Guest lecture snm esteem

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  • 15 maart 2011


  • 1. System Innovations, Strategic Niche Management and ESTEEM Designing strategic experiments for system innovation Guest lecture for the ‘System Design for Sustainability’ Course Politechnico di Milano Rob Raven
  • 2. Content
    • Problem framing: transitions
    • A multi-level perspective on transitions
    • The role of niches and experiments
    • ESTEEM: designing strategic experiments
    • Case: Carbon Capture and Sequestration experiment in NL
    • Conclusions
  • 3. Transitions
    • Present day socio-technical systems of provision face major sustainability challenges (e.g. energy system, mobility system)
    • Incremental improvements not enough due to increasing demand, changing user practices (e.g. rebound)
    • Need for transition: transformative, socio-technical innovation on the level of systems
  • 4. Transitions Weterings et al (1997)
  • 5. Transitions Personal transport, USA; Nacicenovic (1986) Geels (2002) Mechanical drive in factory production, USA; Geels (2006) Energy sources, USA; Grubler (1999)
  • 6. Transitions Geels (2002)
  • 7. Transitions Geels (2002)
  • 8. Transitions
    • Transitions:
      • Long-term (50 years or more)
      • Multi-actor (science, policy, firms, ngo ’ s, users, etc)
      • Co-evolutionary (mutual influences of technical and social changes)
      • Multi-level (micro, meso, macro)
    • How to understand the dynamics of transitions?
    • How to guide them into socially desirable directions?
  • 9. Multi-level perspective on transitions
    • Socio-technical regimes: mainstream socio-technical configuration to fulfil a societal function, e.g. energy provision, mobility
    • Landscape: exogenous and autonomous trends and events that pressurise regimes
    • Niches: partially protected spaces for path-breaking socio-technical innovations
  • 10. MLP
      • Energy systems are locked-in to fossil-fuels, supported by large investments, social networks, policies, infrastructures, user practices
    Geels (2004)
      • Climate change, depletion of fossil fuels, liberalisation of markets
      • PV systems in rural areas, car sharing schemes using electric vehicles
  • 11. MLP
    • Transitions happen when:
      • There is sufficient pressure from landscape;
      • Regimes are instable and open for change;
      • Niche innovations are available and are sufficiently developed.
  • 12. Strategic Niche Management
    • Background:
      • Framework development started in early 1990s
      • Evolutionary theories
      • Constructivists Science and Technology Studies (STS)
    • Focus:
      • Radical (environmental) innovations
      • Early introduction phase of innovations in society
    • Main research question:
      • How and under what circumstances is the successful emergence of a niche possible?
  • 13. Niches: specific phase in techn. dev.
  • 14. Experiments
    • ‘ Socio-technical experiments ’ as entry point for niche creation and development
    • Initiatives that embody a highly-novel socio-technical configuration likely to lead to substantial (environmental) sustainability gains (Berkhout et al., 2009).
  • 15. Key processes
    • Experiments should be designed to:
      • Establish and strengthen new social networks
        • Involve relevant stakeholders such as firms, policy makers, end-users, NGO’s, academics
        • Include regime-outsiders
      • Provoke actors to articulate their expectations (in relation to wider regime problems and landscape pressures)
        • Design a process to consult all stakeholders for their views on the experiment; make a systematic comparison of different views
      • Stimulate a good learning process
        • Learning goals should include dimensions such as technology, economics, policy requirement, cultural meanings, user behavior
        • Reflexive arena’s to negotiate expectations and organise social learning in a multi-stakeholder setting
  • 16. Connecting experiments, building niches E.g.: increasingly scare oil resources and increasing consumer energy prices A few farmers start a project with biogas generation A new policy program allows systematic comparison of results from different projects. Generate new research questions Mainstream utilities start investing in biogas generation Through informal meetings they learn to optimise to process. Lobby for resouces and institutional change. Biogas production expands into new application domains (e.g. food industry)
  • 17. ESTEEM: tool for SNM
    • EU-project on social acceptance of new energy technologies (2006-2008)
    • Actor-network theory (STS) / Socrobust / SNM
    • 27 case studies throughout Europe + 5 action research projects
    • Result: practical participatory process tool
  • 18. ESTEEM Raven et al (2009)
  • 19. ESTEEM Raven et al (2009) Articulating expectations Social network building Learning
  • 20. ZEPP – Drachten (NL)
  • 21. Step 1: project past and context
    • Method: interview and discussions with project manager
    • Outcomes: historical narrative, defining moments table, actor table, context table
    Defining moments table Data Description of the moment Description of cause Internal or external cause Internal consequences External consequences 2004 Refusal of Ministry of Economic Affairs to implement feed-in tariffs for ZEPP-like technologies Feed-in budget was depleted and there was debate about its continuation External Delay of project implementation Sense of urgency for project within Economic Affairs decreases
  • 22. Step 1: project past and context Actor table Identification Interest and power Communication Name Role of actor Interest in project Available resources Channels of influence Acquainted with project? Access to project information Ministry of Environmental Affairs Licensing agent Possibility to meet climate objectives Subsidy funds Controls decisions for subsidy granting Medium Face-to-face Discussions with SEQ
  • 23. Step 2: vision building
    • Method: interviews with project manager en key actors
    • Outcome: actor map of current situation and a variety of future visions on the project
  • 24. Step 2: vision building
  • 25. Step 3: identifying conflicting issues
    • Method: systematically compare in excel similarities and differences between visions
    • Outcome: list and ranking of potential controversies and opportunities
    Ranking table RANKING TABEL Urgency (1=low, 5=high) Significance (1=low, 5=high) Weight (U x S) Solvability (low / average / high) Controversy: Technology ready in time? 3 5 15 high Opportunity: Joint heat delivery with biomass power plant 2 4 8 high
  • 26. Step 4: portfolio of options
    • Method: discussion meeting with project manager
    • Outcome: issues-solutions table
    Issues-solutions table Issue Equipment/context improved adaptation Knowledge gap reduction Financial incentive Other Technical design (not) ready in time Make plant upgrade-ready for technical improvements Continuous contact with all suppliers Provide extra financial incentive to accelerate development Seek other suppliers in case of delayed supply Informing stakeholders on state of affairs regarding technological development
  • 27. Step 5: shaking hands
    • Method: stakeholder workshop to discuss controversies and opportunities
    • Outcome: alternative issues-solutions table
  • 28. Step 6: Recommendations for action
    • Method: comparing two issues-solutions tables
    • Outcome: capacity for action table, collaboration table, communication table
    Capacity for action table Activities that can be done today Activities that require substantial collaboration Activities aimed at the long term and monitoring Take care of ‘honest’ communication plan Negotiate with municipality and cultural organizations about multi-functional information center Negotiate with municipality about risk funds for potential decrease in house prices due to plant construction Advertise additional heat supply to municipality and local industry Cooperate with schools and universities to develop courses about new energy technologies and trainee positions Enter into dialogue with national government about potential participation in CO 2 infrastructure development Investigate possibility for constructing a climbing wall on cooling tower Extend cooperation with regional energy interest organization to lobby for positive image of CCS Develop a reliable and transparent system for monitoring CO 2 storage
  • 29. Step 6: Recommendations for action Collaboration & communication table Activities that require substantial collaboration Type of recommended activities Sub-activities and revision of current practice Communication channels Negotiate with municipality and cultural organizations about multi-functional information centre Consultation and research Elaborate various options for centre and consult municipality and local actors what they need Face-to-face consultation Cooperate with schools and universities to develop courses about new energy technologies and trainee positions Collaboration with new stakeholders Map different roles students can play in ZEPP. Seek contact with schools and other knowledge institutes Face-to-face consultation / local newspaper / university newspaper
  • 30. Conclusions
    • Transitions are necessary for moving towards sustainable societies
    • Niches and experiments are critical (but not sufficient) conditions for transitions
    • Multi-level perspective and SNM are promising starting points for understanding transitions and inform transition policies
    • ESTEEM: rich portfolio of tools for doing SNM
  • 31.
    • Thank you!
    • More info: