Kuhlmann – RPF Cyprus, October 2009, page 1 Communication Between Researchers and Policy-Makers for Sustainable Development Research Prof Dr Stefan Kuhlmann.

Kuhlmann – RPF Cyprus, October 2009, page 1

Communication Between Researchers and Policy-Makers

for Sustainable Development Research

Prof Dr Stefan Kuhlmann

University of TwenteScience, Technology, & Policy Studies (STəPS)

Linking Science and Policy in Sustainable Development ResearchCyprus 15/16 October, 2009

Kuhlmann – RPF Cyprus, October 2009, page 2

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 4

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 6

‘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 7

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 8

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 9

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 10

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 11

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 socio-economic and institutional change

Kuhlmann – RPF Cyprus, October 2009, page 12

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 13

Stimulate SD transition andgovernance 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 14

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 15

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 fromresearch, industryand society

• Aim: Joint policies, e.g. Art 169; OMC

• Use of Strategic Intelligence

Kuhlmann – RPF Cyprus, October 2009, page 16

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 19

Summing up

• Research for Sustainable Development: Avoid naïve concepts for research policy!

• Understand ‘regime’ transition dynamicsand 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 21

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), 82-100

• 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 22

Panel:Communication Issues

and Links between Researchand Policy-Making

Strategic analysis:

Regimetransition

(SD ?!)

Forum on needs:Debate with public

Forum on findings:Debate with public (SD?!)

Evaluation:outcomes, impacts

Implementation:Conducting

research

Foresight;Policy design

Political decision;Budget allocation

Agenda setting;strategic targets

Choice ofinstruments

Policy

Circle