Innovation Studies
Working Paper Series
The working paper series Innovation
Studies Utrecht includes working
papers authored or co-authored by members of the Section of Innovation Studies of Utrecht University.
For
information or problems accessing the papers please contact Floortje Alkemade.
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2011
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#11.09
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Toon
Meelen and Jacco Farla |
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Towards an
integrated framework for sustainable innovation policy |
#11.08
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Anna
Wieczorek and Marko Hekkert |
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#11.07
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Magda
Smink, Marko Hekkert, and Simona Negro |
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#11.06
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Simona
Negro, Floortje Alkemade, and Marko Hekkert |
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Why does Renewable Energy diffuse so slowly? A review of
innovation system problems. |
#11.04
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Sjoerd Bakker, Harro van Lente, and Marius Meeus |
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#11.03
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Harro
van Lente, Charlotte Spitters, and Alexander Peine |
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#11.02
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Gaston
Heimeriks |
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#11.01
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Floortje
Alkemade, Simona Negro, Neil Thompson and Marko Hekkert |
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Towards a
micro-level explanation of sustainability transitions: entrepreneurial
strategies |
2010
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#10.04
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Sjoerd Bakker, Harro van Lente and Remko Engels |
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Competition in
a technological niche: the cars of the future |
#10.03
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Neil
Thompson and Erik Stam |
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Macroeconomic
Dynamics and Innovation: SME innovation in the Netherlands, 1999-2009 |
#10.02
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Laurens
K. Hessels, John Grin, Ruud E.H.M. Smits |
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#10.01
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W.P.C.
Boon, E.H.M. Moors, H.G.M. Leufkens |
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Patient
advocacy and articulation of expectations about pharmaceutical innovations |
2009
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#09.16
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Gaston
Heimeriks |
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#09.15
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Sjoerd Bakkers, Harro van Lente and Marius Meeus |
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The Emergence of a Dominant Design – a study
on hydrogen prototypes |
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#09.14 |
Sjoerd Bakker |
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#09.13 |
Barbara van Mierlo, Cees Leeuwis, Ruud Smits and Rosalinde Klein
Woolthuis |
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Learning towards system innovation. Evaluating a systemic
instrument. |
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#09.12 |
Anna J. Wieczorek, Marko P. Hekkert and
Ruud Smits |
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Contemporary innovation policy and instruments:
challenges and implications |
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#09.11 |
Jacco Farla, Floortje Alkemade and
Roald A. A. Suurs |
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Analysis of barriers in the transition toward sustainable
mobility in the Netherlands |
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#09.10 |
Roald A. A. Suurs, Marko P. Hekkert and
Ruud Smits |
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#09.09 |
Roald A. A. Suurs, Marko P. Hekkert,
Sander Kieboom and Ruud Smits |
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#09.08 |
Floortje Alkemade and Marko P. Hekkert |
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Development paths for emerging innovation systems:
implications for environmental innovations |
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#09.07 |
Frank J. van Rijnsoever, Jacco Farla
and Martin J. Dijst |
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#09.06 |
Frank J. van Rijnsoever, Martin J.
Dijst and Carolina Castaldi |
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Involvement and use of multiple search channels in the
automobile purchase process |
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#09.05 |
Floris J. Huétink, Alexander van der Vooren and Floortje Alkemade |
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Initial
infrastructure development strategies for the transition to sustainable
mobility |
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#09.04 |
Simona
O. Negro, Véronique Vasseur, Wilfried G.J.H.M. van Sark and Marko
P. Hekkert |
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Understanding
innovation system build up: The rise and fall of the Dutch PV Innovation
System |
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#09.03 |
Ellen
H.M. Moors and Rogier Donders |
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#09.02 |
Roel
Nahuis |
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The
distribution of decision-making. The case of a flexible public transport
system |
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#09.01 |
Roel
Nahuis, Ellen H.M. Moors and Ruud Smits |
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2008
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#08.21 |
Alexander
Peine |
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#08.20 |
Frank
J. van Rijnsoever |
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Opinion leaders
in the domain of consumer electronics and their use of external search
channels |
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#08.19 |
Sjoerd Bakker, Harro van Lente and Marius Meeus |
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#08.18 |
Alexander
Peine |
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The sources of use knowledge
– towards a framework about use, consumption and industrial dynamics |
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#08.17 |
Frank
J. van Rijnsoever and Carolina Castaldi |
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#08.16 |
Laurens
K. Hessels, Harro van Lente and Ruud Smits |
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In search of
relevance: The changing contract between science and society |
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#08.15 |
Albert Faber and Koen Frenken |
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#08.14 |
Frank J. van Rijnsoever, Laurens K. Hessels and Rens L.J.
Vandeberg |
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A
resource-based view on the interactions of university researchers |
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#08.13 |
Simona
O. Negro, Marko P. Hekkert and Ruud Smits |
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Stimulating renewable energy technologies by innovation
policy |
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#08.12 |
Malte Schwoon, Floortje Alkemade, Koen Frenken and
Marko P. Hekkert |
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#08.11 |
Roel
Nahuis |
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#08.10 |
Marko
P. Hekkert and Simona O. Negro |
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#08.09 |
Roel
Nahuis |
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The politics of displacements. Towards a framework for
democratic evaluation |
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#08.08 |
Simona
O. Negro and Marko P. Hekkert |
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#08.07 |
Carolina Castaldi and Bart Los |
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The identification of
important innovations using tail estimators |
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#08.06 |
Rens L.J.
Vandeberg and Ellen H.M. Moors |
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A framework for interactive
learning in emerging technologies |
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#08.05 |
Quirine van Voorst tot Voorst, Ruud Smits and John van
den Elst |
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Standardisation Processes in
China and the European Union Explained by Regional Innovation Systems |
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#08.04 |
Roald
A.A. Suurs and Marko P. Hekkert |
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#08.03 |
Laurens K. Hessels and Harro van Lente |
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Re-thinking new knowledge
production: A literature review and a research agenda |
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#08.02 |
Frank
J. van Rijnsoever and Carolina Castaldi |
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Knowledge base, information
search and intention to adopt innovation |
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#08.01 |
Ruud Smits, Rutger van
Merkerk, David H. Guston and Daniel Sarewitz |
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#08.01
(PDF)
Ruud Smits, Rutger van Merkerk,
David H. Guston and Daniel Sarewitz
The role of TA in Systemic Innovation Policy
Starting from the perception of
innovation as a multi actor, multi level strategic game, this paper addresses
the role of strategic intelligence, more in particular of TA, in systemic
innovation policies. First the history of TA in the
#08.02 (PDF)
Frank van Rijnsoever and Carolina
Castaldi
Knowledge base, information search and intention to adopt innovation
Innovation
is a process that involves searching for new information. This paper builds
upon theoretical insights on individual and organizational learning and
proposes a knowledge based model of how actors search for information when
confronted with innovation. The model takes into account different search
channels, both local and non local, and relates their use to the knowledge base
of actors. The paper also provides an empirical validation of our model based
on a study on the search channels used by a sample of Dutch consumers when
buying new consumer electronic products.
#08.03 (PDF)
Laurens K. Hessels and Harro van
Lente
Re-thinking knowledge production: a literature review and a research agenda
This
paper offers a systematic reflection on the Gibbons-Nowotny notion of ‘Mode 2
knowledge production’. We review its reception in scientific literature and
compare it with 8 alternative diagnoses of changing science systems. The ‘Mode
This working paper is now
published as:
Laurens K. Hessels and Harro van Lente (2008),
Re-thinking new knowledge production: A literature review and a research
agenda, Research Policy 37,
pp.740–760
#08.04 (PDF)
Roald A.A. Suurs and Marko P.
Hekkert
Cumulative causation in the formation of a technological innovation system: The case of biofuels in the Netherlands
Despite its worldwide success, the innovation systems approach is often
criticized for being theoretically underdeveloped. This article aims to
contribute to the conceptual and methodical basis of the (technological)
innovation systems approach. We propose an alteration that improves the
analysis of dynamics, especially with respect to emerging innovation systems.
We do this by expanding on the technological innovation systems and system
functions literature, and by employing the method of 'event history analysis'.
By mapping events, the interactions between system functions and their
development over time can be analysed. Based on this it becomes possible to
identify forms of positive feedback, i.e. cumulative causation. As an
illustration of the approach, we assess the biofuels innovation system in The
Netherlands as it evolved from 1990 to 2005.
This working paper is now
published as:
Roald A.A.
Suurs and Marko P. Hekkert. 2009. Cumulative causation in the formation of a
technological innovation system: The case of biofuels in the
#08.05
(PDF)
Quirine van Voorst tot Voorst, Ruud Smits
and John van den Elst
Standardisation
Processes in China
Standardisation processes and policies demand increased attention due to
their contribution to enterprise competitiveness and relation to trade
barriers. However, standardisation differs considerably per region. In order to
investigate these differences in more detail, the standardisation processes for
digital terrestrial television in
#08.06 (PDF)
Rens L.J. Vandeberg and Ellen H.M. Moors
A framework for interactive learning in emerging technologies
Innovation is an interactive
learning process which is of special interest for emerging technologies in
which complex complementary knowledge from heterogeneous stakeholders is combined. In the
emerging phase of technology development a lot of knowledge is tacit and can
only be transferred face-to-face. At the same time a shared vision between stakeholders
is being formed that acts as a driver for innovation. Although the importance
of interactive learning is widely acknowledged, an adequate framework for
studying interactive learning processes in emerging technologies is still
missing. Therefore we formulated the leading research question: How to understand and
conceptualize interactive learning in the context of emerging technologies? We did not only take the outcome
of interactive learning into account, but also focused on opening the black box
of the interactive learning process. We developed a framework based on
characteristic elements of the interactive learning process in emerging
technologies (i.e. prime mover, intermediaries, network formation and knowledge
flows), influencing conditions (geographical, cognitive, regulatory, cultural
and organisational proximity), and the outcome of the interactive learning
process (single-loop and double-loop, tacit and codified knowledge). Clarifying
examples are taken from the empirical field of the development of novel food
products (functional foods).
#08.07 (PDF)
The identification of important innovations using tail estimators
International
differences in economic performance are often attributed to differences in
innovative performance. Much empirical work supports this contention, but
problems in quantifying innovative output prevent researchers from drawing a
clear picture. Innovations are very heterogeneous regarding their importance,
with only very few innovations yielding substantial returns. Citation
frequencies are one measure of the value of innovations. We use a recently
introduced technique based on results from Extreme Value Theory to estimate the
characteristics of the tail of the distribution of citations. We identify
important innovations as those that receive a number of citations higher than
the ‘cutoff point’ of the tail of the distributions of citations. The data come
from the NBER Patent-Citations Database. We provide estimates of the
proportions of important patents for 31 technological categories and discuss
emerging patterns. Possible implications for technology policy and innovation
management are also drawn.
#08.08 (PDF)
Simona O. Negro and Marko P. Hekkert
Explaining the success of emerging
technologies by innovation system functioning: the case of biomass digestion in
Germany
We
examine the view that the success of emerging technologies may be understood
using a technological innovation systems analysis, drawing on a systems
functions approach. This is done in the context of a case study of the
successful diffusion of biomass digestion technology in
#08.09 (PDF)
Roel Nahuis
The
politics of displacements. Towards a framework for democratic evaluation
The
confrontation of values and interests and an impact in the public realm
constitutes a broadly recognised political dimension of technological
innovation processes. There is, however, a gap between empirical research into
these politics of innovation and normative research into their democratic
evaluation. Especially methods for evaluating the democratic quality of dynamic
and non-formal forms of innovation politics are lacking. This paper aims to
fill the gap by developing a framework for analysing the politics of innovation
in terms of displacements of issues. Its first part reviews different
theoretical approaches and concludes that decision-making about design and use
generally takes place in a multitude of settings and that this circumstance calls
for theoretical investigation of displacements between settings. In the second
part, the notions of ‘issue’, ‘setting’, and ‘displacement’ are further
elaborated and related to one another. A conceptual framework is construed that
is suggested to be helpful in the democratic evaluation of the politics of
displacements. The paper ends with a reflection on the applicability of
recently developed democratic criteria. Because these criteria are devised for
proceduralised and static decision-making processes, they needed to be reduced
to three democratic principles that are general enough to capture local
variation and specific enough to make a difference between good and bad
politics.
#08.10 (PDF)
Marko P. Hekkert and
Simona O. Negro
Functions
of innovation systems as a framework to understand sustainable technological
change: empirical evidence for earlier claims
Understanding the emergence of innovation systems is recently put central
in research analysing the process of technological change. Especially the
key-activities that are important for the build up of an innovation system
receive much attention. These are labeled ‘functions of innovation systems’. In
most cases the authors apply this framework without questioning its validity.
This paper builds on five empirical studies, related to renewable energy
technologies, to test whether the functions of innovation systems framework is
a valid framework to analyse processes of technological change. We test the
claim that a specific set of functions is suitable. We also test whether the
claim made in previous publications that the interactions between system
functions accelerate innovation system emergence and growth is valid. Both
claims are confirmed.
#08.11 (PDF)
Roel Nahuis
The
rise and fall of self-service in Amsterdam
The
stabilisation of innovative technology depends on reconciling technological
requirements and user behaviour. This can be achieved by adjusting the
technology to the users, by configuring the user, or by a combination thereof.
This paper evaluates different strategies in a case of service innovation: the
substitution of conductors with self-service machines in the
This working paper is now published as:
R. Nahuis (2009), The rise and fall of self-service in
#08.12 (PDF)
Malte Schwoon,
Floortje Alkemade, Koen Frenken and Marko P. Hekkert
A
complex systems methodology to transition management
There is a general sense of
urgency that major technological transitions are required for sustainable
development. Such transitions are best perceived as involving multiple
transition steps along a transition path. Due to the path dependent and
irreversible nature of innovation in complex technologies, an initial transition
step along some preferred path may cut off paths that later may turn out to be
more desirable. For these reasons, initial transition steps should allow for
future flexibility, where we define flexibility as robustness regarding
changing evidence and changing preferences. We propose a technology assessment
methodology that identifies the flexibility of initial transition steps in complex
technologies. We illustrate our methodology by an empirical application to 2646
possible future car systems.
This working paper is now
published as:
Alkemade, F., K. Frenken, M.P.
Hekkert and M.A. Schwoon. A complex systems methodology to transition management.
Journal of Evolutionary Economics. DOI 10.1007/s00191-009-0144-x.
#08.13 (PDF)
Simona O. Negro, Marko P. Hekkert and Ruud Smits
Stimulating Renewable Energy Technologies by
Innovation policy
In
this paper we analyse the dynamics of three emerging innovation systems by
using the system functions approach in which the underlying key activities that
contribute to the build up of an innovation system are identified. The insights
gained with respect to the dynamic functional patterns specific for each
emerging innovation system will allow us to identify system failures and
develop policy and policy measures that start out from an innovation systems’
perspective. We will present initial ideas on the building blocks for a more
systemic policy aiming to support the development of new emerging innovation
systems (and in doing so break down parts of the old innovation systems).
#08.14 (PDF)
Frank
J. van Rijnsoever, Laurens K. Hessels and Rens L.J. Vandeberg
A resource-based view on the interactions of
university researchers
The
high value of collaboration among scientists and of interactions of university researchers
with industry is generally acknowledged. In this study we explain the use of
different knowledge networks at the individual level from a resource-based
perspective. This involves viewing networks as a resource that offers
competitive advantages to an individual university researcher in terms of
career development. Our results show that networking and career development are
strongly related, but it is important to distinguish between different types of
networks. Although networks on various levels (faculty, university, scientific,
industrial) show strong correlations, we found three significant differences.
First, networking within one’s own faculty and with researchers from other
universities stimulates careers, while interactions with industry do not.
Second, during the course of an academic career a researcher’s scientific
network activity first rises, but then declines after about 20 years.
Science-industry collaboration, however, continuously increases. Third, the
personality trait ‘global innovativeness’ positively influences science-science
interactions, but not science-industry interactions.
This working paper is now published as:
Frank J. van Rijnsoever, Laurens
K. Hessels and Rens L.J.
Vandeberg (2008), A resource-based view on the
interactions of university researchers, Research
Policy 37, pp.1255–1266
#08.15
(PDF)
Albert Faber and Koen Frenken
Models
in evolutionary economics and environmental policy: Towards an evolutionary
environmental economics
In this paper we review
evolutionary economic modelling in relation to environmental policy. We discuss
three areas in which evolutionary economic models have a particularly high
added value for environmental policy-making: the double externality problem,
technological transitions and consumer demand. We explore the possibilities to
apply evolutionary economic models in environmental policy assessment, including
the opportunities for making policy-making endogenous to environmental
innovation. We end with a critical discussion of the challenges that remain.
#08.16 (PDF)
Laurens K. Hessels, Harro van
Lente and Ruud Smits
In search of relevance: The changing contract between science and society
This
paper presents a framework to study the historical development of the relationship
between science and society. We elaborate this relationship as a contract that
specifies the mission of scientific research, the rationales for public support
for science, and the conditions under which scientists work. These three
structural elements will always be part of the contract, but their specific
content can vary. The credibility cycle, as a model for scientific practice,
helps to describe and understand the consequences of a changing contract for
the work of individual scientists. A brief case study of chemistry in the
This working paper is now published as:
Laurens K. Hessels, Harro van
Lente and Ruud E.H.M. Smits (2009),
In search of relevance: the changing contract between science and society, Science and Public Policy, 36 (5), pp.
387-341
#08.17 (PDF)
Frank van Rijnsoever and Carolina
Castaldi
Perceived technology clusters and ownership of related technologies: the case of consumer electronics
We
contribute to the understanding of how technologies may be perceived to be part
of technology clusters. The value added of the paper is both at a theoretical
and empirical level. We add to the theoretical understanding of technology
clusters by distinguishing between clusters in perceptions and clusters in
ownership and by proposing a mechanism to explain the existence of clusters.
Our empirical analysis combines qualitative and quantitative methods to
investigate clusters of consumer electronics for a sample of Dutch consumers.
We find that perceived clusters in consumer electronics are mostly determined
by functional linkages and that perceived technology clusters are good
predictors of ownership clusters, but only for less widely diffused products.
#08.18 (PDF)
Alexander Peine
The
sources of use knowledge – towards a framework about use, consumption and
industrial dynamics
This paper reviews three strands of the innovation literature that
have presented innovation as a distributed process that combines knowledge of
users, designers and manufacturers: user innovations, Science and Technology
Studies (STS), and the study of consumption. These literatures have explored
different aspects of the micro-processes through which use and design are
locally aligned. This paper pulls together insights from these literatures, and
identifies an important gap: the connections between the local alignment of use
and design and the macro dynamics of industrial and technological change. The
paper then calls for an analysis of the social processes that link the dynamics
of the use environment, where forms and meanings of use are actively created,
with the technical knowledge bases of industries. It concludes with a number of
propositions towards an integrated framework of use, consumption and industrial
dynamics.
#08.19
(PDF)
Sjoerd
Bakker, Harro van Lente and Marius Meeus
Arenas of expectations for
hydrogen technologies
Technological
options can be regarded as variations in an evolutionary development process.
The variations are put forward by their respective technological communities
and are selected by technology selectors. Building on the notion of
quasi-evolutionary technology development we show how technological communities
secure their position on R&D agendas through feeding and maintaining
expectations in arenas of expectations. We examine this process by studying the
expectations work of the community that tries to develop metal hydrides for the
on-board storage of hydrogen for mobile applications. Metal hydrides are
proposed as a promising alternative to gaseous and liquid hydrogen storage but
are yet underdeveloped. Its proponents however, succeed in convincing their
sponsors of the future potential of metal hydrides. In this paper we show how
expectations of this technological option are raised and maintained by its
developers and how this has kept them on hydrogen technology agendas for over
40 years.
#08.20 (PDF)
Frank J. van Rijnsoever
Opinion
leaders in the domain of consumer electronics and their use of external search
channels
This study
proposes and tests a number of hypotheses about opinion leaders in the domain
of consumer electronics and their use of external search channels. Based on the
results of a survey among 1872 consumers, opinion leaders in the domain of
consumer electronics are found to most likely be young working males without
children. The use of different search channels by opinion leaders is related to
the degree of opinion leadership through an inverted U-shape. This study shows
that these relationships are in fact explained by the respondents’ knowledge
about the product category. Finally, the theoretical and managerial
implications are discussed.
#08.21 (PDF)
Alexander Peine
Challenging
incommensurability – What we can learn from Ludwik Fleck for the analysis of
complex technical systems
This paper explores the work of Ludwik Fleck and its applicability for
the analysis of innovation in complex technical systems. The objectives of the
paper are twofold. First, it strives to bring Ludwik Fleck back on the map of
technology analysis. For this purpose, it develops a Fleckian perspective on
technological change and innovation that augments the well-known concept of
technological paradigms with insights about thought
styles and collectives. Secondly,
the paper shows that this perspective provides important cues to understand the
interactions of different industrial sectors in innovation – a common yet
under-researched occurrence in innovation of complex technical systems.
#09.01 (PDF)
Roel Nahuis, Ellen Moors and Ruud
Smits
User producer interaction in context:
A classification
Science, Technology and Innovation Studies show
that intensified user producer interaction (UPI) increases chances for
successful innovations, especially in the case of emerging technology. It is
not always clear, however, what type of interaction is necessary in a
particular context. This paper proposes a conceptualization of contexts in
terms of three dimensions – the phase of technology development, the
flexibility of the technology, and the heterogeneity of user populations –
resulting in a classification scheme with eight different contextual
situations. The paper identifies and classifies types of interaction, like
demand articulation, interactive learning, learning by using and domestication.
It appears that each contextual situation demands a different set of UPI types.
To illustrate the potential value of the classification scheme, four examples
of innovations with varying technological and user characteristics are
explored: the refrigerator, clinical anesthesia, video cassette recording, and
the bicycle. For each example the relevant UPI types are discussed and it is
shown how these types highlight certain activities and interactions during key
events of innovation processes. Finally, some directions for further research
are suggested alongside a number of comments on the utility of the
classification.
#09.02 (PDF)
Roel Nahuis
The distribution of decision-making.
The case of a flexible public transport system
Instead of explaining the outcomes
of a policy process with reference to a rational planning logic, this paper scrutinises
the circumstances in which decisions actually are taken. It follows issues when
they displace between different decision-making settings. The approach is
applied to a case of decision-making about a flexible public transport system
in and around Hoogeveen, the
#09.03 (PDF)
Ellen Moors and Rogier Donders
Understanding
consumer needs and preferences in new product development: the case of
functional food innovations
As the majority of new products fail it is important to
focus on the needs and preferences of the consumers in new product development.
Consumers are increasingly recognised as important co-developers of
innovations, often developing new functions for technologies, solving
unforeseen problems and demanding innovative solutions. The central research
question of the paper is: How to understand consumer needs and preferences in
the context of new product development in order to improve the success of
emerging innovations, such as functional foods. Important variables appear to
be domestication, trust and distance, intermediate agents, user representations
and the consumer- and product specific characteristics. Using survey and focus
group data, we find that consumers need and prefer easy-to-use new products,
transparent and accessible information supply by the producer, independent
control of efficacy and safety, and introduction of a quality symbol for
functional foods. Intermediate agents are not important in information
diffusion. Producers should concentrate on consumers with specific needs, like
athletes, women, obese persons, and stressed people. This will support developing products in line
with the needs and mode of living of the users.
#09.04 (PDF)
Simona O. Negro, Véronique Vasseur, Wilfried G.J.H.M. van
Sark and Marko P. Hekkert
Understanding innovation system build up: The rise and
fall of the Dutch PV Innovation System
Renewable energy technologies have a hard time to break
through in the existing energy regime. In this paper we focus on analysing the
mechanisms behind this problematic technology diffusion. We take the
theoretical perspective of innovation system dynamics and apply this to
photovoltaic solar energy technology (PV) in the
#09.05 (PDF)
Floris J. Huétink, Alexander van der Vooren and Floortje
Alkemade
Initial infrastructure development strategies for the
transition to sustainable mobility
Within the Dutch transition policy framework, the
transition to hydrogen-based transport is seen as a promising option towards a
sustainable transport system. This transition requires the build-up of a
hydrogen infrastructure as a certain level of refuelling infrastructure is
necessary before (even the most innovative or environmentally friendly)
consumers will substitute their conventional car for a hydrogen vehicle (Dunn
2002). This is often referred to as the chicken-and-egg problem of
infrastructure development. However, the build-up of infrastructure is costly
and irreversible and it is therefore important for policymakers to gain insight
in the minimally required levels of initial infrastructure that will still set
off the transition. In this paper we
therefore present a diffusion model for the analysis of the effects of
different strategies for hydrogen infrastructure development on hydrogen
vehicle fleet penetration. Within the simulation model, diffusion patterns for
hydrogen vehicles were created through the interactions of consumers,
refuelling stations and technological learning. We compare our results to the
benchmark patterns derived from the hydrogen roadmap. The strategies for
initial infrastructure development differ with respect to the placement (urban
or nationwide) and the number of initial refuelling stations. Simulation
results indicate that when taking social learning between consumers into
account, diffusion is generally lower than in the benchmark patterns.
Furthermore, simulation results indicate that a nationwide deployment strategy
generally leads to faster diffusion of hydrogen vehicles than a strategy
focused on urban areas. These demand side aspects of the transition to
sustainable mobility are considered especially important in the Netherlands
since besides the high cost associated with infrastructure investment the Netherlands do not have a domestic car
industry so that policy measures will most likely focus on infrastructure and
consumers. Increased insights in the relation between infrastructure
development strategies and hydrogen vehicle diffusion are thus necessary to
further manage the transition to sustainable mobility.
This working paper
is now published as:
Floris J.
Huetink, Alexander van der Vooren, Floortje Alkemade, Initial infrastructure
development strategies for the transition to sustainable mobility,
Technological Forecasting and Social Change, In Press, Corrected Proof, Available
online 30 April 2010, ISSN 0040-1625, DOI: 10.1016/j.techfore.2010.03.012. (PDF)
#09.06 (PDF)
Frank J. van Rijnsoever, Martin J. Dijst and Carolina
Castaldi
Involvement and use of multiple search channels in the
automobile purchase process
In this study we investigate the
relationship between involvement and use of multiple search channels in the
case of pre-purchase information search for automobiles. We derive theoretical
hypotheses by combining arguments from both an economic or cost/benefit
approach and a motivational perspective.
Our theoretical framework is tested on a sample of 1392 Dutch consumers
using a structural equation model approach. We find that interpersonal sources
and retailers are relatively often consulted and their use is not strongly
related to involvement. The use of channels such as the World Wide Web and mass
media is instead strongly related to involvement, because their specialized
content is best appreciated by highly involved consumers. Finally, theoretical
and managerial implications are discussed.
#09.07 (PDF)
Frank J. van Rijnsoever, Jacco
Farla and Martin J. Dijst
Consumer Car Preferences and Information Search Channels
In this paper, we measure the relations
between stated and revealed car preferences and the use of information sources
in the car purchasing process, based on a survey of households in the
#09.08(PDF)
Floortje Alkemade and Marko P. Hekkert
Development paths for emerging innovation systems:
implications for environmental innovations
The functions of innovations
systems approach states that in order for an innovation system to function well
several key process or functions have to be addressed. Earlier contributions on
this topic provide empirical descriptions of innovation systems over time and
present analyses of how the key activities fluctuate over time .This body of
literature shows that there are considerable differences between function
fulfilments in different innovation systems making it difficult to directly
compare innovation systems. In this paper we present a first step towards such
a more theoretically based approach by describing how innovation system ideally
functions over time and then use this approach to analyze 17 case studies of
technological innovation systems regarding environmental innovations in the
#09.09(PDF)
Roald A.A. Suurs, Marko P. Hekkert, Sander Kieboom and
Ruud E.H.M. Smits
Understanding
the formative stage of Technological Innovation System development. The case of
natural gas as an automotive fuel
This study contributes to insights
into mechanisms that influence the successes and failures of emerging energy
technologies. It is assumed that for an emerging technology to fruitfully
develop, it should be fostered by a Technological Innovation System (TIS),
which is the network of actors, institutions and technologies in which it is
embedded. For an emerging technology a TIS has yet to be built up. The research
focuses on the dynamics of this build-up process by mapping the development of
seven key activities: so-called system functions. The main contribution
revolves around the notion of cumulative causation, or the phenomenon that the
build-up of a TIS may accelerate due to system functions reinforcing each other
over time. As an empirical basis, an analysis is provided of the historical
development of the TIS around automotive natural gas technology in the
This
working paper is now published as:
Roald A.A. Suurs,
Marko P. Hekkert, Sander Kieboom and Ruud E.H.M. Smits. Understanding the formative stage
of Technological Innovation System development. The case of natural gas as an
automotive fuel. Energy Policy, In
Press.
#09.10(PDF)
Roald A.A. Suurs, Marko P. Hekkert, and Ruud E.H.M. Smits
Understanding
the build-up of a Technological Innovation System around Hydrogen and Fuel Cell
Technologies
This study provides insight into
the development of hydrogen and fuel cell technologies in the
This working paper is now
published as:
Roald A.A. Suurs,
Marko P. Hekkert, and Ruud E.H.M. Smits Understanding the build-up of a Technological
Innovation System around Hydrogen and Fuel Cell Technologies. International Journal of Hydrogen Energy,
In Press.
#09.11(PDF)
Jacco Farla, Floortje Alkemade and Roald A.A. Suurs
Analysis
of Barriers in the Transition toward Sustainable Mobility in the
The transition toward a
sustainable transportation system in the
This working paper is now published
as:
Jacco Farla, Floortje Alkemade, Roald A.A. Suurs, Analysis of barriers in the transition toward sustainable mobility in the Netherlands, Technological Forecasting and Social Change, In Press, Corrected Proof, Available online 1 May 2010, ISSN 0040-1625, DOI: 10.1016/j.techfore.2010.03.014. (PDF)
#09.12(PDF)
Anna J. Wieczorek, Marko P. Hekkert and Ruud Smits
Contemporary
Innovation Policy and Instruments: Challenges and Implications
In this paper we review major
theoretical (neoclassical economics, evolutionary, systemic and
knowledge-based) insights about innovation and we analyse their implications
for the characteristics of contemporary innovation policy and instruments. We
show that the perspectives complement each other but altogether reveal the need
to redefine the current general philosophy as well as the modes of
operationalisation of contemporary innovation policy. We argue that systemic
instruments ensuring proper organisation of innovation systems give a promise
of increased rates and desired (more sustainable) direction of innovation.
#09.13(PDF)
Barbara van Mierlo, Cees Leeuwis,
Ruud Smits and Rosalinde Klein Woolthuis
Learning
towards system innovation. Evaluating a systemic instrument
This paper is now published in: Technological Forecasting and Social Change, Vol.
77, Issue 2, pages 318-334, 2010.
#09.14(PDF)
Sjoerd
Bakker
The
car industry and the blow-out of the hydrogen hype
The hydrogen hype of the last decade
has passed and it is now seemingly substituted by the electric vehicle hype. A
technological hype can have both positive as well as negative consequences. On
the one hand it attracts sponsors for technology development but on the other
hand the high expectations might result in disappointment and subsequent
withdrawal of the sponsors. In this
paper I ask the question to what extent the car industry has created the hype
and how it has done so. The industry’s role is studied through their
prototyping activities and accompanying statements on market entry. I conclude
that the car industry has indeed inflated the hype, especially through its
public statements on market release after the turn of the millennium.
Furthermore, the industry has shown a double repertoire of both highly
optimistic and more modest statements. From this I take that statements are
used deliberately to serve the industry’s interests whenever needed. Without
neglecting the positive outcomes of hype, public and private funding for R&D
efforts, more modest promises could serve the development of sustainable
mobility better.
#09.15(PDF)
Sjoerd Bakker, Harro van Lente and
Marius Meeus
The
Emergence of a Dominant Design – a study on hydrogen prototypes
The
notion of dominant designs deals with dominance in the market and the dominant
design is thought to be dominant because of market selection forces. The notion
thus ignores the possible selection that takes place in pre-market R&D
stages of technological trajectories. In this paper we ask the question whether
pre-market selection takes place and if this can lead to an early dominant
design. Furthermore we study what selection criteria apply during this phase,
in the absence of actual market criteria. We do so through an analysis of
prototyping trajectories for hydrogen vehicles.
Prototypes
are used by firms in their internal search process towards new designs and at
the same time they are means of communicating technological expectations to
outsiders. In both senses, prototypes can be taken as indicators of
technological trajectories in the ongoing search process of an industry for the
dominant prototype design of the future. Using prototypes as representation of intermediate
outcomes of the search process, a dominant design can possibly be recognized
also in a pre-market phase of development.
We
analyzed the designs of prototypes of hydrogen passenger cars from the 1970s
till 2008. In our analysis we try to show to what extent the designs
configurations of the technological components, converge or diverge over time.
For this we compiled a database of 224 prototypes of hydrogen passenger cars.
The database describes: the car’s manufacturer, year of construction, type of
drivetrain, fuel cell type, and capacity of its hydrogen storage system. We
draw conclusions with regard to the convergence/divergence of the prototypes’
designs and the role of diverse performance criteria therein.
We
conclude that there is convergence towards a dominant design in the prototyping
phase; the PEM fuel cell combined with high pressure storage. Performance
played a role as selection criterion, but so did regulation and strategic
behaviour of the firms. Especially imitation dynamics, with industry leaders
and followers, seems to be the major explanatory factor.
#09.16(PDF)
Gaston Heimeriks
Governing science as a complex adaptive system
Research
policy is a complex matter. Copying best practices in research policy, as
identified by benchmarking studies, is popular amongst policy makers but fails
because of ‘knowledge asymmetries’. Research fields exhibit distinct knowledge
dynamics that respond differently to governance interventions. Extending the
idea of search regimes, this paper aims at providing a policy model for
different knowledge dynamics by elaborating the notion of knowledge production
as a complex adaptive system.
Complex
regimes emerge from three interacting sources of variance. In our
conceptualisation, researchers are the nodes that carry the science system.
Research can be considered as geographically situated practices with site
specific skills, equipments and tools. The emergent science level refers to the
formal communication activities of the knowledge published in journals and
books, and announced in conferences. The contextual dynamics refer to the ways
in which knowledge production provides resources for social and economic development.
This conceptualization allows us to disaggregate knowledge dynamics both in horizontal (field related) and vertical (level related) dimensions by articulating the three different dynamics and their path dependencies (in research, science and society) in co-evolution with each other to produce distinct search regimes in each field. The implication for research governance is that generic measures can sometimes be helpful but there is clear need for disaggregated measures targeting field specific search regimes. Governing knowledge production through disaggregated measures means targeting in a distinct way not only different fields, but also, and more importantly, the interactions between local research practices, emergent scientific landscapes, and the field’s relationship to its societal context. If all three “levels” are aligned, there is a stable regime.
#10.01(PDF)
W.P.C.
Boon, E.H.M. Moors and H.G.M. Leufkens
Patient advocacy and articulation of expectations
about pharmaceutical innovations
Objective: to show how patient advocacy organizations
articulate and manage expectations about pharmaceutical innovations when faced
with issues pertaining to unsustainable drug development, such as unequal
access to new medicines, debatable medical need, or low economic profitability.
Background: the management of expectations by patient
advocacy organizations is increasingly gaining importance in influencing
pharmaceutical innovations and can have a positive influence on keeping health
care sustainable.
Methods: concise stylized examples in the field of
pharmaceutical innovations were drafted based on in-depth research into the
patient organizations. This research conveyed a large amount of events in which
these organizations were engaged using a triangulation of methods and sources
(archival materials, interviews with representatives of patient organizations
and other actors in the health care system, observations of meetings and
conferences).
Findings: patient advocacy groups are to a large
extent engaged in new technologies. The most important ways of managing
expectations are 1) achieving a balance between making use of enthusiasm and
the dynamics of expectations and ‘forced forwarding’ or overemphasizing risks,
and 2) forming and communicating expectations and visions in the context of
societal debates.
Conclusions: the variability of patient advocacy groups and their contexts leads to broadening and enriching the debates on the sustainability of drug innovation and to differences in attention to certain sustainability issues, including ethical and social impacts, access, and solidarity. The heterogeneity, subtlety, diversity and variability of patient advocacy make these organizations complex and underestimated vehicles for the articulation of expectations.
#10.02(PDF)
Laurens
K. Hessels, John Grin, Ruud E.H.M. Smits
Stakeholder
interactions in Dutch animal sciences
This paper
investigates the effects of the changing institutional environment on academic research
practices in the case of Dutch animal sciences. The two most important changes
in the Dutch agricultural research system in the past few decades have been
shifts in the available funding and the rise of performance evaluations. Our
analysis shows that these have only stimulated interactions with societal
stakeholders in fields where this helped to sustain a basic research agenda. In
other fields there turns out to be a tension between satisfying the needs of
application-oriented funding sources and reaching high scores on evaluations
that are dominated by bibliometric indicators.
#10.03(PDF)
Neil Thompson and Erik Stam
Macroeconomic
Dynamics and Innovation: SME innovation in the
While
numerous academic studies sufficiently bond the emergence of (radical)
innovations to macroeconomic growth (Plosser (1989); Freeman and Perez (1988);
Mansfield (1983); Mensch (1979); Jovanovic and Lach (1997); Giedeman and Simons
(2006)), the competitive mechanisms that influence small firm innovation
activity are under-theorized and empirically under-represented (see Heger
(2004)). Moreover, policy-maker tend to assume a “one-size-fits-all” stimulus
agenda can be implemented nation-wide to enhance innovation activity in small
firms, i.e. suggesting that supportive policies for the macroeconomic climate
will have the same effect on all industries, while in reality, firm and industry
innovativeness results in different effects from the macro-economy. Therefore,
our main research question asks to what extent and how do macroeconomic
dynamics affect product innovations. We take a quantitative approach by
examining innovation survey responses from small and medium sized enterprises
(SMEs) from 1999-2009 in the
#10.04(PDF)
Sjoerd Bakker, Harro van Lente and Remko Engels
Competition in a technological niche: the cars of the
future
Two designs compete to become the car of the future: the
battery electric and the hydrogen car. Even though both designs are part of the
same trend towards electrification of the drivetrain, they compete in terms of
R&D funding, supportive regulation and infrastructure. Both options are
developed and tested in so-called technological niches in which they are
shielded from regular market forces. The body of literature on technological niches
deals with the development of single niches and their relation to the
socio-technical regime and landscape. With this paper we aim to contribute an
understanding of the dynamics of the competition between multiple niche
technologies.
The competition between the two designs takes place on the
level of firms as well as on a global, industry-wide, level. In our case study
we describe the competition since the 1990s and show how attention and
expectations for both options have alternated in three phases. High hopes and
subsequent disappointments of component technologies were main drivers for the
alternations. On the local level there is room for multiple options at the same
time, but on the global level attention and expectations seem much more
focussed on either the one or the other.
#11.01(PDF)
Floortje Alkemade, Simona Negro, Neil Thompson and Marko Hekkert
Towards a micro-level explanation of sustainability transitions:
entrepreneurial strategies
In this paper we argue that insights in the actor level of
sustainability transitions are a necessary next step in the study of
sustainability transitions. The paper outlines a first step towards a more
systematic analysis of actor strategies in sustainability transitions by
linking strategies described in the sustainable entrepreneurship literature to
the technological innovation systems literature. The focus is thereby on
nascent entrepreneurs and entrepreneurial incumbent firms which both play a
crucial role in developing and commercializing the technologies needed in a
transition to sustainability. Our analysis points to two avenues for further
research: the role of legitimacy strategies in sustainability transitions and
the role of cooperative versus competitive strategies in sustainability
transitions.
#11.02(PDF)
Gaston Heimeriks
Measuring Interdisciplinarity: Conceptualization and
indicators - The cases of Biotechnology, Genomics and Nanotechnology
The notion of interdisciplinarity has received a lot of
attention from researchers and policy makers in discussions around the social
and intellectual organisation of the sciences. To date, however, no consensus
has been reached on the definition of interdisciplinarity and on suitable
indicators. In this paper we propose a conceptualization of different forms of
interdisciplinarity by introducing different levels of analysis; research,
science and society. In this conceptualisation, research relates to the
institutional settings and the variety of skills and infrastructures that are
required in knowledge production. The science level refers to the emerging
clusters of related publications in the scientific landscape. Finally, the
societal dynamics refer to the intensity of knowledge use in society and the
importance and variety of stakeholder involvement. Empirical examples in
Genomics, Nanotechnology and Biotechnology show that interdisciplinarity refers
to different processes on these three levels of analysis and are not
necessarily occurring simultaneously. Research, science and society interact
and shape each other in a process of co-evolution. All three fields are
characterized by pronounced research interactions between different
disciplines, but all three fields exhibit very different (inter-) disciplinary
characteristics at the science level in terms of journal citation patterns.
Non-academic involvement in knowledge production, as indicated by Triple Helix
collaborations, has increased dramatically in recent years. From a governance
perspective, this conceptualization provides distinct rationales for policy
interventions in relation to interdisciplinarity in research, science and
society.
#11.03(PDF)
Harro van Lente, Charlotte Spitters, and Alexander Peine
Comparing technological hype cycles: towards a theory
The notion of ‘hype’ is widely used and represents a tempting
way to characterize developments in technological fields. The term appears in
business as well as in academic domains. Consultancy firms offer technological
hype cycle models to determine the state of development of technological fields
in order to facilitate strategic investment decisions. In Science, Technology
and Innovation Studies the concept of hype is considered in studies on the
dynamics of expectations in innovation processes, which focuses on the
performative force of expectations. What is still lacking is a theory of hype
patterns that is able to explain the different shapes of hype cycles in
different contexts. In this paper we take a first step towards closing this gap
by studying and comparing the results of case studies on three hypes in three
different empirical domains: voice over internet protocol (VoIP), gene therapy
and high-temperature superconductivity. The cases differ in terms of the type
of technology and the characteristics of the application environment. We
conclude hype patterns indeed vary a lot and that some degree of misalignment
between levels of expectations thus seems to indicate a flourishing field.
#11.04(PDF)
Sjoerd Bakker, Harro van Lente, and Marius Meeus
Credible expectations – the US Department of Energy’s
Hydrogen Program as enactor and selector of hydrogen technologies
There are many competing transition paths towards
sustainability and even more competing visions and expectations, while only a
limited of number of paths can be supported. It is recognized that positive
expectations of the different options are necessary to attract funding.
However, in the literature so far, not much attention has been paid to the
actual assessment of expectations and their role in the selection of promising
technologies: what makes one expectation more credible than another and,
furthermore, who voices the expectations and who assesses them?
We performed a case study on the US Department of Energy’s
(DOE) Hydrogen Program. The program takes a central position in the development
of hydrogen technologies for vehicular applications. The case study is based on
DOE documents, observations during meetings, meeting minutes, and interviews
with DOE staff members.
In the paper we show how credible expectations build on
three arguments in favour of the promising option. First there is the
technology’s current level of performance and its historical progress towards
that level. Second a path forward is constructed to argue that even higher
levels of performance can be achieved. And third, a target or end-goal is
constructed that the technology is expected, or supposed, to meet and this
end-goal relates to perceived societal needs. All three elements can, and often
are, subject of contestation and competing options will provide the same type
of arguments and relate to the same societal needs.
Finally, a credible vision builds on positively selected
promising technologies: increased pressure on the hydrogen vision has resulted
in more stringent selection of enabling technologies, based on their growth
potential. As a consequence, the ‘losers’ are dropped from the hydrogen
research portfolio.
#11.06(PDF)
Simona Negro, Floortje Alkemade, and Marko Hekkert
Why does Renewable Energy diffuse so slowly? A review of
innovation system problems.
According to many energy policy plans, the future energy
system should contain a large share of renewable energy sources. This requires
the development and diffusion of renewable energy technologies (RET). Even
though large policy efforts have been allocated to speed up the development and
diffusion of RET, the results are disappointing. Apparently, it is a difficult
process to influence. In this paper we present a literature review of studies
that have analysed the troublesome trajectory of RET development and diffusion
in different countries. We present an overview of typical systemic problems in
the development of innovation systems around RET. We make use of the literature
on innovation system failures to develop a categorisation of typical systemic
problems.
#11.07(PDF)
Magda Smink, Marko Hekkert, and Simona Negro
Keeping sustainable innovation on a leash: Exploring incumbents’
strategies with regard to disruptive innovation
This research aims to identify the strategies of incumbent
actors with regard to disruptive energy innovations. This exploratory study is
embedded in the transition theories TIS and MLP. These system level approaches
are complemented by insights on actor behavior from the theory of the firm and
Strategic Management literature. Through semi-structured interviews with actors
in the field of renewable energy technologies in the
#11.08(PDF)
Anna Wieczorek and Marko Hekkert
Systemic instruments for systemic innovation problems: a
framework for policy makers and innovation scholars
Systemic policy instruments receive increasing attention
among innovation scholars as means to stimulate sustainability oriented
technological innovation. The instruments are called systemic in expectation to
improve the functioning of entire (innovation) systems. A first step in
designing systemic instruments is an analysis of the systemic problems that
hinder the development of a specific technological trajectory. This paper
argues that two approaches to study innovation systems - structural and functional
analyses - can be combined in a systemic policy framework that helps to (i)
identify the systemic problems and (ii) suggest the systemic instruments that
would address these problems.
#11.09(PDF)
Toon Meelen and Jacco Farla
Towards an integrated framework for sustainable innovation
policy
An integrated framework for the analysis and development
of sustainable innovation policy was developed, based on a combination of the
transition management framework, the strategic niche management approach, and
policy recommendations resulting from technological innovation system (TIS)
studies. In the framework, the multilevel view from transition management has
been integrated with the functions approach from the TIS literature. The
integrated policy framework shows that specific policy goals and measures can
be found at the specific points of intervention related to landscape, regime,
TIS and niches. The integrated framework suggests that stimulation of a TIS
only makes sense when this is well aligned with landscape and regime
developments. The framework also suggests that the three TIS functions
entrepreneurial activities, knowledge development and knowledge diffusion can
be seen as policy goals, whereas the four other TIS functions are more directly
linked to policy measures.
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