New challenges and the future of NIS approaches Conceptual Considerations

Transcription

1 New challenges and the future of NIS approaches Conceptual Considerations Stefan Kuhlmann, STəPS TWENTE Workshop Future Orientations for Science, Technology and Innovation Policy OECD Working Party on Innovation and Technology Policy (TIP) Paris, 14 December

2 TWO TRENDS Towards post-national innovation dynamics: In Europe (but also elsewhere) national research and innovation institutions are losing their decisive role as a shaping factor (counter-intuitive?). Local and trans-national forces are gaining influence. Content matters: Different knowledge dynamics and social-technological regimes correspond to different institutional environments, mixes of governance patterns and policy instruments: One size does not fit all! 2 2

3 National innovation systems (NIS) NIS approach in OECD world largely agreed. NIS = biotopes of all institutions engaged in scientific research, accumulation and diffusion of knowledge, education and training of working population, technology development, production and distribution of innovative products and processes. NIS: Schools, universities, research institutions (education and science system), industrial enterprises (economic system), politico-administrative and intermediary authorities (political system), and formal and informal networks of related actors. Each NIS is different. Sustainable systems develop their special profiles and strengths only slowly, based on stable exchange relationships among the institutions of S&T, industry and the political system (= co-evolution). 3 3

4 NATIONAL IS? Producer-user chains either local or inter-local (incl. internat.) less and less within national economy In many innovation domains (tacit) knowledge either local or inter-local (collaboration; internat. Migration) less and less national Public knowledge institutions (regulation; funding; policies; evaluation) structurally EU-wide alike (NIS narrative; public sector reforms; NPM, ) - What differs is content + quality of thematic configurations that work : local and inter-local, less national 4 4

5 KNOWLEDGE DYNAMICS AND GOVERNANCE REACH Country B Country C Dynamic knowledge networks Country A 5 5

6 KNOWLEDGE DYNAMICS AND GOVERNANCE REACH Country B Country C Dynamic knowledge networks Country A 6 6

7 KNOWLEDGE DYNAMICS AND GOVERNANCE REACH Dynamic knowledge networks, globally 7 7

8 A POST-NATIONAL PERSPECTIVE (1) National profiles, resources, policies don t disappear but are no longer THE decisive force Knowledge and sector dynamics, often cutting across national borders, drive post-national innovation systems (not only in Europe) Only states with lingering identity of knowledge specialisation and nation-wide institutional arrangements Large countries: Specialised regions, border-cutting clusters 8 8

9 A POST-NATIONAL PERSPECTIVE (2) Still, policymakers and analysts stick to national perspective (no wonder): National budgets major source of public investments National polity provides democratic legitimisation (legislation) Strategic data and information still mainly nationally collected and aggregated ( pears and apples comparisons) Still, NIS is a successful narrative Metaphor (template) creating a boundary object for analysts and policymakers (see e.g. Sharif 2007; Carlsson et al. 2010) Broadening the reach of innovation policymakers: Make economy and society innovative 9 9

10 IN SEARCH OF CRITICAL HEURISTICS FOR TIP: A POST-NATIONAL PERSPECTIVE 1) Functions of IS 2) Multi-level view on regime transitions 3) Specifics of knowledge dynamics 4) Mapping specifics of innovation Journeys 5) New governance of TIP: a post-national policy space 6) System-evolutionary approach for TIP 10 10

11 FACTORS OF SOCIAL-TECHNOLOGICAL INNOVATION SYSTEMS (heuristic) Entrepreneurial activities Knowledge creation Knowledge diffusion through networks Guidance of the search Market formation Resources mobilization Creation of legitimacy/ counteract resistance to change (Hekkert, M. / Suurs, R. / Negro, S. / Kuhlmann, S. / Smits, R. (2007): Functions of Innovation Systems: A new approach for analysing technological change. In: Technological Forecasting & Social Change, vol. 74, Issue 4, ) 11 11

12 MULTI-LEVEL VIEW ON SOCIAL- TECHNOLOGICAL REGIME TRANSITIONS (heuristic) (Nelson & Winter 1977; Geels & Schot 2007; based on Nelson & Winter 1977; Rip and Kemp 1998; Van den Ende and Kemp 1999; others) 12 12

13 KNOWLEDGE DYNAMICS (heuristic) Search regimes of knowledge production with three main aspects (Bonaccorsi 2008): Growth = capacity to survive and/or prosper within the same institutional and organisational setting. Indicators: publications, patents, exports Convergence = modalities of knowledge flows, and in particular opposing individual vs. distributed knowledge and the collaboration patterns Complementarities = Technical complementarities = role of large shared infrastructures or equipment (critical infrastructures) Cognitive complementarities = collaboration patterns (bilateral vs. multilateral e.g. networks and clusters); critical mass, competences to be assembled to develop a relevant research production unit Institutional complementarities = heterogeneous collaboration for efficient productive settings (e.g. strong relationship between clinicians and biologists in biotechnology); frequency of industry-university collaborations 13 13

14 MAPPING INNOVATION JOURNEYS (Rip & Schot 2002; van de Ven et al. 1989) Journey phases and loci for intervention: 1. build-up of protected space, 2. stepping out into wider world 3. sector-level changes 14 14

15 SOCIAL-TECHNOLOGICAL INNOVATION SYSTEMS: Role of governance: institutions and public policy Factor Entrepreneurial activities Knowledge creation Knowledge diffusion through networks Guidance of the search Market formation Resources mobilization Creation of legitimacy/ counteract resistance to change Institutions and public policy Corporate governance; insolvency legislation; education Funding of basic and applied research; (higher) education and training Support for R&D and innovation networks (industry, academia, et al.) and clusters; multi-actor programmes; support for knowledge infrastructures (e.g. patent data bases) Science and technology foresight exercises; communication platforms/fora for industry, academia, societal organisations and public policy Regulatory frameworks for technical standards and norms; ethical regulation; Intellectual property rights (IPR); et al. Thematic or sectoral profiling of public investment in science, R&D, and education S/T foresight exercises; communication platforms/fora; maintaining policy networks (e.g. multilevel cooperation across regions, nations and trans national levels); fostering institutional adaptation and change 15 15

16 RELEVANCE OF FUNCTIONS & GOVERNANCE IN CONTEXT - PER REGIME / KNOWLEDGE DYNAMIC Factor National IS Postnational IS Entrepreneurial activities?? Knowledge creation?? Knowledge diffusion through networks?? Guidance of the search?? Market formation?? Resources mobilization?? Creation of legitimacy/ counteract resistance to change?? 16 16

17 GOVERNANCE? Actor s reflexive understanding of tensions, of own role and impact in regime transition: Leeway? ( Innovation Journey, Van de Ven 2000) 17 17

18 STILL: NATIONAL / CULTURAL PERSPECTIVE MATTERS As a medium for anticipation and reflection in different national cultures (imagined places ) (Sheila Jasanoff) Imagination: Civic epistemologies Uncertainty: Risk and precaution Models of governance: e.g. state and market Making up publics Idiosyncrasies of emerging transnational cultures and believes (incl. religion) 18 18

19 EU LISBON EXPERT GROUP (2008): A NEW FRAMEWORK FOR GOVERNANCE Dynamic post-national perspective with a systemic approach Multi-level, multi-actor and multi-domain landscape Three interacting levels: Societal and economic domains Levels of relevance and action Policy instruments Different knowledge configurations evolve at the intersection of domains, levels, and policies 19 19

20 A POST-NATIONAL POLICY SPACE Public goods / society Innovation / markets Science & education Research Technology Domains Institutional setting Policy & programmes Levels Regulation World European Intra-European National Regional Instruments Soft tools 20 20

21 A POST-NATIONAL POLICY SPACE Public goods / society Innovation / markets Technology Domains Research Institutional setting Science & education Policy & programmes Levels Policy theme X Regulation World European Intra-European Soft tools National Regional Instruments 21 21

22 NEED FOR POLICY PLATFORMS AS FORA FOR DEFINING TIP (and related research) Policy Platforms as Forum : institutionalised spaces for deliberation Thematic visions, on transnational level Focus on multi-level arrangements: nation states, transnational agencies Policy-makers from different levels and policy domains Representatives from research, industry and society Use of Strategic Intelligence 22 22

23 SYSTEMS EVOLUTIONARY APPROACH FOR TIP State of innovation system Steady state Operational innovation policies focus on implementation of existing set of policies aiming at keeping system vivid and competitive removing system failures Structural change Strategic innovation policies generating new set of policies seeking better fit to new global or domestic context facilitating creative destruction and the emergence of Neue Kombinationen Drawing on R. Smits, S. Kuhlmann, M. Teubal (2010); in: Smits, R.; Kuhlmann, S.; Shapira, P. (eds.): The Theory and Practice of Innovation Policy: An International Research Handbook, (Edward Elgar), 2009 (forthcoming) 23 23

24 SUMMING UP Need for enhanced heuristics (and combinations) Beyond a mainly national perspective Understand institutions (and institutional change) relevant to sectors and/or regimes Understand innovation journeys (retrospective, prospective) Multi-level governance in regime transitions: Platforms and reflexive, strategic action 24 24

25 TASKS & RESEARCH NEEDS FOR OECD TIP (I) Broadening of the often nationally limited research perspectives, theories and methods towards a transnational dimension, complementing them with new theoretical models and methodological tools Understanding how economic, scientific and societal actors, individual and organisations, develop their own strategies to cope with international competition and increasing openness

26 TASKS & RESEARCH NEEDS FOR OECD TIP (II) Understand how society is effected by globalisation of research and innovation and how national and transnational societal discourses will frame actor strategies and policy Analyse the role of national, international and supranational policy and framework conditions vis-à-vis globalising actor strategies and knowledge dynamics and inform policymaking Support understanding and strategic decision-making of stakeholders involved 26 26

27 REFERENCES Carlsson, B.; Elg L.; Jacobsson, S. (2010): Reflections on the Co-Evolution of Innovation Theory, Policy and Practice: The Emergence of the Swedish Agency for Innovation Systems. In: Smits, R.; Kuhlmann, S.; Shapira, P. (eds.): The Theory and Practice of Innovation Policy. An International Research Handbook, Cheltenham, UK (Edward Elgar) (forthcoming) Hekkert, M. / Suurs, R. / Negro, S. / Kuhlmann, S. / Smits, R. (2007): Functions of Innovation Systems: A new approach for analysing technological change. In: Technological Forecasting & Social Change, vol. 74, Issue 4, LEG (2008): Lisbon Strategy: Between revolution and illusion - The governance challenge for knowledge policies (see Nelson, R. & S. Winter (1977): In search of a useful theory of innovation, Research Policy, 6, Rip, A., & Kemp, R. (1998): Technological Change. In: Rayner, S., & Malone, L. (eds.): Human Choice and Climate Change, Vol. 2, Resources and Technology, Washington DC (Batelle Press), Sharif, N. (2006): Emergence and development of the National Innovation Systems concept, Research Policy, Vol. 35, 5, Smits, R.; Kuhlmann, S.; Shapira, P. (eds.): The Theory and Practice of Innovation Policy. An International Research Handbook, Cheltenham, UK (Edward Elgar), 2010 (forthcoming) Van den Ende, J. & Kemp, R. (1999): Technological transformations in history: how the computer regime grew out of existing computing regimes, Research Policy 28, Van de Ven, Andrew H. et al.: Research on the Management of Innovation: The Minnesota Studies, Harper & Row, New York, 1989, paperback edition with Oxford University Press,