Technology and Sustainability Spring 2011

As of January 3, 2011 COURSE SYLLABUS IGA-320 Technology and Sustainability Spring 2011 Faculty: Calestous Juma Faculty Assistant: Greg Durham Office: L-356 FA Office: L-349A Telephone: 617-496-8127 FA Telephone: 617-495-7961 Email: Calestous_Juma@harvard.edu FA Email: Greg_Durham@harvard.edu Office Hours: Teaching Fellow/Course Assistant: Mahat Somane Lectures: 1:10-2:30pm Mon & Wed, Rubenstein RG- TF/CA Contact Info 20 Review Sessions: TF/CA Email: mursalmahat@gmail.com Course Description Overview This course examines the implications of the introduction of new technologies for sustainability, focusing on the current international efforts to address climate change. The class explores the relationships between technological innovation and climate change. While new technology is seen by some as an important source of economic productivity and global competitiveness, others point to the potential risks that such technologies pose to human health and the environment. However, the same techniques have the potential to contribute to ecological management. The course examines the implications of new technological applications for sustainable development, drawing from specific case studies. It covers the following themes: (1) theoretical and historical aspects of technology and sustainability; (2) interactions between climate change and development; and (3) the role of innovation policy in addressing climate change challenges. Training in natural sciences is not a requirement. The core readings for the class will be The Nature of Technology: What it is and How it Evolves W. Brian Arthur and World Development Report 2010: Development and Climate Change by the World Bank. The Nature of Technology is the most authoritative outline of the nature, origin and evolution of technologies so far available. World Development Report 2010 is a comprehensive assessment of the role linkages between development and climate change. Professor Juma was principal contributor to the report on technology and related sections. Scope

While the focus of the course is biotechnology and sustainable development, lessons from other fields will be used either for comparison or as sources of heuristics. For example, there is considerable debate over the role of scientific assessments in natural resource management. Precautionary approaches, for example, are being used in specific areas such as whaling. In some cases, they have generated policy issues that are analogous to those generated in the field of biotechnology. Expectations The aim of the course is to equip students with skills for identifying policy options for addressing controversial issues involving environmental management and technological innovation. This focus is a reflection of the prevalence of public controversies where technological change is both a source of ecological damage as well as solutions. For example, ozone depleting substances were a product of technological development. But so was the development of safer substitutes. A critical aspect of policy analysis is therefore outlining the interactions between technology and environment in ways that maximize human benefits while reducing the potential for ecological harm in an anticipatory way. The course uses an interdisciplinary approach in the design and implementation of science, technology and innovation policy. In addition to building analytical competence, students will learn how to integrate knowledge from a diversity of sources and use it to identify policy options for action. The course will place emphasis on how to use public policy as a platform for problem-solving. The course is designed to accommodate students from all fields interested in the role of technological innovation in development. The course will be conducted through lectures and discussion sessions as well as occasional guest speakers. Background in the natural sciences or engineering is not a requirement. Grading Class participation (20%) will be evaluated on the basis of: (a) familiarity with the readings; (b) quality of contributions; (c) critical and creative approaches to the issue; and (d) respect for the views of others. Outline (10%) of about 1,250 words based on the literature covered in class and identification of case material to be covered in the final paper. Draft paper (20%) of about 2,500 covering the main contents of the paper (abstract, table of contents, introduction, analysis, conclusions and references). Final policy analysis paper (45%) of about 5,000 words covering all the contents of the paper (abstract, table of contents, introduction, analysis, conclusions and references). 2

Projects Topic identification Early identification of topics or issues that students would like to write the policy analysis papers on is essential for the effective use of the material provided for the courses, identification of additional information and establishment of professional contacts. In this regard, students will be expected to identify the ideas they would like to work on early in the course. Students may change their topics of foci as the course progresses. Class participation and class organization Class participation is a key part of the course and students will be expected to demonstrate knowledge of the readings. Students will be required to lead discussions and to participate actively in class. The sessions will be organized in the form of Technical Workshops for Unit 1 and Advisory Sessions for Units 2 and 3. In Unit 2 students will make presentations in class which will be followed by discussions. In Units 2 and 3 the class will be organized as a government with students playing different roles including heads of state, policy advisors and other stakeholders. All the discussions will be based on the recommended readings and can be supplemented with additional multimedia sources. Outline Each student or groups of no more than three students will be expected to produce an outline indicating the topic he or she plans to cover in the final paper, the methods he or she will use and the literature he or she will cover. The 1,250 words will be based on material covered in class as well as in discussions with Professor Juma. Draft paper Each student or groups of no more than three students will present their 2,500-word draft papers for comments. The draft papers should include an abstract, table of contents, introduction, analysis, conclusions and references. The draft papers will be divided into four broad sections: (1) description of the ecological challenge that technology could help solve; (2) theoretical foundations of the role of technological innovation in environmental management; (3) case study of a technological solution to a climate change challenge; and (4) identification of policy options for action. Policy analysis papers The final output from the class will be a 5,000-word policy analysis paper that identifies policy options for action regarding a particular aspect of the climate change challenge. The first paper will be a cumulative product from the entire course. It will be developed in stages which include: (1) topic identification; (2) outline of the paper; (3) draft; and (4) final paper. 3

Resources Students will be encouraged to make contacts with leading players in their areas of interest and to consult them as needed during the preparation of the paper. The contacts will serve as sources of information as well as avenues for professional networking. 4

Syllabus Overview UNIT 1: BACKGROUND AND BACKGROUND Week One Class #1 Mon., Jan 24: Introduction Class #2 Wed., Jan 26: What is technology? Week Two Class #3 Mon., Jan 31: Origins of technologies Class #4 Wed., Feb 2: Co-evolution of technology and economy Week Three Class #5 Mon., Feb 7: Sustainability and technology Class #6 Wed., Feb 9: Technology and institutions Week Four Class #7 Mon., Feb 14: Technological incumbency Class #8 Wed., Feb 16: Stigmatizing alternating current Week Five Class #9 Wed., Feb 23: Curtailing margarine UNIT 2: TECHNOLOGY, DEVELOPMENT AND CLIMATE CHANGE Week Six Class #10 Mon., Feb 28: Grasping the science of climate Class #11 Wed., March 2:Linkages between development and climate change Week Seven Class #12 Mon., March 7: Reducing human vulnerability Class #13 Wed., March 9: Protecting ecosystem services SPRINK BREAK Week Eight Class #14 Mon., March 21: Managing water resources Class #15 Wed., March 23: Enhancing sustainable agriculture Week Nine Class #16 Mon., March 28: Providing clean energy Class #17 Wed., March 30: Trade and climate change Week Ten Class #18 Mon., April 4: Guest lecture UNIT 3: TECHNOLOGY AND THE SUSTAINABILITY TRANSITION Class #19 Wed., April 6: Overcoming behavioral and institutional inertia Week Eleven Class #20 - Mon., April 11: Using geographic information systems Class #21 Wed., April 13: Accelerating innovation and technology diffusion Week Twelve Class #22 Mon., April 18: Financing climate change mitigation and adaption Class #23- Wed., April 20: Providing science and technology advice Week Thirteen Class #24- Mon., April 25: Fostering technology and engineering diplomacy Class #25- Wed., April 27: Wrap-up 5

Class Meetings, Readings and Assignments: UNIT 1: BACKGROUND AND CONCEPTS Week One Class #1 Mon., Jan 24: Introduction The introductory session will cover and overview of the course, expectations and introduction of the course participants. World Bank, Washington, DC, Focus A, Overview, pp. 1-30. United Nations. 2009. The Copenhagen Accord. Fifteenth Session of the Conference of the Parties to the United Nations Convention on Climate Change, Copenhagen, December 7-18 http://unfccc.int/resource/docs/2009/cop15/eng/l07.pdf Class #2 Wed., Jan 26: What is technology? The term technology has a wide range of meaning. The aim of this session is to explore the meaning of technology as: (a) a means to meet human needs; (b) array of practices and components; and collection of devices and engineering practices available to a culture. Arthur, W.A. 2009. The Nature of Technology: What it is and How it Evolves, Free Press, New York, Chapter 2 Combination and Structure, pp. 27-43. Arthur, W.A. 2009. The Nature of Technology: What it is and How it Evolves, Free Press, New York, Chapter 3 Phenomena, pp. 45-67. How are technologies structured? How do natural phenomena shape the character of technology? How does technology relate to science? Week Two Class #3 Mon., Jan 31: Origins of technologies This session examines the origins and evolution of new technologies. It examines the mechanisms that lead to the generation of novel technologies and how they are entrenched in social and economic structure. Arthur, W.A. 2009. The Nature of Technology: What it is and How it Evolves, Free Press, New York, Chapter 6 The Origins of Technologies, pp. 107-130. 6

Arthur, W.A. 2009. The Nature of Technology: What it is and How it Evolves, Free Press, New York, Chapter 7 Structural Deepening, pp. 131-143. What constitutes novelty in technology? What are the core elements of an invention? How do cumulative inventions shape the direction of the evolution of technology? Class #4 Wed., Feb 2: Co-evolution of technology and economy Technology co-evolves with the economy in the same way that species co-evolve with ecosystems. This session explores the dynamics of this co-evolution and concludes with a discussion of the implications of technological innovation for the future of the human race. Arthur, W.A. 2009. The Nature of Technology: What it is and How it Evolves, Free Press, New York, Chapter 10 The Economies Evolving as its Technologies Evolve, pp. 191-202. Arthur, W.A. 2009. The Nature of Technology: What it is and How it Evolves, Free Press, New York, Chapter 11 Where Do We Stand with This Creation of Ours?, pp. 203-216. What is the role that technology plays in economic evolution? How does technological innovation shape the economic regeneration? How does technology affect human prospects in the age of ecological awareness? Week Three Class #5 Mon., Feb 7: Sustainability and technology The sustainability challenge represents one of the most complex contemporary policy issues. Much of the early concern over ecological degradation focused on ecological impacts of technological change. This historical reality has shaped public opinion in ways that now stand in the way of applying innovation to sustainable development. This session provides conceptual foundations for exploring the role of technological innovation in sustainable development. Belloc, M. et al. 2008. Technology and Environment in the History of the Economic Thought, International Journal of Global Environmental Issues, Vol. 8, No. 4, pp. 311-334. Dijkema, G. et al. 2006. Trends and Opportunities Framing Innovation for Sustainability in the Learning Society, Technological Forecasting and Social Change, Vol. 73, No. 3, pp. 215-227. 7

What are the core principles that shaped neoclassical approaches to our understanding of the role of technology in environmental management? What factors are contributing to new approaches to our view of the role of technological innovation in sustainability? Class #6 Wed., Feb 9: Technology and institutions Technological innovation is associated with adjustments in existing institutional organization arrangements. This session analyzes these co-evolutionary dynamics and lays the groundwork for understanding their policy implications. Nelson, R. and Nelson, K. 2002. Technology, Institutions, and Innovation Systems, Research Policy, Vol. 31, No. 2, pp. 265 272. Berkhout, F. 2002. Technological Regimes, Path Dependency and the Environment, Global Environmental Change, Vol. 12, No. 1, 1 4. What are institutions and how do they differ from organizations? How do institutions hinder or facilitate technological innovation? What examples from daily life illustrate the links between technology and institutions? Week Four Class #7 Mon., Feb 14: Technological incumbency and lock-in When society embarks on a particular technological trajectory, structures emerge that make switching to new technologies more difficult. This technological lock-in may keep more efficient of cleaner technologies out of the market. This session examines the power of technical incumbency in defining the persistence of particular technological systems in the economy. Unruh, G. 2000. Understanding Carbon Lock-in, Energy Policy, Vol. 28, No. 1, pp. 817-830. Yarime, M. 2009. Public Coordination for Escaping from Technological Lock-in: Its Possibilities and Limits in Replacing Diesel Vehicles with Compressed Natural Gas Vehicles in Tokyo, Journal of Cleaner Production, Vol. 17, No. 14, pp. 1281-1288. What market and non-market factors contribute to the lock-in effect? What role can the public sector play to break technological lock-in? What examples of climate-related lock-in effect have encountered in the last year? Class #8 Wed., Feb 16: Stigmatizing alternating current Moments of intense technological competition as associated with efforts to create images that associate the product with threats and extreme risks. This device can be done 8

vicariously or in some cases put in practice as shown during the war of the currents in the early phases of electrification. Hargadon, A. and Douglas, Y. 2001. When Innovations Meet Institutions: Edison and the Design of the Electric Light, Administrative Science Quarterly, Vol. 46, No. 3, pp. 476-501. Hughes, T. 1958. Harold P. Brown and the Executioner s Current: An Incident in the AC-DC Controversy, The Business History Review, Vol. 32, No. 2, pp. 143-165. How did Edison use to ensure that his innovations did not encounter opposition? What key methods did Edison use to demonize his competitors? Give modern-day examples of demonization that related to climate change? Week Five Class #9 - Wed., Feb 23: Curtailing the margarine market The power of technological incumbency the associated political forces play an important role in shaping the pace and direction of diffusion of alternative products. For decades the dairy industry influenced the adoption of a wide range of laws against margarine in the United States and other countries. This session shows how legal were used to curtail the spread of margarine. Ball, R. and Lilly, R. 1982. The Menace of Margarine: The Rise and Fall of a Social Problem, Social Problems, Vol. 29, No. 5, pp. 488-498. Dupré, R. 1999. If It s Yellow, It Must Be Butter : Margarine Regulation in North America since 1886, The Journal of Economic History, Vol. 59, No. 2, pp. 353-371. What methods were used by the dairy industry to discriminate against margarine? What methods were used by the margarine industry to expand its market? What climate-related examples show the same discrimination against new products? UNIT 2: DEVELOPMENT AND CLIMATE CHANGE Week Six Class #10 Mon., Feb 28: Grasping the science of climate change Climate change has been one of the most controversial international policy issues in recent decades. Much of the debate originated from scientific uncertainty over the contributions of human activities to climate change. This session examples the scientific 9

basis for global consensus over climate change and processes used to arrive at the conclusions. World Bank, Washington, DC, Focus A, The Science of Climate Change, pp. 70-84. What is the balance of evidence on the role of human activity in climate change? What mechanisms were used to provide the evidence? What factors contributed to delays in reaching consensus over global warming? Class #11 Wed., March 2: Linkages between development and climate change Climate change is projected to affect the poor around the world more than they will affect the rich. Much of the problem results from lifestyles and consumption patterns of affluent members of society. This is partly because of divergence in capacity mitigate climate change or adapt to its impacts. This session examines the linkages between development and climate change and focuses on the importance of collective global responses. World Bank, Washington, DC, Chapter 1, Understanding the Linkages between Climate Change and Development, pp. 34-69. What factors influence the patterns of distribution of the impacts of climate change? Is there any evidence that the poor are more adversely affected by climate change than the rich? What technology-based measures can be taken to promote collective global efforts in managing climate change impacts? Week Seven Class #12 Mon., March 7: Reducing human vulnerability The world is already committed to a certain level of global warming. The challenge therefore is finding ways by which societies around the world can reduce their vulnerability to the impacts of climate change. This session examines the diversity of measures that society uses to reduce its vulnerability. It pays particular attention to the role of creativity, knowledge and technology. World Bank, Washington, DC, Chapter 2, Reducing Human Vulnerability, pp. 87-123. What technology-based measures do societies use to reduce their vulnerability to ecological change? 10

What role do knowledge and information play in reducing societal vulnerability? What examples illustrate how societies are adapting to ecological change? Class #13 Wed., March 9: Protecting ecosystems services The complex web of life that sustains the Earth is made up of up 10 million known plant and animal species as well as countless microorganisms. This biodiversity provides humans with its basis needs and helps the planet to adapt to change. But climate disruptions now threaten to disrupt this complex web of life on Earth. This session explores the implications of climate change for biological diversity and how human creativity can be marshaled to protect it while promoting adaptation to climate change. World Bank, Washington, DC, Focus B, Biodiversity and Ecosystem Services in a Changing Climate, pp. 124-131. What role does biodiversity play in meeting human needs? What the projected impacts of climate change on biodiversity? How can technological innovation be used to protect biodiversity and deploy it to address climate change? SPRING BREAK Week Eight Class #14 Mon., March 21: Managing water resources Climate change will have far reading consequences for water supply, quality and distribution. Creative measures will be needed to allocate water among competing demands for human use (in areas such as agriculture, energy, fisheries and urban consumption) and for sustaining ecosystems (in forests, wetlands, and oceans). This session examines the extent to which technological innovation can be deployed to address the challenges associated with the impact of climate change on water resources. World Bank, Washington, DC, Chapter 3, Managing Land and Water to Feed Nine Billion People and Protect Natural Systems, pp. 134-145. How is climate change likely to affect the availability and distribution of water resources? How can technological innovation be deployed to address the challenges? What examples illustrate the prospects of using technological innovation and institutional change to solve climate-related water problems? 11

Class #15 Wed., March 23: Enhancing sustainable agriculture Climate change is likely to disrupt food production systems around the world at a time of growing demand to meet the rising population. This session examines how technological innovation can be used to address food production challenges in light of climate change. World Bank, Washington, DC, Chapter 3, Managing Land and Water to Feed Nine Billion People and Protect Natural Systems, pp. 145-187. What are the main climate-related sources of threats to the world food system? What technological measures can be used to address these threats and what barriers stand in the way the proposed applications? What institutional innovations are needed to facilitate the adoption of new agricultural technologies? Week Nine Class #16 Mon., March 28: Providing clean energy Energy supply and use remains one of the most critical challenges in efforts to address climate change. This session explores how developing countries can use emerging technologies to promote low-carbon development strategies. World Bank, Washington, DC, Chapter 4, Energizing Development without Compromising the Climate, pp. 189-229. What factors influence the choice of energy paths in developing countries? What are the technological options available to developing countries to transition to lowcarbon economic strategies? What institutional factors influence the ability of developing countries to adopt clean energy technologies and how can they be addressed? Class #17 Wed., March 30: Trade and climate change The international trading system has in recent years been used to address climate change impacts. Trade-related sanctions have been used to address environmental damage. This session explores how international trade can used to promote climate-friendly measures especially in fields such as clean technologies. World Bank, Washington, DC, Focus C, Trade and Climate Change, pp. 251-255. 12

How have trade-related measures been used to address climate change impacts? What examples illustrate the use of international trade sanctions in the climate change regime? How can international trade be used to promote the diffusion of clean technologies? Week Ten Class #18 Mon., April 4: Guest lecture UNIT 3: TECHNOLOGY AND THE SUSTAINABILITY TRANSITION Class #19 Wed., April 6: Overcoming behavioral inertia Social norms and institutional arrangements play key roles in enabling society to adapt to change. But the same forces also become the most important obstacles to change even in cases where financial and technological challenges can be solved. This session explores the behavioral and institutional factors that influence the ability of society to shift to lowcarbon economies. World Bank, Washington, DC, Chapter 8, Overcoming Behavioral and Institutional Inertia, pp. 321-335. To what extent does personal behavior affect the ability of society to shift to new economic paths? What role can education and information play in promoting behavioral change? What innovative measures can be applied to facilitate change in the behavior of individuals and institutions? Week Eleven Class #20 Mon., April 11: Using geographic information systems Geographic information systems (GIS) are increasingly being used to provide critical information needed for environmental management. This session reviews trends in the application of GIS to climate change management. World Bank, Washington, DC, Chapter 3, Managing Land and Water to Feed Nine Billion People and Protect Natural Systems, pp. 162-164. What role does geographic information play in environmental management? 13

What are the latest geographic information technologies and how are they being deployed to address climate change challenges? What are the institutional challenges associated with the deployment of geographic information technologies and how are they being solved? Class #21 Wed., April 13: Acceleration technology innovation and diffusion Deploying existing technologies and developing new ones is essential for addressing the climate challenge. This session explore a wide variety of approaches that can be adopted to facilitate technological innovation and diffusion. World Bank, Washington, DC, Chapter 7, Accelerating Innovation and Technology Diffusion, pp. 287-319. What role does advancement in technology play in the transition to a low-carbon economy? What examples offer the most compelling case for using technology to address climate change challenges? What are the institutional obstacles to the use of new technologies and how can they be addressed? Week Twelve Class #22 Mon., April 18: Financing climate change mitigation and adaption Financing climate change mitigation and adaption remains a highly debated topic. Much of the discussion has tended to focus on the magnitude of funding needed to address the challenge on a global scale. This session explores innovative financing approaches with specific emphasis on support to technological innovation and the related institutional change. World Bank, Washington, DC, Chapter 6, Generating Funds Needed for Mitigation and Adaptation, pp. 257-285. What the main financial obstacles to address climate change mitigation? What are the limitations of existing financial arrangements, especially in relation to support to technological innovation? What innovative approaches can be adopted to facilitate access to financial resources for technological innovation? Class #23 Wed., April 20: Providing science and technology advice 14

Science and technology advice is an essential input into the process of public debate over technological innovation. However, only a limited number of countries around the world have developed effective institutional mechanisms for providing advice on new technologies. This session reviews the various approaches used to provide high-level science and technology advice. World Bank, Washington, DC, Chapter 8, Overcoming Behavioral and Institutional Inertia, pp. 335-347. What are the institutional obstacles to adopting low-carbon strategies? What reforms are needed in institutional structures to address these challenges? What role can science and technology advice play in facilitating the transition to lowcarbon economies? Week Thirteen Class #24 Mon., April 25: Fostering technology and engineering diplomacy International cooperation is critical to finding solutions to the climate change challenge. But much of the diplomatic work on climate change is carried with limited consideration of the role of technology and engineering in development in general and in international relations in particular. This session examines the extent to which technological innovation is considered as key aspect of international negotiations on climate change. World Bank, Washington, DC, Chapter 5, Integrating Development into the Global Climate Regime, pp. 233-250. How are developmental concerns integrated into the international climate regime? What examples show the extent to which the application of technology to development also helps to address the climate change challenge? How can technology and engineering be made an explicit aspect of international climate negotiations? Class #25 - Wed., April 27: Wrap-up 15