Communication Between
Researchers and Policy-Makers
for Sustainable Development
Research
Prof Dr Stefan Kuhlmann
University of Twente
Science, Technology, & Policy Studies (STəPS)
Linking Science and Policy in Sustainable Development Research
Cyprus 15/16 October, 2009
Kuhlmann – RPF Cyprus, October 2009, page 1
Overview
1) RD4SD Exercise
2) Multi-level view on regime transitions
3) Understanding de facto governance of regime
transitions: options for research policy?
4) RD4SD recommendations
Kuhlmann – RPF Cyprus, October 2009, page 2
RD4SD Exercise
• EU Expert Report
(Georghiou, Cassingena Harper,
Esterle, Kuhlmann 2009)
– How to harness European research
to SD
– How to achieve RD4SD?
– How to measure achievements?
• Need for changes in
– Execution of research
– Elaboration of research policies
– Indicators of contribution of
research to SD
Kuhlmann – RPF Cyprus, October 2009, page 4
‘Free’ research vs. public request
STS: Research is socially conditioned
- two truisms:
• Scientific research is in the first place a creative activity,
based on methodological systematic, but often fed by
serendipity. Research processes and their impact on
society and economy are elusive and hardly to predict.
Pushing for effective output (also for SD) would
undermine the very working of science.
• Without requests from publics (society, government,
economy) and without their investments in research there
was no organised, sustainable science – hence there
is good reason to expect and control for useful and
effective science production.
Kuhlmann – RPF Cyprus, October 2009, page 6
Research policy for SD?
• Beware of wishful thinking!
Avoid naïve instrumentalist assumptions
-- Step back for a moment!
• „How Great Expectations in Washington Are Dashed in
Oakland“ [Subtitle of book of Pressman/Wildavsky, 1973]
-- the instrumentalist thrust tends to become
counterproductive on its own terms because it neglects
the complexities of change)
• Need for reflexive understanding of limited,
but relevant role of policy within de facto governance
Kuhlmann – RPF Cyprus, October 2009, page 7
Multi-level
view on
regime
transitions
(towards
sustainability?)
Research in
context
- socio-technical
- economic
- political
(e.g.
Geels & Schot 2007)
Kuhlmann – RPF Cyprus, October 2009, page 8
Understanding de facto governance
of regime transition
• Promises and expectations
• Thus, ’endogenous’ futures (Rip);
‘emerging irreversibility (Callon)
• Scientific research as one
element, both conditioned
and constituting
• How to introduce SD-oriented research (policy)?
Kuhlmann – RPF Cyprus, October 2009, page 9
Governance & intervention analysis
• ‘Governance’: non-normative heuristic (political
science) denoting
–
dynamic interrelation of organized actors, their resources,
interests and power
–
fora for debate and arenas for negotiation between actors
–
rules of the game
–
policy interventions and instruments applied
• de facto technology governance result of
research, technology and societal + political
dynamics
Kuhlmann – RPF Cyprus, October 2009, page 10
Rec B1: Foresight should be used to
identify SD-related research needs
• On EU level, identifying SD research needs
explicitly, linking-up with national efforts
(e.g. on climate change; clean energy; transport; consumption and
production; conservation and management of natural resources;
public health; social inclusion, demography and migration; global
poverty)
• Funded research would extend over
– explorative frontier research
– problem-oriented research into necessary socioeconomic and institutional change
Kuhlmann – RPF Cyprus, October 2009, page 11
Rec B2: SD requires a balanced portfolio:
exploratory and problem-oriented
research – underpinned by substantial
socio-economic understanding
• Problem-oriented, often trans-disciplinary SD research,
interacting with society, economy, and politics needs to
be fostered by incentives, rewards, and reputation (e.g.
endowment of SD-related university chairs, high-level
prices, awards, etc.)
• Stimulate SD-related socio-economic research into
character, mechanisms and requirements of institutional
transition in society, culture, economy, regulation, and
politics towards SD
Kuhlmann – RPF Cyprus, October 2009, page 12
Stimulate SD transition and
governance research
• SD: There are
many excellent
technological
solutions – but
socio-economic
institutional
environment &
practice (‘regime’)
don’t fit (yet):
How to change de
facto governance?
Example of energy: Carbon cycle of Greenhouse Village,
Dutch Innovation Network, 2007
Kuhlmann – RPF Cyprus, October 2009, page 13
Rec B3: Support research-led social
shaping of SD concepts, involving
stakeholders and researchers
• Stimulate SD-oriented experimentation:
– Research-driven CTA, SNM for SD and Integrated Sustainability
Assessment (ISA) require protected spaces and resources to
unfold and stabilise
– Research into role of (re-)regulation for SD
– Need for supportive programmes
• Interaction platforms for stakeholders and
researchers
– Support ‘spaces’ for interaction of stakeholders with researchers
and research policymakers (see Rec B4)
Kuhlmann – RPF Cyprus, October 2009, page 14
Rec B4: ERA-wide Policy Platforms as ‘fora’
for defining SD related research agenda
• Policy Platforms as ‘Forum’: institutionalised spaces
for deliberation
• Thematic visions, on transnational level
• Focus on multi-level arrangements: EU, MS
• Policy-makers from different levels and policy domains
• Representatives from
research, industry
and society
• Aim: Joint policies,
e.g. Art 169; OMC
• Use of Strategic
Intelligence
Kuhlmann – RPF Cyprus, October 2009, page 15
Rec B5: Knowledge brokerage processes
that link SD research to application
should be encouraged
• Available SD-related research results still
underutilised in policy making
(lack of links between disciplines and research and policy)
• Running experiments with knowledge brokerage
to be continued (FP7)
Kuhlmann – RPF Cyprus, October 2009, page 16
Summing up
• Research for Sustainable Development:
Avoid naïve concepts for research policy!
• Understand ‘regime’ transition dynamics
and de facto governance (of research):
institutions, actors, interests
• Create platforms for exchange, negotiation and learning
• Foster experimentation in niches
Kuhlmann – RPF Cyprus, October 2009, page 19
References
•
Elzen, B., F.W. Geels and K. Green, eds. (2004): System Innovation and the Transition to Sustainability. Cheltenham:
Edward Elgar Publishing Ltd.
•
Geels, F.W., and J. Schot (2007): Typology of sociotechnical transition pathways, Research Policy, Vol. 36, Issue 3, April
2007, 399-417
•
Georghiou, L.; Cassingena Harper, J.; Esterle, L.; Kuhlmann, S. (2009): Gearing European R&D towards sustainability –
"RD4SD" Exercise. Luxembourg (Office for Official Publications of the European Communities), ISBN 978-92-79-12423-5
•
Kuhlmann, S. (2007): Governance of innovation: Practice, policy, and theory as dancing partners. Address delivered upon
the acceptance of the Chair Foundations of Science, Technology and Society Faculty Management and Governance,
University of Twente, Enschede/Netherlands (Univ. of Twente) (download)
•
Kuhlmann, S. (2009): TA als Tanz: Zur Governance technologischer Innovation. Neue Aufgaben des Technology
Assessment. In: Aichholzer, G., et al. (eds.): Technology Governance - Der Beitrag der Technikfolgenabschätzung, Berlin
(edition sigma; Reihe: Gesellschaft – Technik – Umwelt) (forthcoming)
•
Nelson, R. & S. Winter (1977): In search of a useful theory of innovation, Research Policy, 6, 36-76
•
Rip, A. (2006): A coevolutionary approach to reflexive governance – and its ironies. In: Jan-Peter Voss, Dierk Bauknecht,
René Kemp (eds.): Reflexive governance for sustainable development, Cheltenham UK (Edward Elgar Publishing), 82100
•
Rip, A., & Kemp, R. (1998): Technological Change. In: Rayner, S., & Malone, L. (eds.): Human Choice and Climate
Change, Vol. 2, Resources and Technology, Washington DC (Batelle Press), 327–400
•
Van den Ende, J. & Kemp, R. (1999): Technological transformations in history: how the computer regime grew out of
existing computing regimes, Research Policy 28, 833–851
Kuhlmann – RPF Cyprus, October 2009, page 21
Political decision;
Budget allocation
Implementation:
Conducting
research
Policy
Forum on findings:
Debate with public (SD?!)
Choice of
instruments
Foresight;
Policy design
Circle
Evaluation:
outcomes, impacts
Forum on needs:
Debate with public
Strategic
analysis:
Regime
transition
(SD ?!)
Agenda setting;
strategic targets
Kuhlmann – RPF Cyprus, October 2009, page 22
Panel:
Communication Issues
and Links between Research
and Policy-Making