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.     

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.     

The verticality of policy mixes for sustainability transitions: A case study of solar water heating in China

Climate change and sustainable development are the defining challenges of the modern era. The field of sustainability transitions seeks systematic solutions for fundamental transformations of socio-technical systems towards sustainability, and exploring the role of policy mixes has been a central research agenda within the field. In the extant literature, there exists a lack of both conceptual and empirical research on the vertical dimension of policy mixes for sustainability transitions. This study provides a multilevel and evolutionary interpretation of the vertical interactions of policy mixes in the process of industrial path development towards sustainability transitions. An exemplary case of solar water heating (SWH) technology in Shandong Province in China is presented, capturing both the bottom-up and top-down processes of interactions. On the one hand, urban-level policy initiatives can inform higher-level policymaking; on the other hand, national-level priorities can greatly configure policy strategies for lower-level governments. Moreover, as the industry matures, the interactions of multilevel policy mixes evolve from simpler, unidirectional patterns to more complex, bidirectional ones through a vertical policy-learning feedback mechanism. This study generates two important policy implications that extend beyond the Chinese context: first, dynamic vertical interactions between multilevel governments indicate the need to develop more nuanced perspectives on the design of policy mixes; second, policy makers need to hold a more dynamic view of policy mixes by recognizing their temporal and coevolutionary nature through the policy learning process.     

Delineating policy mixes: Contrasting top-down and bottom-up approaches to the case of energy-storage policy in California

In the light of pressing societal challenges such as climate change and resource scarcity, scholars are increasingly interested in studying policy mixes in the context of sustainability transitions. However, despite numerous conceptual advances and empirical insights, researchers still lack universal criteria or accepted heuristics for delineating policy mixes in these complex policy spaces. We address this gap by conducting an extensive review of the literature, synthesizing best practices, and developing an analytical framework that provides researchers with two archetypical methodological approaches. The top-down approach builds on the idea that the elements of a policy mix originate from an overarching strategic intent. By contrast, the bottom-up approach starts from the definition of a focal impact domain that is affected by a range of policy instruments. For each approach, we outline a systematic analytical procedure, then implement it to scrutinize how policy affects the emerging technological domain of energy storage in California. We find that each approach has particular advantages that render it useful for certain policy mix analyses. Discussing how researchers may choose between the two approaches or leverage their complementarities, we seek to provide the basis for a consistent research program building on the policy mix framework.     

Mobilizing innovation for sustainability transitions: A comment on transformative innovation policy

The topics addressed in this paper concern the (much-needed) transition to sustainability and what role (innovation) policy can play in speeding up such changes. In their Discussion Paper Schot and Steinmueller (2018) argue that the existing theorizing and knowledge bases within the field of innovation studies are “unfit” for this task and that a totally new approach is required. This paper takes issue with this claim. Policy advice, it is argued, needs to be anchored in the accumulated research on the issue at hand, in this case, innovation. The paper therefore starts by distilling some important insights on innovation from the accumulated research on this topic and, with this in mind, considers various policy approaches that have been suggested for influencing innovation and sustainability transitions. Finally, the lessons for the development and implementation of transformative innovation policy are considered. It is concluded that the existing theorizing and knowledge base in innovation studies may be of great relevance when designing policies for dealing with climate change and sustainability transitions.     

Mapping the mix: Linking instruments,settings and target groups in the study of policy mixes

This article proposes the extension of a conceptual framework aimed at analysing policy mixes and their outcomes and demonstrates its value added for the study of sustainability transitions. The argument is that policy mixes research should not focus only on the form of policy instruments, but also on their implementation context. Policy mix form designates the specific policy instruments that are involved according to a policy strategy. Policy mix context includes the specific setting where each policy measure is implemented, such as enterprise or family. It also includes the specific target group of each measure, such as youth or smokers. We apply this conceptual framework to the policy concept and implementation of tobacco control policies in Switzerland, which are an exemplary case for analysing transitions as they are geared towards behavioural change. In a mixed method approach, we triangulate different sets of quantitative and qualitative indicators in order to assess the implementation of eleven subnational policy mixes. Our findings show that taking into account the moderating role of settings between policy instruments and target groups allows for a more in depth analysis of policy processes. Observing the interactions between the four elements policy instruments, policy strategy, the implementation settings and the target groups allows capturing the complexity of policy mixes, at the crossroads of policy design, policy implementation and policy outcomes. Taking implementation settings and target groups into account in the analysis of policy mixes allows for a refined understanding of policy compliance and thus, from a broader perspective, of sustainability transitions.     

Normative contestation in transitions ‘in the making’: Animal welfare concerns and system innovation in pig husbandry

Previous studies of system innovations mainly focused on historical cases that were driven by commercial motivations of pioneers and entrepreneurs. This article investigates a system innovation in the making that is driven by normative concerns, such as sustainability or animal welfare, initially formulated by outsiders like special-interest groups. Our central research question is: How, when and why is normative contestation of existing regimes effective in influencing the orientation of transitions in the making?The conceptual framework enriches innovation studies and the multi-level perspective with insights from social movement theory (SMT) and political science. SMT is used to analyze the build up of normative pressure (through framing, resource mobilization, and political opportunity structures). From political science we use the notion of multiple streams, in our analysis a problem, regulatory, market and technology stream.The research design consists of a comparative case study of pig husbandry systems. One case analyses the sub-sector of pregnant sows where normative pressures, after several decades, led to the changes advocated by the contestants. The second case concerns the sub-sector of pig fattening where normative pressure was less successful.The difference is partly explained by the normative pressure for pregnant sows being larger than for fattening pigs. The other part of the explanation is that in the first case normative pressure aligned better with the three other streams (regulatory, market and technology) to lead to the changes desired by the contestants.