severely limits the scope of its further evolution. Thus the origin of a wide variety of innovations lies in learning to overcome the constraints that arise from the process of scaling the technology under consideration. In short, technical progress is best characterized as a process of learning by scaling.These considerations in turn point to a trilogy of innovations corresponding to three main types of technological constraints: structural innovations that arise from a process of differential growth whereby the parts and the whole of a system do not grow at the same rate: material innovations involving a change in the construction stuff; and systems innovations that arise from the integration of two or more symbiotic technologies in an attempt to simplify the outline of the overall structure. The proposed trilogy is shown to account for the emergence of various techniques including the so-called revolutionary innovations in a variety of fields.The theory is developed and illustrated through three case studies of technical progress in the aircraft, farm tractor, and computer industries. The results of our investigation further reveal that the process of innovation is best conceived in terms of a certain topography of technological evolution. Specifically, we find that technical progress is invariably characterized by the existence of what may be called technological guideposts and innovation avenues that lay out certain definite paths of development. Chance determines which amongst many technological guideposts will be chosen in the course of development. Once the development is well along a certain innovation avenue. necessity prevails until another point connecting other technological guideposts and innovation avenues is reached. This brings chance back to the fore and the process continues. In sum, the process of technological evolution is determined by the interplay of chance and necessity rather than one at the exclusion of the other.     

Legitimizing research, technology and innovation policies for transformative change: Combining insights from innovation systems and multi-level perspective in a comprehensive ‘failures’ framework

The recent policy debates about orientating research, technology and innovation policy towards societal challenges, rather than economic growth objectives only, call for new lines of argumentation to systematically legitimize policy interventions. While the multi-level perspective on long-term transitions has attracted quite some interest over the past years as a framework for dealing with long-term processes of transformative change, but the innovation systems approach is still the dominant perspective for devising innovation policy. Innovation systems approaches stress the importance of improving innovation capabilities of firms and the institutional settings to support them, but they are less suited for dealing with the strategic challenges of transforming systems of innovation, production and consumption, and thus with long-term challenges such as climate change or resource depletion. It is therefore suggested to consider insights from transition studies more prominently in a policy framework that is based on the innovation systems approach and the associated notion of ‘failures’. We propose a comprehensive framework that allows legitimizing and devising policies for transformative change that draws on a combination of market failures, structural system failures and transformational system failures.     

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.     

Testing future societies? Developing a framework for test beds and living labs as instruments of innovation governance

Test beds and living labs have emerged as a prominent approach to foster innovation across geographical regions and technical domains. They feed on the popular “grand societal challenges” discourse and the growing insight that adequate policy responses to these challenges will require drastic transformations of technology and society alike. Test beds and living labs represent an experimental, co-creative approach to innovation policy that aims to test, demonstrate, and advance new sociotechnical arrangements and associated modes of governance in a model environment under real-world conditions. In this paper, we develop an analytic framework for this distinctive approach to innovation. Our research draws on theories from Science and Technology Studies (STS) and Innovation Studies, as well as in-depth empirical analysis from two case studies – an urban smart energy campus and a rural renewable energy network. Our analysis reveals three characteristic frictions that test beds face: (1) the limits of controlled experimentation due to messy social responses and co-creation activity; (2) a tension between lab-like open-ended experimentation and pressures to demonstrate success; (3) the opposing needs of local socio-cultural specificity and scalability, i.e. the inherent promise of test bed outcomes being generalizable or transferrable because the tested “model society” is presumed to represent a future society at large. These tensions suggest that thinking of test beds as mere technology tests under real-world conditions is insufficient. Rather, test beds both test and re-configure society around a new set of technologies, envisioned futures, and associated modes of governance – occasionally against considerable resistance. By making social order explicitly available for experimentation, test beds tentatively stabilize new socio-technical orders on a local scale in an “as-if” mode of adoption and diffusion. Symmetric attention to the simultaneous co-production of new technical and social orders points to new opportunities and challenges for innovation governance in test-bed settings: Rather than mere enablers of technology, test beds could serve as true societal tests for the desirability of certain transformations. This will require rethinking notions of success and failure, planning with a view towards reversibility, and greater scrutiny of how power is distributed within such settings. Likewise, rather than envisioning test beds as low-regulation zones to drive innovation, they could be strategically deployed to co-develop socially desirable governance frameworks in tandem with emerging technologies in real-time.     

Collaborating across institutional and jurisdictional boundaries: enabling the emergence of a national innovation system through public knowledge management

Public institutions involved in research that aims to strengthen the productivity, profitability and adaptiveness of industries face a multiplicity of challenges when managing for the emergence of cost effective solutions to problems. We reflect upon the learnings of a Government sponsored Visiting Fellow’s programme that we describe as a knowledge management (KM) intervention within Australia’s primary industries Research, Development and Extension (R, D and E) system. Our central concern is to draw upon the learnings of an internet-based initiative in the United States called eXtension to show how ‘traditional’ D and E activities can be transformed. We argue that organisations and networks involved in such D and E activities need to perceive themselves as belonging to systems that are socio-technical in nature. That is, the development and deployment of cross-jurisdictional and cross-institutional innovations are shaped by both the social interactions between people and the systematic use of technology to support distributed learning. We explain how the elements of an integrated model to support public KM can be developed to create the conditions for enhanced innovation. Our findings have relevance to a wide range of other industry sectors considering contemporary service models involving public and private partnerships.     

Mobilizing the transformative power of research for achieving the Sustainable Development Goals

This paper addresses the important question of how research can support the implementation of the United Nations 17 sustainable development goals (SDGs) set out in the 2030 agenda. Much attention on this topic has so far coalesced around understanding and measuring possible synergies and trade-offs that emerge in the SDGs. We contribute to this discussion by arguing that it is necessary to move towards a focus on how SDGs are enabling transformative change. A conceptual approach is presented based on the notion that research should build bridges across three types of SDGs: ones that reflect socio-technical system change, directionality, and framework conditions. This proposition is explored empirically through a case study of Mexican scientific knowledge production using methods from bibliometric and social network analysis. Our results can help to provide a diagnostic of how knowledge production is contributing to the SDGs and can be used in science, technology and innovation policy, in particular transformative innovation policy.     

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.     

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.     

Civilian-military co-operation strategies in developing new technologies

Dual use technology has been advocated as the solution for the twin problem of maintaining a high tech defence technology base and improving economic competitiveness. The concept of dual use technology turns out to be rather imprecise representing a multitude of different meanings. This paper focuses on one important aspect, notably the co-operation between civilian and military actors in developing a new technology, by analysing the evolution of a socio-technical network related to the development of an advanced battery in The Netherlands.The analytical framework used for interpreting the empirical case builds on theories of socio-technical networks and on two previous and complementary analyses in Research Policy on dual use technology. Our analysis of the dynamics underlying the evolution of the ‘battery network’ shows how the emerging notion of the battery’s duality became a window of opportunity for a co-operation strategy of either joint or concurrent development of the battery for both civilian and military applications. The interactions within the evolving network are steered by the search for expertise and funding.In view of the difficulties of realising civilian-military integrated joint development projects, the establishment of ‘dual capacity networks’ is suggested as part of a possible strategy towards an integrated civilian-military technology and industrial base.     

The role of pre-innovation platform activity for diffusion success: Evidence from consumer innovations on a 3D printing platform

Digital platforms are becoming increasingly important for household sector innovators that seek support for the innovation process and that want to make innovations available to large audiences. Innovation development and diffusion is especially challenging for first-time innovators as they cannot build on experiences from prior innovations. We argue that first-time innovators can increase the diffusion success of their innovations by engaging in pre-innovation platform activities. We use the context of the 3D printing platform Thingiverse to show that a consumer's pre-innovation platform activity increases innovation diffusion success and that frequency, quality and relatedness of a consumer's pre-innovation platform activity promotes this effect. We find support that innovation quality, the use of recombinant innovations, and innovation documentation are three mechanisms through which pre-innovation platform activities translate into higher diffusion success of consumers’ first innovation.     

The role of IS in the covid-19 pandemic: A liquid-modern perspective

History shows that pandemics can catalyse enormous change, fundamentally transforming the way people make sense of the world. Technologies can also be catalysts of change. While digital technologies are playing a vital role in tackling the covid-19 pandemic, the pandemic also presents a significant opportunity for digital technologies. Some experts believe the pandemic may permanently normalise the comprehensive societal use of digital technologies. This article casts a critical eye over the potential implications of this opportunity in the context of information systems (IS) research and development. We introduce and outline selected principles of Zygmunt Bauman’s theory of liquid modernity. We then apply the liquid-modern principles to illustrative examples drawn from the covid-19 literature by focussing on three areas of established information systems interest: control, big data and information privacy. We show that traditional conceptualisations of scientific and societal order and control need to be reassessed; that big data alone cannot order clear and safe paths out of the current crisis and that information privacy regulations are irrelevant when undermined or circumvented by public and private actors. We conclude by making four recommendations for IS pandemic researchers and five practical recommendations in the context of the pandemic.     

Innovation policy for system-wide transformation: The case of strategic innovation programmes (SIPs) in Sweden

The orientation towards grand societal challenges can be seen as a new wave or paradigm for innovation policy. Such policy aims at system-wide transformation and is often referred to as system innovation policy. While insights from transition studies have provided novel and useful rationales for innovation policy targeting system-wide transformation, it remains unclear how to design, implement and evaluate such policies. The contribution of this paper is to translate and concretize the challenges of system innovation policy towards scope for policy action and analysis. Building on insights from transition studies we group the challenges into four domains: directionality, experimentation, demand articulation, and policy coordination and learning. We relate challenges within the four domains to three generic features of innovation systems: interests and capabilities of actors, networks, and institutions. The derived framework is applied in a case study on the strategic innovation programmes, a recent policy initiative by Vinnova, Sweden’s Innovation Agency, targeting system innovation.     

草根创新可持续驱动模式探析——来自农民“创客”的依据

草根创新是我国经济增长的新动力。本文通过最大变异抽样,选取了中国10个农民草根创新案例,在扎根理论的基础上,采用质性研究严格归纳法,分析在资源限制条件下创新是怎样产生并且对社会产生影响的效用机制。研究结果表明草根农民“创客”在进行创新的过程中,追求三重底线,不仅能创造经济价值和社会效益,还带来了环境收益,草根农民也能成为创新的重要力量,促进社会的可持续发展。本研究对于政策制定以及创新模式的探索有着重要的借鉴意义。     

从技术创新到社会技术系统转型——工业革命先导产业创新驱动发展的历史启示

突破性技术创新是如何产生的,它又如何逐步推动产业升级。人类工业革命的先导、18世纪英国纺纱技术的创新发展和扩散过程依然是一个值得关注的标本式案例,对这一案例的深入研究可以揭示从技术创新到技术与社会的协同演化并最终促成社会技术系统转型的基本路径,也可获得当前我国创新驱动发展的启示。     

The knowledge-creating theory revisited: knowledge creation as a synthesizing process

This paper is a part of our attempt to build a new knowledge-based theory of the firm and organization to explain the dynamic process of knowledge creation and utilization. For this, we revisit the theory of knowledge creation through the SECI process and ba, and try to advance them further by incorporating the dialectic thinking. In this paper, knowledge creation is conceptualized as a dialectical process, in which various contradictions are synthesized through dynamic interactions among individuals, the organization, and the environment. With the view of a firm as a dialectic being, and strategy and organization should be re-examined as the synthesizing and self-transcending process instead of a logical analysis of structure or action. An organization is not an information-processing machine that is composed of small tasks to carry out a given task, but an organic configuration of ba. Ba, which is conceptualized as a shared context in motion, can transcend time, space, and organization boundaries to create knowledge.     

Compulsive policy-making—The evolution of the German feed-in tariff system for solar photovoltaic power

In recent years, policy approaches that build upon the notion of innovation systems have enjoyed increasing attention in science, technology and innovation policy. But while the usefulness of systemic thinking in policy-making has been demonstrated in a large number of empirical settings, we still lack a detailed understanding of the dynamics at play when policy makers address systemic problems. In this paper, we show how complex interdependencies and the uncertain nature of technological change shape the process of targeted policy interventions in socio-technical systems. Toward this end we analyzed the evolution of the German feed-in tariff (FIT) system for solar photovoltaic power, a highly effective and widely copied policy instrument targeted at fostering the diffusion and development of renewable energy technologies. We find that the policy has been subject to a considerable amount of changes, many of which are the result of policy makers addressing specific system issues and bottlenecks. Interestingly, however, often these issues themselves were driven by unforeseen technological developments induced by previous policy interventions. We argue that the pattern of policy serving as both a solution to and a driver of technological bottlenecks shows strong similarities with what Rosenberg (1969) called ‘compulsive sequences’ in the development of technical systems. By shedding more light on how the characteristics of socio-technical systems affect policy interventions, our framework represents a first step toward more closely integrating the literature on innovation systems with the work on policy learning.