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Innovation Studies Utrecht (ISU)

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 Gaston Heimeriks.

 

Utrecht University

Innovation Studies

Copernicus Institute of Sustainable Development

 


2008

2009

2010

2011

2012

2013

2014

2015

2016

2017

 

 

 


 

 

2017

 

#17.03

 

 

#17.02

Karla Münzel, Wouter Boon, Koen Frenken, Jan Blomme and

Dennis van der Linden

Explaining Carsharing Diffusion Across Western European Cities

Karla Münzel, Wouter Boon, Koen Frenken and Taneli Vaskelainen

 

Carsharing Business Models in Germany: Characteristics, Success and Future Prospects

#17.01

Koen Frenken

 

Political Economies and Environmental Futures for the Sharing Economy

 

2016

 

#16.05

Matthijs Janssen

 

What bangs for your bucks? Assessing the design and impact of transformative policy

#16.04

 

#16.03

Koen Frenken and Juliet Schor

Putting the sharing economy into perspective

Iris Wanzenböck

Measuring network proximity of regions in R&D networks

#16.02

Lars Böcker and Toon Meelen

Sharing for people, planet or profit? Analysing motivations for intended sharing economy participation

#16.01

Koen Frenken

A Complexity-Theoretic Perspective on Innovation Policy

 

2015

#15.05

Frank van Rijnsoever

(I Can’t Get No) Saturation: A Simulation and Guidelines for Minimum Sample Sizes in Qualitative Research

#15.04

Kristin Reichardt, Simona O. Negro, Karoline S. Rogge, Marko P. Hekkert

Analyzing interdependencies between policy mixes and technological innovation systems:

the case of offshore wind in Germany

#15.03

Maikel Kishna, Eva Niesten, Simona Negro and Marko Hekkert

The role of strategic alliances in creating technology legitimacy: a study on the emerging field of bio-plastics

#15.02

Gerben W. de Vries, Wouter Boon and Alexander Peine

User-technology interactions in the construction of user-driven configurations – lessons from Dutch civic energy communities

#15.01

Magda Smink, Joost Koch, Eva Niesten, Simona Negro and Marko Hekkert

Institutional entrepreneurship in the emerging renewable energy field: incumbents versus new entrants

 

2014

 

#14.04

Julia Planko, Jacqueline Cramer, Maryse Chappin, and Marko Hekkert

Strategic collective system building by firms who launch sustainability innovations

#14.03

Roel Nahuis and Ellen Moors

The inertia of a use regime. Why a celiac disease pill is conceived but not embraced

#14.02

Andrea Herrmann and Kim van der Putten

Unravelling start-up processes with the help of sequence analyses

#14.01

Magda Smink, Simona Negro and Marko Hekkert

How mismatching institutional logics frustrate sustainability transitions

 

2013

#13.04

Jarno Hoekman and Koen Frenken

Proximity and Stratification in European Scientific Research Collaboration Networks: A Policy Perspective

#13.03

Onder Nömaler, Koen Frenken and Gaston Heimeriks

Do more distant collaborations have more citation impact?

#13.02

Alexander Peine and Ellen Moors

Valuing health technology – new value spaces for personal health systems to support active ageing

#13.01

Alexander van der Vooren and Eric Brouillat

Evaluating CO2 reduction policy portfolios in the automotive sector

 

2012

#12.05

Anna Wieczorek, Robert Harmsen, Gaston Heimeriks, Simona Negro, Marko Hekkert

Systemic policy for offshore wind challenges in Europe

#12.04

Anna Wieczorek, Simona Negro, Robert Harmsen, Gaston Heimeriks, Lin Luo, Marko Hekkert

A Review of the European Offshore Wind Innovation System

#12.03

Jan Faber, Jaco van Dijk en Frank van Rijnsoever

Lagging SME participation in European research programs: An empirical assessment of its determinants for the Netherlands

#12.02

Alexander Peine, Ingo Rollwagen and Louis Neeven

Exploring new patterns of user involvement – baby boomers and the future of consumption

#12.01

Frank van Rijnsoever, Marius Meeus and Roger Donders

The effects of economic status and recent experience on innovative behavior under environmental variability: an experimental approach

2011

 

#11.09

Toon Meelen and Jacco Farla

Towards an integrated framework for sustainable innovation policy

#11.08

Anna Wieczorek and Marko Hekkert

Systemic instruments for systemic innovation problems: a framework for policy makers and innovation scholars

#11.07

Magda Smink, Marko Hekkert, and Simona Negro

Keeping sustainable innovation on a leash: Exploring incumbents’ strategies with regard to disruptive innovation

#11.06

Simona Negro, Floortje Alkemade, and Marko Hekkert

Why does Renewable Energy diffuse so slowly? A review of innovation system problems.

#11.04

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

#11.03

Harro van Lente, Charlotte Spitters, and Alexander Peine

Comparing technological hype cycles: towards a theory

#11.02

Gaston Heimeriks

Measuring Interdisciplinarity: Conceptualization and indicators - The cases of Biotechnology, Genomics and Nanotechnology

#11.01

Floortje Alkemade, Simona Negro, Neil Thompson and Marko Hekkert

Towards a micro-level explanation of sustainability transitions: entrepreneurial strategies

2010

#10.04

Sjoerd Bakker, Harro van Lente and Remko Engels

Competition in a technological niche: the cars of the future

#10.03

Neil Thompson and Erik Stam

Macroeconomic Dynamics and Innovation: SME innovation in the Netherlands, 1999-2009

#10.02

Laurens K. Hessels, John Grin, Ruud E.H.M. Smits

Stakeholder interactions in Dutch animal sciences

#10.01

W.P.C. Boon, E.H.M. Moors, H.G.M. Leufkens

Patient advocacy and articulation of expectations about pharmaceutical innovations

2009

#09.16

Gaston Heimeriks

Governing science as a complex adaptive system

#09.15

Sjoerd Bakkers, Harro van Lente and Marius Meeus

The Emergence of a Dominant Design – a study on hydrogen prototypes

#09.14

Sjoerd Bakker

The car industry and the blow-out of the hydrogen hype

#09.13

Barbara van Mierlo, Cees Leeuwis, Ruud Smits and Rosalinde Klein Woolthuis

Learning towards system innovation. Evaluating a systemic instrument.

#09.12

Anna J. Wieczorek, Marko P. Hekkert and Ruud Smits

Contemporary innovation policy and instruments: challenges and implications

#09.11

Jacco Farla, Floortje Alkemade and Roald A. A. Suurs

Analysis of barriers in the transition toward sustainable mobility in the Netherlands

#09.10

Roald A. A. Suurs, Marko P. Hekkert and Ruud Smits

Understanding the build-up of a Technological Innovation System around Hydrogen and Fuel Cell Technologies

#09.09

Roald A. A. Suurs, Marko P. Hekkert, Sander Kieboom and Ruud Smits

Understanding the formative stage of Technological Innovation System development. The case of natural gas as an automotive fuel

#09.08

Floortje Alkemade and Marko P. Hekkert

Development paths for emerging innovation systems: implications for environmental innovations

#09.07

Frank J. van Rijnsoever, Jacco Farla and Martin J. Dijst

Consumer car preferences and information search channels

#09.06

Frank J. van Rijnsoever, Martin J. Dijst and Carolina Castaldi

Involvement and use of multiple search channels in the automobile purchase process

#09.05

Floris J. Huétink, Alexander van der Vooren and Floortje Alkemade

Initial infrastructure development strategies for the transition to sustainable mobility

#09.04

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

#09.03

Ellen H.M. Moors and Rogier Donders

Understanding consumer needs and preferences in new product development: the case of functional food innovations

#09.02

Roel Nahuis

The distribution of decision-making. The case of a flexible public transport system

#09.01

Roel Nahuis, Ellen H.M. Moors and Ruud Smits

User producer interaction in context: A classification

 

2008

 

#08.21

Alexander Peine

Challenging incommensurability – What we can learn from Ludwik Fleck for the analysis of complex technical systems

#08.20

Frank J. van Rijnsoever

Opinion leaders in the domain of consumer electronics and their use of external search channels

#08.19

Sjoerd Bakker, Harro van Lente and Marius Meeus

Arenas of expectations for hydrogen technologies

#08.18

Alexander Peine

The sources of use knowledge – towards a framework about use, consumption and industrial dynamics

#08.17

Frank J. van Rijnsoever and Carolina Castaldi

Perceived technology clusters and ownership of related technologies: the case of consumer electronics

#08.16

Laurens K. Hessels, Harro van Lente and Ruud Smits

In search of relevance: The changing contract between science and society

#08.15

Albert Faber and Koen Frenken

Models in evolutionary economics and environmental policy: Towards an evolutionary environmental economics

#08.14

Frank J. van Rijnsoever, Laurens K. Hessels and Rens L.J. Vandeberg

A resource-based view on the interactions of university researchers

#08.13

Simona O. Negro, Marko P. Hekkert and Ruud Smits

Stimulating renewable energy technologies by innovation policy

#08.12

Malte Schwoon, Floortje Alkemade, Koen Frenken and Marko P. Hekkert

A complex systems methodology for transition management

#08.11

Roel Nahuis

The rise and fall of self-service in Amsterdam trams: User-technology relations in a case of user innovation

#08.10

Marko P. Hekkert and Simona O. Negro

Functions of innovation systems as a framework to understand sustainable technological change: Empirical evidence for earlier claims

#08.09

Roel Nahuis

The politics of displacements. Towards a framework for democratic evaluation

#08.08

Simona O. Negro and Marko P. Hekkert

Explaining the success of emerging technologies by innovation system functioning: the case of biomass digestion in Germany

#08.07

Carolina Castaldi and Bart Los

The identification of important innovations using tail estimators

#08.06

Rens L.J. Vandeberg and Ellen H.M. Moors

A framework for interactive learning in emerging technologies

#08.05

Quirine van Voorst tot Voorst, Ruud Smits and John van den Elst

Standardisation Processes in China and the European Union Explained by Regional Innovation Systems

#08.04

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

#08.03

Laurens K. Hessels and Harro van Lente

Re-thinking new knowledge production: A literature review and a research agenda

#08.02

Frank J. van Rijnsoever and Carolina Castaldi

Knowledge base, information search and intention to adopt innovation

#08.01

Ruud Smits, Rutger van Merkerk, David H. Guston and Daniel Sarewitz

The role of TA in Systemic Innovation Policy

 

 

 

 

 

 

 

 

 

 

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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 US and Europe over the last 4 decades are described and its role in innovation policies discussed. Hereafter the role and (possible) impact of strategic intelligence and systemic innovation policies is analysed. Two recent cases of Constructive TA are used to illustrate how this role is operationalised. The paper is concluded with conclusions on how strategic intelligence may further reinforce systemic innovation policies. Special attention is paid to the role of strategic intelligence in empowering users and other non traditional actors in innovation processes.

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#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.

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#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 2’ diagnosis identifies a number of important trends that require further empirical effort, but it suffers from severe conceptual problems. It is time to untie its five major constitutive claims and investigate each separately.

 

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

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#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 Netherlands. Technological Forecasting & Social Change (In press. Available online).

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#08.05 (PDF)

Quirine van Voorst tot Voorst, Ruud Smits and John van den Elst

Standardisation Processes in China and the European Union explained by Regional Innovation Systems

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 China and the European Union are compared in terms of actors involved, their roles and relations, and the institutions governing standardisation processes. The structure and underlying dynamics of these regional innovation systems are analysed and compared. The analysis is based on a set of functions describing the underlying dynamics of both systems. For every step in the standardisation process, the influence of innovation functions, actors and institutions is listed and evaluated in detail. Based on the results major differences between standardisation processes in China and the European Union are identified. It further will be pointed out that these differences can be related to major differences in the institutional set up and dynamics of the related innovation systems.

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#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).

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#08.07 (PDF)

Carolina Castaldi and Bart Los

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.

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#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 Germany. We show that that all system functions that are claimed to be important within the innovation systems approach are present in the German Biomass Innovation System; and that these system functions positively interact leading to virtuous cycles and a rapid growth of the German Biomass Digestion Innovation System.

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#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.

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#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.

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#08.11 (PDF)

Roel Nahuis

The rise and fall of self-service in Amsterdam trams: User technology relations in a case of service innovation

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 Amsterdam tramways around 1970 and the various forms of fare-dodging that came along. To counteract fare-dodging, the transport company unsuccessfully relied on a strategy to configure users. Alternative strategies, notably configuring users through technological adjustment, are suggested to increase the chance of stabilisation. These observations and suggestions are related to the actual characteristics of services: given that transport services are immediately and collectively used, their misuse, if not corrected by fellow passengers, soon tends to threaten the aspect of stability. Emphasising service characteristics thus contributes to a better understanding of strategies to reconcile services and users.

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This working paper is now published as:

R. Nahuis (2009), The rise and fall of self-service in Amsterdam trams: User technology relations in a case of service innovation, Technology Analysis and Strategic Management, 21 (2), 233-247.

 

#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.

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#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).

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#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.

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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.

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#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 Netherlands demonstrates the usefulness of the framework. We show how concepts of relevance have changed since 1975 and how this affects the practice of academic chemistry.

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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.

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#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.

 

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#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.

 

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#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.

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#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.

 

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#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 Netherlands: a case in which the decision-making process was distributed over no less than fifteen settings. The main result of the analysis is a typology of five different displacements based on typical framing effects, which could form the basis of a theory with which complex, interactive and opportunistic decision-making processes can be understood in more general terms.

 

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#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.

 

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#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 Netherlands. The reason for this is that there is a long history of policy efforts in The Netherlands to stimulate PV but results in terms of diffusion of PV panels is disappointingly low, which  clearly constitutes a case of slow diffusion. The history of the development of the PV innovation system is analysed in terms of seven key processes that are essential for the build up of innovation systems. We show that the processes related to knowledge development are very stable but that large fluctuations are present in the processes related to ‘guidance of the search’ and ‘market formation’. Surprisingly, entrepreneurial activities are not too much affected by fluctuating market formation activities. We relate this to market formation in neighbouring countries and discuss the theoretical implications for the technological innovation system framework.

 

#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)

 

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#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.     

 

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#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 Netherlands. The analysis showed that attitudinal and behavioral constructs are found for ‘environmental’, ‘performance’, and ‘convenience’ preferences, but that there is a ‘gap’ between attitude and behavior. The results show that people with a positive environmental attitude who also show environmentally friendly behavior have more involvement with cars than people who do not translate their environmental attitude into the corresponding behavior. This leads to the idea that not only environmental knowledge but also involvement with cars is a prerequisite for buying an environmentally friendly car.

 

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#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 Netherlands. More specifically, we describe desirable patterns of function fulfilment over the lifecycle of a technological innovation system, thereby focusing on the transition from the exploratory phase to the growth phase. We then compare these theoretical patterns to assess 17 technological innovation systems concerning environmental technologies. Outcomes show that environmental innovations in general follow similar patterns to mostly market-driven innovations but that some key processes remain unaddressed. This leads to important insights for policymakers.

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#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 Netherlands (1970-2007). The results show that this TIS undergoes a gradual build-up in the 1970s, followed by a breakdown in the 1980s and, again, a build-up from 2000-2007. It is shown that, underlying these trends, there are different forms of cumulative causation, here called motors of innovation. The study provides strategic insights for practitioners that aspire to support such motors of innovation.

 

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.

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#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 Netherlands (1980-2007). This is done by applying a Technological Innovation System (TIS) approach. This approach takes the perspective that a technology is shaped by a surrounding network of actors, institutions and technologies. When a technology is in an early stage of development, a TIS has yet to be built up in order to propel technological progress. This paper focuses on the historical build-up of the hydrogen and fuel cell innovation system in the Netherlands. The research focuses on processes that accelerated or slowed down the developments of hydrogen and fuel cell technologies. We suggest that this framework is helpful for actors who intend to accelerate the development and deployment of hydrogen and fuel cells in other countries.

 

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.

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#09.11(PDF)

Jacco Farla, Floortje Alkemade and Roald A.A. Suurs

Analysis of Barriers in the Transition toward Sustainable Mobility in the Netherlands

The transition toward a sustainable transportation system in the Netherlands takes place in the context of the Dutch “Transition management policy framework”. We study four tech¬nological routes that the “Platform Sustainable Mobility” has selected for this goal: (1) hybridization of vehicles, (2) liquid biofuels, (3) natural gas as a transportation fuel and (4) hydrogen as a transportation fuel. These technological routes all envision large-scale changes in vehicle propulsion technology and fuel infrastructure. Furthermore, they compete for the scarce resources available to invest in new (fuel) infrastructures, which implicates that these ‘transition paths’ are also interdependent at the level of the mobility system. The main outcome of the analysis is the identification of barriers that are currently blocking the transition toward sustainable mobility. Barriers are classified as being related to (1) technology and vehicle development, (2) the availability of (fuel) infrastructures, and (3) elements of the institutional infrastructure. The transition management framework currently misses guidelines for coping with (competing) technologies that each requires large infrastructural investments. We further argue that avoiding undesired lock-ins and creating a beneficial institutional context for sustainable mobility cannot be pursued at the transition path level. Therefore, we recommend that a more systemic approach should be taken to the transition to sustainable mobility, in which the interdependencies between the transition paths are critically assessed and in which the possibilities to legitimize sustainable mobility as a whole should be used.

 

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)

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#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.

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#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.

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#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.

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            #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.

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            #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.

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            #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.

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          #10.01(PDF)#10.01(PDF)

            #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.

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            #10.03(PDF)

Neil Thompson and Erik Stam

Macroeconomic Dynamics and Innovation: SME innovation in the Netherlands, 1999-2009

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 Netherlands. Methodologically, we utilize logistic regressions on the pooled cross-section dataset to examine statistically significant effects at an aggregate, innovativeness, and sector level using macroeconomic indicators such as Real GDP, domestic consumption, unemployment rates, and long-term interest rates. Findings suggest that innovativeness of firms and industries results in varying significant effects from the macroeconomic condition. Policy should account for sector specifics and innovativeness when considering future innovation stimulus objectives.

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#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.

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#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. 

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#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. 

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#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. 

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#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.

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#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.

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#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 Netherlands, this study identified a preliminary set of empirical strategies. These strategies can be directed at four target groups: the general public, policy makers, the market, and/or the individual entrepreneur. Incumbents are in a position to significantly influence the innovation’s development by employing these strategies. However, they do not necessarily use all types of strategies. Nonetheless, they are able to determine the amount of space an innovation gets to develop; thus keeping sustainable innovation on a leash.

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#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.

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#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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#12.01(PDF)

                        Frank van Rijnsoever, Marius Meeus and Roger Donders

The effects of economic status and recent experience on innovative behavior under environmental variability: an experimental approach

We build and empirically test a model that predicts the display of innovative behavior as a function of environmental change, with recent experience and economic status acting as moderators. We start with the model developed by Slevin (1971), which evolved from the so-called innovation boundary. This is the threshold beyond which the display of innovative behavior becomes attractive. We show how environmental change creates uncertainty about the position of the innovation boundary; however, this uncertainty is reduced by recent experiences. Furthermore, economic status serves as both an enhancer and an inhibitor of innovation. Our model was tested and largely confirmed in two experiments: one conducted in a laboratory setting and one conducted as a discrete choice experiment. Currently experiments are rarely conducted in the field of innovation studies. By presenting this evidence we also hope that more authors will conduct experiments in their work.

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#12.02(PDF)

Alexander Peine, Ingo Rollwagen and Louis Neeven

Exploring new patterns of user involvement – baby boomers and the future of consumption

Demographic aging is among the most striking challenges industrialized economies face; it will lead to profound changes in consumption structures. How these changes will affect innovation, however, is thus far not well understood. In this paper we strive to make a first step towards closing this gap and establish the challenges associated with demographic aging on the map of innovation scholars. For this purpose, we present empirical results of our research into the modes of thinking that underlie design processes targeted at older persons. These modes are limited in two ways—they concentrate on older persons as being characterized by generic, age-related decrements, and they frame older technology users as passive recipients of technology. Current design practices for older persons, therefore, imply a threefold risk. They are likely to generate technology that is unattractive for older consumers, that provides limited cues for meaningful activity, and that suppresses the co-creational inputs of older persons to innovation. To rectify this, we propose a symmetrical perspective on the relationship between technology and aging that revolves around older persons as active consumers of technology. We discuss implications for innovation scholars and practitioners and conclude with more fundamental propositions regarding the distribution of tasks between consumers and producers.

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#12.03(PDF)

Alexander Peine, Ingo Rollwagen and Louis Neeven

Exploring new patterns of user involvement – baby boomers and the future of consumption

Demographic aging is among the most striking challenges industrialized economies face; it will lead to profound changes in consumption structures. How these changes will affect innovation, however, is thus far not well understood. In this paper we strive to make a first step towards closing this gap and establish the challenges associated with demographic aging on the map of innovation scholars. For this purpose, we present empirical results of our research into the modes of thinking that underlie design processes targeted at older persons. These modes are limited in two ways—they concentrate on older persons as being characterized by generic, age-related decrements, and they frame older technology users as passive recipients of technology. Current design practices for older persons, therefore, imply a threefold risk. They are likely to generate technology that is unattractive for older consumers, that provides limited cues for meaningful activity, and that suppresses the co-creational inputs of older persons to innovation. To rectify this, we propose a symmetrical perspective on the relationship between technology and aging that revolves around older persons as active consumers of technology. We discuss implications for innovation scholars and practitioners and conclude with more fundamental propositions regarding the distribution of tasks between consumers and producers.

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#12.04(PDF)

Anna Wieczorek, Simona Negro, Robert Harmsen, Gaston Heimeriks, Lin Luo, Marko Hekkert

A Review of the European Offshore Wind Innovation System

Offshore wind has the potential of becoming an important pillar of the future European energy system, contributing to policy objectives on climate change, energy security, green growth and social progress. However, the large potential of offshore wind does not automatically lead to a large share in future energy systems; neither does the emergent stage of development of the technology. Recent insights in innovation studies suggest that the success chances of technological innovations are, to a large extent, determined by how the surrounding system - the innovation system - is built up and how it functions. In this paper we assess the offshore wind innovation systems of four countries: Denmark, the UK, the Netherlands and Germany with the objective to provide recommendations for strengthening the overall European offshore wind innovation system. We use the Technological Innovation System (TIS) approach to analyze the system in 2011. Based on the analysis we identify a number of challenges that the European offshore wind sector faces. Some of them include: a serious deficiency of engineers; fragmented policies and poor alignment of national regulatory frameworks; cost of the technology and limited grid infrastructure. Since the problems hinder the entire system development we call for a systemic policy instrument that would support the innovation system around this technology and contribute to its wider diffusion in Europe.

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            #12.05(PDF)

Anna Wieczorek, Robert Harmsen, Gaston Heimeriks, Simona Negro, Marko Hekkert

Systemic policy for offshore wind challenges in Europe

This paper discusses systemic problems hindering the large-scale European diffusion of offshore wind technology using the Technological Innovation System perspective. The most urgent identified problems include: cost of technology, lack of common vision on grid improvement, fragmented European electricity market, reliability and availability of technology, limited grid access and capacity as well as serious deficiency of high and middle level personnel. To address the problems the paper proposes a systemic policy package composed of such elements as: Innovation Zones, Expert Mobility Programme and Grid Initiative. The paper argues that a European coordinated action is beneficial not only for EU but also for its Member States.

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            #13.01(PDF)

Alexander van der Vooren and Eric Brouillat

Evaluating CO2 reduction policy portfolios in the automotive sector

This paper presents an agent-based model that simulates the market for passenger cars in which firm strategies, market structure, consumer choices and policy instruments co-evolve. The main contribution of the paper is to show that this type of simulation model can be used to explore interactions and additional effects when different policy measures are combined to reduce CO2 emissions. We show the impact of policy portfolios on economic and technological decisions of firms, on consumer choice and on global CO2 emissions. In particular, we show how the dynamics of the system can lead to a technological lock-in into internal

combustion technologies and demonstrate the ways in which policy instruments can help to break this lock-in. We show that policy portfolios can be relevant to achieve the best of different stand-alone policy measures, but not necessarily. Ex ante evaluation is therefore recommended.

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#13.02(PDF)

Alexander Peine and Ellen Moors

Valuing health technology – new value spaces for personal health systems to support active ageing

In this paper, we strive to unravel in how far current practices of Health Technology Assessment (HTA) are suitable to guide health policy decisions about personal health systems (PHS). We focus on the implicit representations of users and their position in the innovation process that underly established HTA practices, and explore in how far these representations are conducive to health technology decisions that support older people in meaningful and active lives. Our analysis builds on Callon’s recent distinction between prosthetic and habilitation social policies [M. Callon, Economic Markets and the Rise of Interactive Agencements: From Prosthetic Agencies to Habilitated Agencies, in: T. Pinch, R. Swedberg (Eds.), Living in a Material World: Economic Sociology Meets Science and Technology Studies, The MIT Press, Cambridge, 2008, pp. 29-56]. We revisit the results of two case studies that we conducted in the fields of Point-of-Care Diagnostics, set in the domains of primary and secondary care, and care robot service platforms operating in domestic environments. By contrasting these cases we demonstrate how a different logic of addressing values in innovation feeds into either prosthetic or habilitation policy decisions about health technology. Based on this analysis, we argue that HTA practices in the context of PHS need to incorporate a logic of valuing health technology in order to fully deliver the potential of PHS to the lives of older persons.

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#13.03(PDF)

Onder Nömaler, Koen Frenken and Gaston Heimeriks

Do more distant collaborations have more citation impact?

Internationally co-authored papers are known to have more citation impact than nationally co-authored paper, on average. However, the question of whether there are systematic differences between pairs of collaborating countries in terms of the citation impact of their joint output, has remained unanswered. On the basis of all scientific papers published in 2000 and co-authored by two or more European countries, we show that citation impact increases with the geographical distance between the collaborating counties.

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#13.04(PDF)

Jarno Hoekman and Koen Frenken

Proximity and Stratification in European Scientific Research Collaboration Networks: A Policy Perspective

In this chapter we introduce a framework to understand the geography of scientific research collaboration with an emphasis on empirical studies that evaluate the policy efforts to create a ‘European Research Area’ (ERA). We argue that the geography of scientific research collaboration follows a logic of proximity that provides researchers with solutions to the problem of coordination, and a logic of stratification that provides researchers with differential means to engage in collaboration. The policy efforts to create ERA can then be understood as strategic policy interventions at the European level that affect the form and nature of both structuring principles. More specifically, the aim of reducing ‘fragmentation of research activities, programmes and policies’ affects the importance of several forms of proximity vis-à-vis each other, while the promotion of ‘research excellence’ results in new forms of network stratification at multiple spatial scales. We provide an overview of recent empirical findings to illustrate these claims, and discuss potential implications for future ERA policies.

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#14.01(PDF)

Magda Smink, Simona Negro and Marko Hekkert

How mismatching institutional logics frustrate sustainability transitions

Despite the centrality of niche-regime interaction in the Multi Level Perspective, scant attention has been paid to how exactly this interaction unfolds at the micro-level. This article sets out to deepen insights in niche-regime interaction by focusing on the confrontation between niche and regime rule-sets. We draw on the concept of ‘institutional logics’ to identify divergent types of practices and underlying belief systems in the case of biomethane injection in the Dutch natural gas grid. Based on interviews and background documents we find diverging logics for network operators and biomethane producers, which hampers cooperation due to trust and communication issues. We observe that ‘boundary bridging’ organizations step in to connect and translate between the different groups to bridge this gap. This research shows that we cannot ignore the social dimension of transition processes: transitions do not only depend on the well-known technical, economic and regulative dimensions, but also on the ability of people to change their belief systems and practices and thus open up new avenues for change.

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            #14.02(PDF)

Andrea Herrmann and Kim van der Putten

Unravelling start-up processes with the help of sequence analyses

Our sequence analyses of the PSED2 database, the largest available dataset on venture creation processes, demonstrate two points. First, they show when and how to use the numerous variants of this method. To this end, we develop a decision tree that makes the analytical choices to be taken explicit. Since researchers can often not know ex ante which way of running sequence analyses delivers the most insightful results, we suggest to use this decision tree and: `in case of doubt, do it both ways!`. Second, our analyses also highlight the usefulness of sequence techniques for studying venture creation processes. Contrary to previous start-up analyses, we succeed in identifying 16 distinct ways in which entrepreneurs set up new ventures. These findings suggest that previous studies fail to recognize systematic venture creation patterns due to the use of traditional statistical techniques which do not make it possible to treat one sequence of events as one single case.

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#14.03(PDF)

Roel Nahuis and Ellen Moors

The inertia of a use regime. Why a celiac disease pill is conceived but not embraced

The failure to involve users in research and development (R&D) processes continues to be a major reason for unsuccessful R&D. This failure can be understood by focusing on regimes (comprising heuristics, rules and routines) that orient and coordinate the activities of actors with regard to innovations. We describe the case of a pill for celiac disease patients and show that the conception and development of the pill was shaped by a technological regime that provides R&D actors with rules to routinely acquire relevant information about users and the market. Reserved patient organisations did not play a role. To understand the reserved reception of the pill, we elaborate the concept of a use regime. The reservations are understood as an expression of an existing diet-based use regime that guides the way the target group of the pill is currently dealing with celiac disease. The lack of interaction between the R&D actors in the consortium and the patient organisation appears to be a manifestation of the lack of alignment between the technological and use regimes. Based the regime literature, finally, three scenarios for the future development of the pill are discussed.

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#14.04(PDF)

Julia Planko, Jacqueline Cramer, Maryse Chappin, and Marko Hekkert

Strategic collective system building by firms who launch sustainability innovations

The implementation of innovative sustainability technologies often requires far reaching changes of the macro environment in which the innovating firms operate. Strategic management literature describes that firms who want to commercialize an innovative technology can collaborate in networks or industry clusters to build up a favourable environment for their technology. This increases the chances of successful diffusion and adoption of the technology in society. However, the strategic management literature does not offer advice on how to strategically build up this supportive external environment. We fill this gap with complementary insights from the technological innovation systems literature. We introduce the concept of strategic collective system building. Collective system building describes processes and activities networks of actors can strategically engage in to collectively build up a favourable environment for their innovative sustainability technology. Furthermore, we develop a strategy fr

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#15.01(PDF)

Magda Smink, Joost Koch, Eva Niesten, Simona Negro and Marko Hekkert

Institutional entrepreneurship in the emerging renewable energy field: incumbents versus new entrants

An underexplored issue in the institutional entrepreneurship (IE) literature is the difference between incumbents and new entrants in promoting institutional change for innovative technologies. We study the IE activities: cooperation, framing, and political tactics in the case of biomethane development in the Netherlands, during 2006-2012. While for decades biogas farmers have been unable to build a supporting institutional framework, incumbents recently arranged substantial government support. Our theoretical contribution lies in defining dimensions of the three core IE activities. We present empirical evidence that new entrants and incumbents employ all three activities, but in distinct ways. Thus, the incumbents’ IE activities lead to more substantial institutional change than new entrants’ activities. As a consequence, production shifts from electricity to gas and the scale of installations increases. We conclude that incumbents can accelerate institutional change, however their focus on large-scale installations makes it difficult for biogas farmers to contribute to biomethane production.

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#15.02(PDF)

Gerben W. de Vries, Wouter Boon and Alexander Peine

User-technology interactions in the construction of user-driven configurations – lessons from Dutch civic energy communities

In this research, we explore user innovations in five Dutch civic energy communities. We show how these user innovations where embedded in a wider community process around realizing desired socio-technical change, and how the rationale, conditions and competences needed to identify and implement user innovations are shaped by this wider process. This interplay of collective learning and implementing user innovations requires a variety of preparatory efforts by community members, that may be of a seminal importance to the eventual nature and success of new socio-technical arrangements. Moreover, it is suggested that the dynamics found here result from a specific user logic that may be characteristic more generally for user communities innovating in configurational settings, i.e. combining and tinkering with innovative as well as mundane technological devices into a local and tailored configurations.

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#15.03 (PDF)

Maikel Kishna, Eva Niesten, Simona Negro and Marko Hekkert 

The role of strategic alliances in creating technology legitimacy: a study on the emerging field of bio-plastics

The aim of this study is to analyze the role of strategic alliances in creating legitimacy for an emerging sustainable technology. The literature has identified different ways in which alliances create legitimacy for firms, but it has failed to address the legitimacy of technologies. This paper contributes to this literature by identifying technology-sourced market legitimacy, technology-sourced social legitimacy and technology legitimacy. It focuses on the case of bio-plastics, which is emerging as a sustainable technology due to pressures towards environmentalism in the chemical industry. The analysis is based on a database that we constructed using secondary sources, and which contains information on 105 alliances in the field of bio-plastics over the period 1990-2013. The results show that firms increase their market and social legitimacy by accessing the sustainable technology of an alliance partner, by collaboratively developing a sustainable technology, or by providing the technology of a partner with access to customers and production capacity. Alliances also promote the desirability and appropriateness of a technology (i.e. technology legitimacy) by supplying multiple applications of the technology to an expanding number of markets, by exercising their signaling role, and by acting as institutional entrepreneurs. Alliances that stimulate technology-sourced market and social legitimacy are often bilateral and inter-firm alliances that produce and market sustainable technologies. In contrast, alliances that stimulate technology legitimacy are multilateral and inter-organizational alliances in the pre-competitive and R&D stages of the value chain. 

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#15.04 (PDF)

Kristin Reichardt, Simona O. Negro, Karoline S. Rogge and Marko P. Hekkert

Analyzing interdependencies between policy mixes and technological innovation systems: the case of offshore wind in Germany

One key approach for studying emerging technologies in the field of sustainability transitions is that of technological innovation systems (TIS). While most TIS studies aim at deriving policy recommendations – typically by identifying system barriers – the actual role of these proposed policies in the TIS is rarely looked at. In addition, often single policy instruments instead of more encompassing policy mixes are considered. We address these shortcomings by applying a more comprehensive policy mix concept within the TIS approach. In doing so we analyze interdependencies between the policy mix and the TIS by shedding light on the role of the policy mix for TIS functioning and performance as well as how TIS developments influence the evolution of the policy mix. We explore these interdependencies for the case of offshore wind in Germany, using data from event history analysis and expert interviews. We find highly dynamic interdependencies with reoccurring patterns of systemic problems and adjustments of the policy mix, which are fuelled by high policy mix credibility and supportive actors. Our study constitutes a first step incorporating the policy mix concept into the TIS approach, thereby enabling a better understanding of real dynamics occurring in TIS.

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#15.05 (PDF)

Frank van Rijnsoever

(I Can’t Get No) Saturation: A Simulation and Guidelines for Minimum Sample Sizes in Qualitative Research

This paper explores the sample size in qualitative research that is required to reach theoretical saturation. I conceptualize a population as consisting of sub-populations that contain different types of information sources that hold a number of codes. Theoretical saturation is reached after all the codes in the population have been observed once in the sample. I delineate three different scenarios to sample information sources: “random chance,” which is based on probability sampling, “minimal information,” which yields at least one new code per sampling step, and “maximum information,” which yields the largest number of new codes per sampling step.

Next, I use simulations to assess the minimum sample size for each scenario for systematically varying hypothetical populations. I show that theoretical saturation is more dependent on the mean probability of observing codes than on the number of codes in a population. Moreover, the minimal and maximal information scenarios are significantly more efficient than random chance, but yield fewer repetitions per code to validate the findings. I formulate seven guidelines for purposive sampling and recommend that researchers follow a minimum information scenario.

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#16.01 (PDF)

Koen Frenken

A Complexity-Theoretic Perspective on Innovation Policy

It is argued that innovation policy based on notions of market failure or system failure is too limited in the context of current societal challenges. I propose a third, complexity-theoretic approach. This approach starts from the observation that most innovations are related to existing activities, and that policy’s additionality is highest for unrelated diversification. To trigger unrelated diversification into activities that contribute to solving societal challenges, government’s main task is to organize the process of demand articulation. This process leads to clear and manageable societal objectives  that effectively guide a temporary collation of actors to develop solutions bottom-up. The combination of a broad coalition, a clear objective and tentative governance are the means to cope with the inherent complexity of modern-day innovation.

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#16.02 (PDF)

Lars Böcker and Toon Meelen

Sharing for people, planet or profit? Analysing motivations for intended sharing economy participation

The sharing economy is a fast-growing and heavily debated phenomenon. This study provides an overview of motivations of people willing to participate in different forms of the sharing economy. A survey was held amongst 1,330 respondents from Amsterdam, the Netherlands. Using stated preference data, we investigate the relative importance of (1) economic, (2) social and (3) environmental motivations to participate in peer-to-peer sharing. Hereby we consider differences between (a) sectors of the sharing economy, (b) socio-demographic groups, and (c) users and providers. Results are descriptive as well as based on ordered logit models. Notable differences are observed in the motivations for sharing between sectors. To a lesser extent there is variety in sharing drivers between socio-demographic groups. Finally, users seem more economically motivated than providers of goods.

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#16.03 (PDF)

Iris Wanzenböck

Measuring network proximity of regions in R&D networks

This paper proposes a new measure for assessing the network proximity between aggregated units, based on disaggregated information on the network distance of actors. Specific focus is on R&D network structures between regions. We introduce a weighted version of the proximity measure, related to the idea that direct and indirect linkages carry different types of knowledge. Here, first-order proximity arising from direct cross-regional linkages is to be distinguished from higher-order network proximity resulting from indirect linkages in the R&D network. We use an macroeconomic application where we analyse the productivity effects of R&D network spillovers across regions to illustrate the usefulness

of a proximity measure specifically developed for aggregated units.

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#16.04 (PDF)

Koen Frenken and Juliet Schor

Putting the sharing economy into perspective

We develop a conceptual framework that allows us to define the sharing economy and its close cousins and understand its sudden rise from an economic-historic perspective. We then assess the sharing economy platforms in terms of the economic, social and environmental impacts. We end with reflections on current regulations and future alternatives, and suggest a number of future research questions.

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#16.05 (PDF)

Matthijs Janssen

What bangs for your bucks? Assessing the design and impact of transformative policy

After an era of generic support for economic development and innovation, narrowly targeted transformation policy is back on the table. Recent advances in the fields of new industrial policy and transition thinking converge on the idea that achieving structural change requires governments to take an active role in overcoming inertia. Rather than just leveraging R&D investments and setting framework conditions, policy makers are urged to participate in the development of socio-economic systems around particular technologies. Associated policy support typically involves a diverse portfolio of system-specific interventions.

The emergence of transformative policy, in this paper characterized by being selective, process-oriented and multi-instrumental, poses severe challenges to rising standards of public accountability. Evaluation methods for calculating the ‘bang for the buck’ of R&D-leveraging measures are ill-suited when policy mixes are supposed to enact economic transformation. We argue that, in order to see if aptly chosen policy design is bringing about actual change, assessments should gauge policy contributions to building up technological innovation systems (TIS). The TIS-literature provides a concrete but untapped basis for tracking how policy efforts affect conditions favoring the creation and diffusion of new economic activities. This premise leads us to introduce a scheme for structuring analyses concerned with (the links between) the organization, orientation and aggregate impact of transformative policy. We test it in a tentative assessment of the Dutch ‘Topsector approach’.

Besides facilitating continuous policy learning, our assessment scheme also serves to strengthen policy maker’s ability to legitimize the adoption of heterodox economic approaches..

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#17.01 (PDF)

Koen Frenken

Political Economies and Environmental Futures for the Sharing Economy

The sudden rise of the sharing economy has sparked an intense public debate about its definition, its effects and its future regulation. Here, I attempt to provide analytical guidance by defining the sharing economy as the practice that consumers grant each other temporary access to their under-utilized physical assets. Using this definition, the rise of the sharing economy can be understood as occurring at the intersection of three salient economic trends: peer-to-peer exchange, access over ownership and circular business models. I shortly discuss some of the environmental impacts of online sharing platforms and then articulate three possible futures of the sharing economy: a capitalist future cumulating into monopolistic super-platforms allowing for seamless services, a state-led future that shifts taxation from labour to capital and redistributes the gains of sharing from winners to losers, and a citizen-led future based on cooperatively owned platforms under democratic control. The nature and size of the social and environmental impacts are expected to differ greatly in each of the three scenarios.

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#17.02 (PDF)

Karla Münzel, Wouter Boon, Koen Frenken and Taneli Vaskelainen

Carsharing Business Models in Germany: Characteristics, Success and Future Prospects

Carsharing provides an alternative to private car ownership by allowing car use temporarily on an on-demand basis. Operators provide carsharing services using different business models and ownership structures. We distinguish between cooperative, business-to-consumer (B2C) roundtrip and one-way, as well as peer-to-peer (P2P) carsharing. This paper characterizes these different types of business models and compares their success in terms of diffusion using a comprehensive database of all 101 German carsharing providers in 2016. The key results hold that fleet size is significantly different across business models ranging from a few cars (cooperatives in small towns), to a few hundred (B2C roundtrip in larger cities), to over a thousand (B2C one-way in largest cities), up to multiple thousands (P2P across the country). By analyzing for each operator the number of cars per capita in the city they operate in, we do not find significant differences across business models indicating the viability of each separate business model type. Hence, we conclude that business models will continue to co-exist for a while, although some of the business models may well converge in the longer run due to Internet-of-Things applications and the introduction of self-driving cars.

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#17.03 (PDF)

Karla Münzel, Wouter Boon, Koen Frenken, Jan Blomme and

Dennis van der Linden

Explaining Carsharing Diffusion Across Western European Cities We analyze the diffusion of carsharing across 177 cities in five Western European countries (Belgium, France, Germany, The Netherlands, United Kingdom) and identify the influence of spatial, socio-demographic and institutional city characteristics. Carsharing can  partially replace private ownership of vehicles with a service that allows the use of a car temporarily on an on-demand basis. It has the potential to satisfy individualized transportation demands in a sustainable and socially beneficial way and reduces urban problems like traffic and parking pressure in growing cities. We present the first study that explains the number of shared cars present in a city, while distinguishing between the traditional business-to-consumer (B2C) business model and the more recent peer-to-peer (P2P) business model. We find that carsharing per capita is highest in the largest cities. Moreover, carsharing is popular in cities with high educational level and many green party votes, and less popular in cities with many car commuters. Particularly striking are the differences between countries, with peer-to-peer carsharing being especially popular in French cities and business-to-consumer carsharing in Germany. We reflect on the findings in the light of (sustainable) mobility policy options.

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Utrecht University

Innovation Studies

Copernicus Institute for Sustainable Development and Innovation

 

 


 

 

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