ࡱ > ) + $ % & ' ( _ 6x bjbj D| b b : : $ : $ , $ $ $ % % % 8 F% b' D % ؚ b ' - " - ( - - . * / \ 70 0 3 5 5 5 5 5 5 $ : Y 9 $ 3 . . 3 3 Y $ $ - - lY lY lY 3 $ - $ - lY 3 3 lY lY N O ߐ - w7 \E 0 k 0 ؚ ' hI f ` ߐ ҡ $ $ ߐ g0 0 h lY a1 T 1 g0 g0 g0 Y Y J g0 g0 g0 ؚ 3 3 3 3 g0 g0 g0 g0 g0 g0 g0 g0 g0 : Z# : EJTIR Issue 10(3)
September 2010
pp. 269-284
ISSN: 1567-7141
HYPERLINK "http://www.ejtir.tbm.tudelft.nl" www.ejtir.tbm.tudelft.nlDealing with Dilemmas: How Can Experiments Contribute to a More Sustainable Mobility System?
Mark de Bruijne
Section of Policy, Organisation, Law and Gaming
Odette van de Riet
Section of Transport Policy and Logistics
Alexander de Haan
Section of Policy Analysis (PA)
Joop Koppenjan
Section of Policy, Organisation, Law and Gaming
Faculty of Technology, Policy and Management, Delft University of Technology
Sustainable mobility has proved to be a perennial challenge to realize. Scholars have argued that experiments could point the way forward towards sustainable mobility ADDIN EN.CITE Loorbach20071014cf. 101410146Loorbach, DerkTransition Management, New mode of governance for sustainable development1-325transition managementtransitiongovernancesustainabilityComplex Adaptive Systemstheory2007UtrechtInternational books978-90-5727-057-4EnglishMarkard200810291029102917Markard, JochenTruffer, BernhardTechnological innovation systems and the multi-level perspective: Towards an integrated frameworkResearch PolicyResearch Policy596-615374Innovation systemsMulti-level frameworkRadical innovationTechnological change2008http://www.sciencedirect.com/science/article/B6V77-4S02T6Y-1/1/0baab5a9cd6ac9ca8dd2b8596abe8470 English(cf. Loorbach, 2007, Markard and Truffer, 2008). In doing so, literature attributes a vital but complex task to those who engage in experiments. However, an important knowledge gap pertains to whether and how experiments contribute to learning about transitions and in what way they should be managed to break-up the more or less inertial mobility governance system.
This paper aims to analyze how state-of-the-art literature on the governance of multi-actor systems considers experiments to contribute to transitions and highlight key dilemmas that professionals engaged in the management of experimental face in the day-to-day management and decision making processes during the experiment. The paper will highlight these dilemmas and choices and illustrate their importance for experiments in the field of transportation and more specifically in the specific context of the Dutch mobility system and the TRANSUMO research program. Identifying these dilemmas benefits practitioners who are engaged in the management of experiments to more consciously reflect on and include issues of second-order learning in the day-to-day management and decision making during the experiment to reach a more sustainable mobile system.
Keywords: transition management, experiment; multi-actor governance, project management
1. Introduction
The majority of our public infrastructure systems seem to have reached a condition where they increasingly seem to contribute to environmental problems in our society (i.e. air pollution, noise pollution). The underlying causes for this state of affairs is often attributed to the current (technological) governance regimes that seem to block the emergence, development and breakthrough of more sustainable innovations in public infrastructure systems ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Hekkert and van den Hoed, 2006, Rotmans, 2003). It seems as though most public infrastructures have evolved into inertial or even solidified systems.
Sustainable mobility in particular has proved to be a perennial challenge to realize. Many countries that face the downsides of mobility try to change their transport systems into more sustainable systems. In the Netherlands, the desire to develop more sustainable transport has been around for at least 15 years ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Nijkamp, 1994, Nijkamp et al., 1995). During this period, many experiments to develop a more sustainable transport infrastructure have been held with a variety of success ADDIN EN.CITE ADDIN EN.CITE.DATA (van den Bergh et al., 2007, van der Straten et al., 2007). But, so far, any progress in this respect to reach a more sustainable transport infrastructure has been offset by a more intensive use of transportation. This holds true for both air transportation (cf. de Haan, 2007) as well as road transportation ADDIN EN.CITE Geels20071035e.g. 1035103517Geels, Frank W.Transformations of Large Technical Systems: A Multilevel Analysis of the Dutch Highway System (1950-2000)Science Technology Human ValuesScience Technology Human Values123-149322large technical systemstransportationhistory2007March 1, 2007http://sth.sagepub.com/cgi/content/abstract/32/2/123 10.1177/0162243906293883EnglishRotmans20031042104210426Rotmans, JanTransitiemanagement, Sleutel voor een duurzame samenleving243transitiontransition management2003AssenKoninklijke van Gorcum90-232-3994-6boekenkast HaikoNederlands(e.g. Geels, 2007, Rotmans, 2003) and concerns both the development and use of innovative technologies as well as efforts to bring about behavioural change.
The future development of mobility is very uncertain and a wide variety of possibilities to reach desirable end-states exist. To increase the chance of success of breaking through solidified multi-actor systems, a set of approaches have been formulated in different disciplines, ranging from network and stakeholder management to strategic niche management and innovation management. In the last decade, transition management has been developed as a specific approach to reach a more sustainable society. Transition management defines a transition as a gradual process of societal change in which society or an important subsystem of society structurally changes (Rotmans et al. 2000: 19). The approach has been accepted and applied as a policy tool to reach a more sustainable mobility system in the Netherlands, resulting in 2004 in the creation of a national public-private research program called TRANSUMO ADDIN EN.CITE Avelino200914011401140117Avelino, FlorEmpowerment and the challenge of applying transition management to ongoing projectsPolicy SciencesPolicy Sciences369-3904242009http://dx.doi.org/10.1007/s11077-009-9102-6English(Avelino, 2009). In this research program both technological as well as behavioral innovations and experiments are investigated. The transition management approach assumes that transitions can be guided or managed through a multi-level governance approach ADDIN EN.CITE Rotmans20031042cf. 104210426Rotmans, JanTransitiemanagement, Sleutel voor een duurzame samenleving243transitiontransition management2003AssenKoninklijke van Gorcum90-232-3994-6boekenkast HaikoNederlandsLoorbach20071014101410146Loorbach, DerkTransition Management, New mode of governance for sustainable development1-325transition managementtransitiongovernancesustainabilityComplex Adaptive Systemstheory2007UtrechtInternational books978-90-5727-057-4English(cf. Rotmans, 2003, Loorbach, 2007).
A central element in this approach is reserved for the development and execution of experiments to foster (trial-and-error) learning and thus pave the way towards sustainable transitions ADDIN EN.CITE van de Kerkhof200597797797717van de Kerkhof, MarleenWieczorek, AnnaLearning and stakeholder participation in transition processes towards sustainability: Methodological considerationsTechnological Forecasting and Social ChangeTechnological Forecasting and Social Change733-747726Stakeholder participationLearningSystems changeGlobal environmental changeTransition management2005http://www.sciencedirect.com/science/article/B6V71-4F29HY7-1/1/d3e8d165e41a64a3794cb4f33e4a93e4 English(van de Kerkhof and Wieczorek, 2005). In order to stimulate sustainable developments in the mobile system more radical and daring (technical) experiments may be considered vital tools ADDIN EN.CITE Loorbach20071014cf. 101410146Loorbach, DerkTransition Management, New mode of governance for sustainable development1-325transition managementtransitiongovernancesustainabilityComplex Adaptive Systemstheory2007UtrechtInternational books978-90-5727-057-4EnglishMarkard200810291029102917Markard, JochenTruffer, BernhardTechnological innovation systems and the multi-level perspective: Towards an integrated frameworkResearch PolicyResearch Policy596-615374Innovation systemsMulti-level frameworkRadical innovationTechnological change2008http://www.sciencedirect.com/science/article/B6V77-4S02T6Y-1/1/0baab5a9cd6ac9ca8dd2b8596abe8470 English(cf. Loorbach, 2007, Markard and Truffer, 2008). In doing so, literature attributes a vital but complex task to those who engage in experiments. To learn from experiments with regard to the development of new and more sustainable technologies and policies (first-order learning), but also to learn from the experiments from a transition management perspective (second-order learning) and thus learning about the values, assumptions and policies that drive the actions of stakeholders during the experiment ADDIN EN.CITE van de Kerkhof200597797797717van de Kerkhof, MarleenWieczorek, AnnaLearning and stakeholder participation in transition processes towards sustainability: Methodological considerationsTechnological Forecasting and Social ChangeTechnological Forecasting and Social Change733-747726Stakeholder participationLearningSystems changeGlobal environmental changeTransition management2005http://www.sciencedirect.com/science/article/B6V71-4F29HY7-1/1/d3e8d165e41a64a3794cb4f33e4a93e4 English(van de Kerkhof and Wieczorek, 2005). The two-sided goals of transition experiments ADDIN EN.CITE Kemp20049691499699695Kemp, RenRotmans, JanElzen, BoelieGeels, Frank W.Green, KenManaging the transition to sustainable mobilitySystem Innovation and the Transition to Sustainability, Theory, Evidence and Policy137-167transition managementtransportationpublic administrationpolicy2004CheltenhamEdward Elgar1-84376-683-3English(Kemp and Rotmans, 2004) can be distinguished by considering the managerial impact of the goals that experiments need to attain: is this an innovation with potential in itself and does this innovation contribute to an overall transition? ADDIN EN.CITE Loorbach20071014111101410146Loorbach, DerkTransition Management, New mode of governance for sustainable development1-325transition managementtransitiongovernancesustainabilityComplex Adaptive Systemstheory2007UtrechtInternational books978-90-5727-057-4English(Loorbach, 2007)
However, an important knowledge gap pertains to whether and how experiments are able to contribute to this second-order learning and in what way they should be managed to break-up more or less inertial mobility governance system. State-of-the-art literature on sustainability and the governance of multi-actor systems includes network management ADDIN EN.CITE de Bruijn20081033103310336de Bruijn, Hansten Heuvelhof, ErnstManagement in Networks, On multi-actor decision making162decision makingnetwork management2008LondonRoutledge0-415-46249-5
978-0-415-46249-5EnglishKoppenjan20047587587586Koppenjan, J.F.M.Klijn, E-H.Managing uncertainty in networks289managementnetwork managementprocesmanagementuncertainty2004LondonRoutledge0-415-36941-XEnglish(de Bruijn and ten Heuvelhof, 2008, Koppenjan and Klijn, 2004), innovation studies ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Geels, 2004, 2005, 2007, Hekkert et al., 2007) and transition management ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Elzen and Wieczorek, 2005, Hendriks and Grin, 2007). This literature is vague and ambiguous with regard to how experiments should be set up and managed in practice to contribute to transitions.
This paper aims to analyze how state-of-the-art literature on the governance of multi-actor systems considers experiments to contribute to transitions. These issues are particularly interesting from an operational perspective as managers and innovators who are involved in the day-to-day management of transition experiments have to translate these principles into practice. The paper may enable both professions to more consciously include second-order learning as a goal in the day-to-day management and decision making processes during the experiment. The paper will highlight these dilemmas and choices and illustrate their importance for experiments in the field of transportation and more specifically in the specific context of the Dutch mobility system and the TRANSUMO research program.
A short analysis of literature on change in multi-actor governance systems and the role of experiments is elaborated in section 1. Section 2 focuses on the important notions that have been identified in the management of experiments and draws a structured list of project design recommendations that professionals could use. Section 3 explores some inherent dilemmas and trade-offs that professionals engaged in the management of experiments face on a daily basis for which practical guidelines do not exist. Section 4 draws a number of conclusions on the consequences of the trade-offs and some potential lessons for those engaged in transportation policy programs that seek to reach a more sustainable transport industry.
2. Governing for Change in a Multi-actor Mobile System
The point of departure is the assumption that systemic innovations that are necessary to reach sustainable solutions ADDIN EN.CITE Truffer20081264: 13601264126417Truffer, B.Vo, J. P.Konrad, K.Mapping expectations for system transformations: Lessons from Sustainability Foresight in German utility sectorsTechnological Forecasting and Social ChangeTechnological Forecasting and Social Change1360-1372759Sustainability ForesightUtility sectorSocio-technical transformationExpectation mapping20080040-1625http://www.sciencedirect.com/science/article/B6V71-4SK599J-1/2/d37c9f32da91d03df6438e169b77baec(Truffer et al., 2008). The sustainable transformation of the mobile system may be considered as a highly uncertain and unpredictable systemic governance and innovation problem where solutions are bound to take place within a multi-actor context. Different actors are involved in the development and implementation of innovations and changes in the mobile system, which together push and pull processes of dynamics and change (end users, technical developers, infrastructure operators, governments, etc.). For example user requirements and perceptions play an important role in the adoption of successful transport innovations (cf. Wiegmans et al., 2007; van der Straten et al., 2007).
This means that the adoption of innovations results from the interaction between different actors (e.g. both developers of innovation as well as users of innovations) and that no single actor has the ability to overrule other actors. From this perspective, it could be argued that the management of system innovations therefore takes on characteristics of the process management approach ADDIN EN.CITE De Bruijn20021034103410346de Bruijn, Hansten Heuvelhof, Ernstin 't Veld, RoelProcess Management, Why Project Management Fails in Complex Decision Making Processes171process management2002BostonKluwer Academic Publishers1-4020-7331-3English(de Bruijn et al., 2002) and in particular the network management aspects of it ADDIN EN.CITE ADDIN EN.CITE.DATA (de Bruijn and ten Heuvelhof, 2008, Kickert et al., 1997, Koppenjan and Klijn, 2004, de Bruijn et al., 2004). This governance perspective assumes that policy and production networks fail to respond to traditional top-down governance approaches. Or to put it simply, in todays complex environment in which the mobility system finds itself, simple top-down policies aimed to achieve towards more sustainability wont work anymore.
This multi-actor perspective on governance and innovation management is further elaborated and refined in innovation studies that focus on the interplay between technology, actors and the interactions within institutional systems ADDIN EN.CITE ADDIN EN.CITE.DATA (e.g. Geels, 2004, Hekkert et al., 2007, Hughes, 1983, Geels, 2005, Geels, 2007, Summerton, 1994, Mayntz and Hughes, 1988, Markard and Truffer, 2008). The over-arching perspective of these studies is that changes in large-scale technological systems take place in institutionally fragmented settings and that a wide variety of factors (e.g. various institutional settings, the behaviour of specific actors, the specific technologies in use, country-specific characteristics such as the population distribution or topographical characteristics) influence how large scale socio-technical systems eventually evolve ADDIN EN.CITE ADDIN EN.CITE.DATA (van der Vleuten, 1999, 2004). However, what is known is that the interplay between actors that are involved in the system plays an important part in the way in which systemic changes take place and in which these changes can be understood ADDIN EN.CITE Truffer200812641264126417Truffer, B.Vo, J. P.Konrad, K.Mapping expectations for system transformations: Lessons from Sustainability Foresight in German utility sectorsTechnological Forecasting and Social ChangeTechnological Forecasting and Social Change1360-1372759Sustainability ForesightUtility sectorSocio-technical transformationExpectation mapping20080040-1625http://www.sciencedirect.com/science/article/B6V71-4SK599J-1/2/d37c9f32da91d03df6438e169b77baec(Truffer et al., 2008).
A final stream of literature that acknowledges the multi-actor governance nature of sustainability and addresses how to reach more sustainable future is the transition management literature (Rotmans, 2008:1006). Transition management addresses the issue how systems can change towards a desirable end-state. Transition management defines a transition as a gradual process of societal change in which society or an important subsystem of society structurally changes (Rotmans et al. 2000, p. 19), and a process of structural societal change from one relatively stable system state to another ADDIN EN.CITE Loorbach2007101418101410146Loorbach, DerkTransition Management, New mode of governance for sustainable development1-325transition managementtransitiongovernancesustainabilityComplex Adaptive Systemstheory2007UtrechtInternational books978-90-5727-057-4English(Loorbach, 2007). Transition management uses notions from complex adaptive systems theory ADDIN EN.CITE van der Brugge200799999999917van der Brugge, Rutgervan Raak, RoelFacing the Adaptive Management challenge: complementary insights from transition managementEcology and SocietyEcology and Society122Adaptationmanagementtransition managementresilienceComplex Adaptive Systems2007RotterdamDutch Research Institute for TransitionsEnglishLoorbach20071014101410146Loorbach, DerkTransition Management, New mode of governance for sustainable development1-325transition managementtransitiongovernancesustainabilityComplex Adaptive Systemstheory2007UtrechtInternational books978-90-5727-057-4English(van der Brugge and van Raak, 2007, Loorbach, 2007). In doing so, transition management positions itself as a new policy approach that focuses on new forms of governance ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Hendriks and Grin, 2007, Elzen and Wieczorek, 2005) and self-organization that recognizes the need for multi-issue and multi-level governance whereby state and non-state actors are brought together to co-produce and coordinate policies in an interactive way ADDIN EN.CITE Rotmans200598498498417Rotmans, JanLoorbach, DerkVan der Brugge, RutgerTransitiemanagement en duurzame ontwikkeling; Co-evolutionaire sturing in het licht van complexiteitBeleidswetenschapBeleidswetenschap3-23192transition management2005NederlandsLoorbach20071014101410146Loorbach, DerkTransition Management, New mode of governance for sustainable development1-325transition managementtransitiongovernancesustainabilityComplex Adaptive Systemstheory2007UtrechtInternational books978-90-5727-057-4English(Rotmans et al., 2005, Loorbach, 2007). Multi-actor governance is thus inescapable as [n]o single actor is able to grasp and control the full complexity of transitions (Mourik and Raven, 2006:8).
Different types of transitions can be identified ADDIN EN.CITE Smith2005948cf. 94894817Smith, AdrianStirling, AndyBerkhout, FransThe governance of sustainable socio-technical transitionsResearch PolicyResearch Policy1491-15103410Socio-technical regimesSustainable developmentGovernancePowerTransition management2005http://www.sciencedirect.com/science/article/B6V77-4HC76XP-1/1/a7cbce04016a3cd867abacaa411c2578 English(cf. Smith et al., 2005), yet only one promises to provide adequate solutions to problems of sustainability in the mobile system: that of goal-oriented transitions ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Geels, 2006, Smith et al., 2005, Geels and Schot, 2007, Kemp and Rotmans, 2004). In the last decade, transition management has been developed as a specific approach to reach a more sustainable society. The approach has been accepted and applied as a policy tool in the Netherlands ADDIN EN.CITE ADDIN EN.CITE.DATA (e.g. EnergieTransitie, 2008, Kemp and Loorbach, 2005). So much so that to contribute to a m o r e s u s t a i n a b l e m o b i l e s y s t e m , t h e D u t c h a u t h o r i t i e s e s t a b l i s h e d a n a t i o n a l p u b l i c - p r i v a t e r e s e a r c h p r o g r a m c a l l e d T R A N S U M O a n d f u n d e d 3 0 m i l l i o n . T R A N S U M O s t a n d s f o r T R A N s i t i o n S U s t a i n a b l e M o b i l i t y ( s e e H Y P E R L I N K " h t t p : / / w w w . t r a n s u m o . n l " w w w . t r a nsumo.nl). In TRANSUMO more than 150 participants from government, the transport industry and knowledge institutions work together. The aim of TRANSUMO is to develop and spread new knowledge for realizing a transition towards sustainable mobility in the Netherlands. In this research program both technological as well as behavioral solutions to mobility problems are investigated in 7 themes and 22 projects (cf. Avelino, 2009).
All the abovementioned streams of literature focus on the possibilities for transition management. It should be noted here that there exists disagreement with regard to the extent to which transitions can indeed be managed (cf. de Bruijn et al., 2004; de Bruijn and ten Heuvelhof, 2008; Rotmans, 2003; Smith et al., 2005; Loorbach, 2007; Teisman, 1998; Teisman and Edelenbos, 2004).
As one of the key elements in transition management literature, the importance of experiments is widely recognized (cf. Rotmans, 2003:96; Kemp and Rotmans, 2004:146; Loorbach, 2007:115). Experiments aimed at innovation play a key part in reaching future goals of transition management ADDIN EN.CITE ADDIN EN.CITE.DATA (Kemp and Rotmans, 2004, Kemp et al., 2007). It is noted that realizing transition requires the development and execution of a wide variety of transition experiments to facilitate learning and knowledge creation on transition management processes (cf. Brown et al., 2003, Loorbach, 2007). The transition literature identifies the importance of strategic niche management, which argues that experiments and innovations are best developed in specifically protected arenas, detached from the usual short-term performance pressures that control day to day operations to increase the possibilities for learning ADDIN EN.CITE Geels2005976cf. 97697617Geels, Frank W.Processes and patterns in transitions and system innovations: Refining the co-evolutionary multi-level perspectiveTechnological Forecasting and Social ChangeTechnological Forecasting and Social Change681-696726TransitionSystem innovationCo-evolutionMulti-level perspectivePatterns2005http://www.sciencedirect.com/science/article/B6V71-4G54HG7-1/1/0b46acda34144da03c78ae5f25343786 EnglishLoorbach20071014101410146Loorbach, DerkTransition Management, New mode of governance for sustainable development1-325transition managementtransitiongovernancesustainabilityComplex Adaptive Systemstheory2007UtrechtInternational books978-90-5727-057-4English(cf. Geels, 2005, Loorbach, 2007).
However, despite the emphasis that transition management literature has placed on the value of experimentation and second-order learning, few practical guidelines have been developed for managers and innovators who are involved in the day-to-day management of experiments to also contribute towards more sustainability in the form of second-order learning goals ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Loeber, 2003, Rotmans, 2003, Kemp and van den Bosch, 2006, Grin and van Staveren, 2007). Project managers and project leaders have emphasized that the current guidelines and literature available with regard to the practical management issues tend to be too generic, too conceptual; too abstract and too detached from day-to-day reality for use by practitioners ADDIN EN.CITE ADDIN EN.CITE.DATA (Raven et al., 2007, Canils and Romijn, 2006).
The consequence of this lack of knowledge might be that many experiments fail to contribute to transitions. Transition management scholars have indeed acknowledged that many experiments and niches never break through and make any progress ADDIN EN.CITE Elzen200410241024102428Elzen, BoelieGeels, Frank W.Green, KenSystem Innovation and the Transition to Sustainability3152004CheltenhamEdward Elgar1-84376-683-3English(Elzen et al., 2004) and it can thus be questioned whether all these experiments contribute much to our knowledge of experimentation and transition management as second-order learning in experiments rarely occurs ADDIN EN.CITE Brown20031252cf. 2941252125217Brown, H. S.Vergragt, P.Green, K.Berchicci, L.Learning for Sustainability Transition through Bounded Socio-technical Experiments in Personal MobilityTechnology Analysis and Strategic ManagementTechnology Analysis and Strategic Management291-3151532003http://www.ingentaconnect.com/content/routledg/ctas/2003/00000015/00000003/art00001http://dx.doi.org/10.1080/09537320310001601496English(cf. Brown et al., 2003).
The insights have also remained fragmented in literature ADDIN EN.CITE Canils20061047101047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(Canils and Romijn, 2006). Thus little attention is paid to how experiments should be set up or managed to contribute to higher-order transition goals ADDIN EN.CITE van de Kerkhof200597797797717van de Kerkhof, MarleenWieczorek, AnnaLearning and stakeholder participation in transition processes towards sustainability: Methodological considerationsTechnological Forecasting and Social ChangeTechnological Forecasting and Social Change733-747726Stakeholder participationLearningSystems changeGlobal environmental changeTransition management2005http://www.sciencedirect.com/science/article/B6V71-4F29HY7-1/1/d3e8d165e41a64a3794cb4f33e4a93e4 English(van de Kerkhof and Wieczorek, 2005). What can a practitioner do to guide and modulate transitions towards sustainability given the complex, multi-level and multi-actor world he or she is operating in?(Mourik and Raven, 2006:9). These second-order learning goals are of vital importance for the conduct of experiments and are often ill-addressed in practice.
The aim of this paper is to illuminate key requirements for multi-actor governance processes by emphasizing management principles for experiments to innovators and project managers. Secondly, this paper highlights a number of dilemmas with regard to multi-actor governance processes that managers in charge of experimental projects face. A number of seemingly contrasting/paradoxical requirements emerge from the practical recommendations of various bodies of literature on multi-actor governance, outlining the ambiguous and complex nature of what transition management seeks to achieve. Identifying these paradoxes may contribute to further insight in multi-actor governance processes and may benefit practitioners who are engaged in experiments that contribute to developing a more sustainable mobile system as it allows them to more consciously reflect on and include issues of second-order learning about transition management in the day-to-day management and decision making during the experiment.
3. Experimenting in Multi-actor Governance Systems
The previous sections have outlined that there is need for a set of operational recommendations for the management and conduct of experiments that might increase their value and contribution to multi-actor governance and managed transitions in the mobile system (i.e. to stimulate second-order learning in the mobile system).
Existing steering notions or managerial principles in literature regarding multi-actor governance have been identified and combined with more practical guidelines for (transition) experiments ADDIN EN.CITE ADDIN EN.CITE.DATA (Grin and van Staveren, 2007, Loeber, 2003, Kemp and van den Bosch, 2006, Raven et al., 2007, van der Laak et al., 2007, Mourik and Raven, 2006, Raven et al., 2010). The notions have been clustered in three key managerial aspects of experiments that are of principle concern for experimental project managers. These notions/ managerial principles are labeled understanding, safeguarding and utilizing and address different important aspects that need to be managed during experiments. Depending on the progress that experiments make, emphasis shifts from understanding towards safeguarding and finally utilizing. However, it should also be emphasized that project managers should monitor and work on all these notions at any time.
3.1 Understanding the experiment
A first focal point for project managers is arguably the need to focus on generating a broad and in-depth understanding of what the experiment is all about. This has been dubbed the voicing and shaping of expectations and visions (Raven et al., 2010:64). First of all, it should be important to note to project managers that even though they tightly resemble each other, experiments within a transition context are in fact very different from regular innovation processes. In experiments, more than in regular projects, function, rather than product needs need to be specified (Van der Zwan and Bhamra, 2003:900).
Project managers are furthermore encouraged to invest in the development of processes that stimulates participants in the experiment to generate a deeper, shared understanding of the experiment as well as its role within a broader context. The key aspect in this phase is the formation of an environment in which high quality learning experiences with regard to (sustainability) issues can take place ADDIN EN.CITE Canils20061047101047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(Canils and Romijn, 2006). Previous experience has shown that project management should be aware of the various types of learning that take place in the projects. Managers and actors involved in experiments could facilitate this process and thereby increase the chance that new knowledge is created, and shared that will contribute to transitions.
Project management should develop processes that invite project participants to exchange and share as much knowledge as possible and possibly contribute to the project. This knowledge exchange should not just be about the experiment itself, but also about for example working definitions of sustainability that are going to be used during the project. The voicing of expectations by project participants and the management of these expectations is also important for project managers ADDIN EN.CITE Raven20081526cf. 1526152617Raven, Rob P. J. M.Heiskanen, EvaLovio, RaimoHodson, MikeBrohmann, BettinaThe Contribution of Local Experiments and Negotiation Processes to Field-Level Learning in Emerging (Niche) TechnologiesBulletin of Science, Technology & SocietyBulletin of Science, Technology & Society464-4772862008December 1, 2008http://bst.sagepub.com/content/28/6/464.abstract10.1177/0270467608317523English(cf. Raven et al., 2008). In order to retain this largely tacit knowledge exchange, project management should document as much of the discussions during the project as possible. To increase the possibilities for knowledge development and learning, project management should endeavor to invite a wide variety of stakeholders to take part in these experiments and to seek a wide range of opinions and visions with regard to the experiments ADDIN EN.CITE Raven986798698647Raven, Robvan den Bosch, SuzanneWeterings, RobTransitions and Strategic Niche Management: Towards a Competence Kit for Practitioners4th Dubrovnic Conference on Sustainable Development of Energy, Water and Environment Systemstransition management2007Dubrovnic, CroatiaKSI cdhttp://www.ksinetwork.nl/downs/output/publications/Strategic%20Niche%20Management%20and%20Transition%20Experiments%20FINAL%20_Raven%20Van%20den%20Bosch%20Weterings_.pdfEnglish(Raven et al., 2007).
Highly concrete project design recommendations include:
Project goals. Organize multiple rounds of discussion about problem formulation, the (definitions of) the project goals and their relation to wider sustainability and transition goals analogous to steps identified in multi-actor policy analysis. Goals, objectives, strategies, tools, interpretations of data and other key dimensions require negotiations between participants (Brown et al., 2003:295). The aim of the recommendation is to stimulate project participants to share knowledge and exchange viewpoints and reach a shared body of knowledge with regard to vital issues within the project. These include shared definitions of the goals of the experiment, a shared identification of relevant criteria, a shared definition of sustainability and a shared vision of transition and the contribution of the experiment to this end (cf. Mourik and Raven, 2006:17-20). Incongruent visions and interests, low commitments and risk-taking by key actors, and complex sets of variables to consider are likely to emerge ADDIN EN.CITE Brown20031252:3121252125217Brown, H. S.Vergragt, P.Green, K.Berchicci, L.Learning for Sustainability Transition through Bounded Socio-technical Experiments in Personal MobilityTechnology Analysis and Strategic ManagementTechnology Analysis and Strategic Management291-3151532003http://www.ingentaconnect.com/content/routledg/ctas/2003/00000015/00000003/art00001http://dx.doi.org/10.1080/09537320310001601496English(Brown et al., 2003). The discussions may highlight differences of opinion, but also create new innovative ideas or highlight important issues that were not incorporated in the original project description and contribute to the shaping of robust expectations about the technology, and the wider context in which the technology is embedded (e.g. sectoral, but also societal embeddedness) ADDIN EN.CITE Truffer20081264cf. 1264126417Truffer, B.Vo, J. P.Konrad, K.Mapping expectations for system transformations: Lessons from Sustainability Foresight in German utility sectorsTechnological Forecasting and Social ChangeTechnological Forecasting and Social Change1360-1372759Sustainability ForesightUtility sectorSocio-technical transformationExpectation mapping20080040-1625http://www.sciencedirect.com/science/article/B6V71-4SK599J-1/2/d37c9f32da91d03df6438e169b77baec(cf. Truffer et al., 2008). Furthermore, in these discussions, knowledge about the position of the experiments within the wider transition framework should be explored as well ADDIN EN.CITE Raven20101522cf. 1522152217Raven, Robvan den Bosch, SuzanneWeterings, RobTransitions and strategic niche management: towards a competence kit for practitionersInternational Journal of Technology ManagementInternational Journal of Technology Management57-74511transitionexperimentationtransition managementstrategic niche managementcompetence kit2010http://inderscience.metapress.com/app/home/contribution.asp?referrer=parent&backto=issue,4,9;journal,2,123;linkingpublicationresults,1:110891,1English(cf. Raven et al., 2010)
Actor analyses and stakeholder consultation. Project managers should analyze who the relevant actors are with regard to the particular problem they are faced with and they should consult and incorporate as many different stakeholders as possible in the design and execution of the experiment (cf. de Bruijn and ten Heuvelhof, 2008:36-42). The general rule of thumb that can be used is the more complex the problems and the solutions under consideration, the more diverse the number of stakeholders and experts that should be involved in the experiment. Furthermore, project managers should stimulate different categories of outsiders to become engaged in experiments to increase the chance of more radical innovations to take shape ADDIN EN.CITE van de Poel20031266cf. 1266126617van de Poel, IboThe transformation of technological regimesResearch PolicyResearch Policy49-68321Technological regimesRegime transformationsPatterns of innovationRadical innovationNiches20030048-7333http://www.sciencedirect.com/science/article/B6V77-44TD0TJ-1/2/4d578d002753c357b5c3314752939adf(cf. van de Poel, 2003).
PR. To reach and attract stakeholders, project managers should invest in communication and P.R. to inform about the experiment and invite stakeholders to participate (e.g. create a flyer and a website to inform interested stakeholders about the experiment). Examples of stakeholders include environmental and/or local interest groups, (groups) of end-users, (political) decision makers, scientific institutes, as well as consultative and deliberative bodies/intermediaries ADDIN EN.CITE Canils20061047cf. 11/121047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(cf. Canils and Romijn, 2006). The information should be short and to the point and should at least outline the project goals and indicate how the experiment is embedded in broader initiatives and how the experiment contributes to sustainability.
With regard to knowledge management, project leaders are encouraged to design a number of features in the experiment that make sure that as much (tacit) knowledge as possible is retained in the course of the experiment. For example, detailed records and notes of all deliberations of the project team should be retained as well as prototypes, etc. (cf. de Bruijn and de Neree tot Babberich, 2000). Other tools include narratives, and the (re)construction of defining moments, context and actor tables ADDIN EN.CITE Raven200915271527152717Raven, R. P. J. M.Mourik, R. M.Feenstra, C. F. J.Heiskanen, E.Modulating societal acceptance in new energy projects: Towards a toolkit methodology for project managersEnergyEnergy564-574345Social acceptanceNew energy projectsParticipationProject management20090360-5442http://www.sciencedirect.com/science/article/B6V2S-4TK7X5Y-2/2/02cf122fd58bdf13fb4ad8cc159d7693English(Raven et al., 2009).
Log book. In addition to the previous point, project leaders are advised to maintain a separate experimental design log book that records the most important decisions and considerations/arguments that have been taken during the experiment. Project leaders should take the time to clearly outline the design process during the experiment and describe the issues and dilemmas the project team encountered and clearly indicate how these issues were solved. Together with the primary material, a secondary analysis of the process is of vital importance to reconstruct the design process.
3.2 Safeguarding the experiment
A second focal point for project managers concerns the protection of the knowledge that is created during the experiment. Protection mechanisms should similarly focus on different products that the experiment provides. Project management should ensure that essential knowledge is retained within the experiment and that all other knowledge is made available to the outside world. Many of the considerations that are central in Strategic Niche Management (SNM) emerge in highly concrete design recommendations ADDIN EN.CITE ADDIN EN.CITE.DATA (e.g. Canils and Romijn, 2006, Raven et al., 2007, van der Laak et al., 2007, Kemp et al., 1998, Mourik and Raven, 2006). The experiment should be isolated from the day-to-day routines and performance pressures and management should be focused on the creation of procedures and routines that ensure that the knowledge that is created within experiments is protected. The practical recommendations to managers are:
Learning objectives. Develop a negotiation process in which project members reach unanimous agreement on the various learning objectives of the experiment. These objectives could be considered as project goals (cf. Dunn, 1994; Miser and Quade, 1985). These goals should be achievable yet challenging ADDIN EN.CITE Canils20061047101047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(Canils and Romijn, 2006). Project management should distinguish multiple learning goals. The experiment should be able to answer at least the following questions: What is learned in the experiment?, What is learned from the experiment?, What is the scientific relevance of the experiment? and What is learned from the experiment with regard to reaching more sustainable innovation? These learning goals should be explicitly recorded and translated into concrete and unambiguous (i.e. objectively measurable) goals (i.e. SMART; Specific, Measurable, Attributable, Realistic and demarcated in Time). However, project managers should be aware of the perverse effects of performance measurement and show constraint in its application (cf. de Bruijn, 2002).
As a refinement of the learning objectives, project management should invest in the development of so-called causal analysis and the formulation of learning processes that will be matched with concrete actions towards intermediate goals. This setup will ensure that project members remain motivated and will facilitate the attainment of the end-goals. Transition management emphasizes to keep experiments as simple as possible ADDIN EN.CITE Canils20061047111047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(Canils and Romijn, 2006).
Project integrity. Project management should develop a process in which the essence of the experiment is discussed among the project members to determine how the integrity of the project can be protected ADDIN EN.CITE Mourik20061057:171057105727Mourik, R.Raven, R.A practitioner's view on Strategic Niche Management1-37ECN-E--06-039strategic niche managementtransition managementtransition2006PettenEnergy research Centre of the NetherlandsECN-E-06-039English(Mourik and Raven, 2006). Project members should reach unanimous agreement on the minimal goals/output of the project and the procedures that ensure that these goals are met (cf. de Bruijn and ten Heuvelhof, 2008). Apart from setting unambiguous goals, core concepts and knowledge within the projects should be protected to avoid free-riding behavior among project members (cf. de Bruijn et al., 2002). For example, project management can think of procedures such as concept-certification, which ensures that knowledge that has been created within the experiment (i.e. a specific concept) can only be used within this context.
Stakeholder constellation. Project management should design processes to ensure an effective constellation of stakeholders during the experiment consisting of a sufficient degree of reciprocity and of a multidisciplinary nature ADDIN EN.CITE Canils20061047cf. 121047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(cf. Canils and Romijn, 2006) (See also 2.1: Actor analyses and stakeholder consultation). Questions that should be asked to analyze the constellation include: what are the desired characteristics of the innovation?, whose expertise or approval is needed for the development and diffusion? and what are the interests of the key actors and how can their commitment be gained? ADDIN EN.CITE Kivisaari20041020227102010205Kivisaari, SirkkuLovio, RaimoVyrynen, ErjaElzen, BoelieGeels, Frank W.Green, KenManaging experiments for transition: examples of societal embedding in energy and health care sectorsSystem Innovation and the Transition to Sustainability223-2502004CheltenhamEdward ElgarEnglish(Kivisaari et al., 2004). Project leaders and innovators should be aware of power distribution issues in experiments, keeping in mind that dominant actors could potentially manipulate experiments. Gains of winners and losers should be managed in a way that all members should be rewarded reciprocically for their efforts. Furthermore, project managers should ensure the active involvement of all groups from an early stage in the experiment, including local project definitions, overall program goals, budgets and schedules. At the same time the desired stakeholder constellation is a dynamic and fluid concept and can depend on the specific conditions in which the experiment is conducted, meaning that entry and exit should be possible (cf. de Bruijn and ten Heuvelhof, 2008).
External evaluators. As part of any process, evaluation is an important, but often overlooked, aspect (cf. Walker, 2000). Project management should seek out independent external evaluators to assess the progress of the experiment ADDIN EN.CITE Canils20061047111047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(Canils and Romijn, 2006).
Process rules. Design elaborate rules and procedures that provide clear guidelines how and under which specific conditions key decisions can be made during the experiment ADDIN EN.CITE Mourik200610571057105727Mourik, R.Raven, R.A practitioner's view on Strategic Niche Management1-37ECN-E--06-039strategic niche managementtransition managementtransition2006PettenEnergy research Centre of the NetherlandsECN-E-06-039English(Mourik and Raven, 2006). Experiments should be analytically divided in a number of decision making rounds in which different sets of stakeholders cooperate to contribute to the experiment. Each of these rounds should have its own procedures and rules. Project management should pay specific attention to process rules that enable project members to (fundamentally) alter the design or execution of the experiment (cf. de Bruijn and de Nere tot Babberich, 2000:91-104). Finally, for each decision-making round, clear procedures should be developed with regard to the exit-options of project participants. These procedures should make clear in what way and under which conditions project members can decide to stop their participation in the experiment. Unambiguous and objective criteria should be formulated to determine how failure can be recognized and proper attention should be paid to maintain a balanced pay-off between winners and losers.
3.3 Utilization of the experiment
Both previous focal points were more or less focussed on the internal cohesion and organization of the experiment. A final focal point for project managers during experiments concerns possibilities to utilize the knowledge that is gained during the experiment. This means a focus on the environment. Project leaders are encouraged to look for ways to hook up with developments outside the protected environment of the experiment. During the experiment project management should ensure that sufficient time and funds remain available for utilization purposes. As the experiment progresses, pressures will increase to reduce the time and funds that are available for these processes in support of more concrete project goals that can be readily achieved ADDIN EN.CITE Teisman20041018e.g.101810185Teisman, Geert R.Edelenbos, JurianElzen, BoelieGeels, Frank W.Green, KenGetting through the 'twilight zone': managing transitions through pocess-based, horizontal and interactive governanceSystem Innovation and the Transition to Sustainability, Theory, Ecidence and Policy168-1902004CheltenhamEdward ElgarEnglish(e.g.Teisman and Edelenbos, 2004). However, especially with regard to second-order learning from experiments, utilization may be considered of key importance. Experiments need to be linked up to other experiments, new technologies and new stakeholders that may even include competitors. Several practical recommendations that may be deduced from the notion are aimed at the various ways in which experiments may be connected:
To actors. Project management should draw up a list of (potential) demands of all (potential) users that may be interested in the end-result of the experiment (cf. Dunn, 1994; Miser and Quade, 1985). This list may be part of the stakeholder analysis (See also 2.1: Actor analyses and stakeholder consultation). This list should include demands from direct users, but should also take into account the demands of more indirect users (e.g. political decision makers, government agencies or end users) ADDIN EN.CITE Kivisaari20041020cf. 102010205Kivisaari, SirkkuLovio, RaimoVyrynen, ErjaElzen, BoelieGeels, Frank W.Green, KenManaging experiments for transition: examples of societal embedding in energy and health care sectorsSystem Innovation and the Transition to Sustainability223-2502004CheltenhamEdward ElgarEnglish(cf. Kivisaari et al., 2004).
To new or ongoing developments. Project management and project members should be continuously aware of potential interfaces with other (innovation) experiments or developments (innovations, policies, trends, etc.) inside and outside the protected environment in which the experiment takes place. Whenever possible, project management should sound out possibilities to link the experiment with other activities and seek the active support and cooperation of stakeholders that are not involved in the project and achieve serendipity (cf. de Bruijn and ten Heuvelhof, 2008).
To the larger infrastructure system. An often-mentioned problem in innovation management is the so-called Valley of death. After innovative breakthroughs have been achieved, many innovations fail because they simply are too detached from their immediate environment (other technologies, preferences of users, manufacturers, etc.). Innovations that seek to achieve transitions could meet a similar fate. Project management should ensure that apart from the project goals, sufficient attention is paid to whether the experiment is embedded in a broader systemic design. Experiments should pay attention to the interfaces between the innovation and the institutional and technical environment. Project management can stimulate this focus through feasibility studies and by stressing the real-life application of the experiment (e.g. including a real-life experiment with end-users). These tests could lead to adjustments in the list of demands for the experiment and could thus lead to changes in the experimental design, or they could result in the necessity for changes in the environment.
3.4 Cross cutting issues
In addition to the abovementioned management issues, a number of practical recommendations can be provided that are of importance for the entire duration of the experiment:
Interaction. Project management should always be mindful of opportunities to increase the level of interaction between project members within the experiment as well as opportunities to interact with the wider environment. Although project managers should be careful to prevent interaction from becoming an end-goal of the experiment (and thereby wasting costly resources), interaction among project participants (and their environment) generally increases the possibilities for serendipity and creativity that may contribute to sustainable innovations.
Iteration during the experiment. Project management should ideally be committed to continuously monitor and address all the abovementioned management issues, through so-called reflexive experimentation ADDIN EN.CITE Canils20061047111047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(Canils and Romijn, 2006). In practice, the design should be used at least three times during the length of the experiment. However in practice as the experiment proceeds, the optimal network composition, required tasks and needed interactions that determine the relations between the project participants evolves and must be matched by the dynamical in the rules and procedures that project management employs to manage the experiment ADDIN EN.CITE Canils20061047121047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(Canils and Romijn, 2006).
Flexibility. Project management should consider the experiment as a cyclic process that alternatively facilitates variety and selection. Project goals can and should be adjusted in scale and scope along with this process. This means that project members should be allowed to challenge (long-held) assumptions or specific issues within projects. Project management should design procedures to determine when and based on what considerations the experiment can be changed (See also 2.2: Process rules).
4. Exploring Dilemmas in Multi-actor Governance Processes
When the abovementioned list of practical recommendations derived from state-of-the-art literature was constructed, it was found that much of the multi-actor governance literature emphasized recommendations that focussed on issues such as broadening support for experiments and second-order learning. However these prove anything but practical for those that have to manage these projects. For example, strategic niche management emphasized the need for coherent sets of experiments: parallel experimentation, the constant reformulation of product designs following evaluation and learning from failed experiments as conditions for niche management (Mourik and Raven, 2006:13). Similarly, Brown et al. (2003:295) more or less take the appropriate design of an experiment for granted, focusing on the possibilities to learn from experiments.
Both authors claim that this emphasis can be readily made as sufficient project management tools exist that enable practitioners to adequately set up experiments ADDIN EN.CITE Mourik200610571057105727Mourik, R.Raven, R.A practitioner's view on Strategic Niche Management1-37ECN-E--06-039strategic niche managementtransition managementtransition2006PettenEnergy research Centre of the NetherlandsECN-E-06-039English(Mourik and Raven, 2006). However, from the list of practical managerial recommendations, it could be argued that many project parameters are indeed affected by the demands that multi-governance literature place upon project management. In fact, inherent tensions may exist between the experimental goals at the operational level (i.e. first order learning) and experimental goals with regard to transition management perspective (i.e. second order learning). Especially as experiments in the Dutch TRANSUMO research program find themselves being subjected to stringent, project-based performance criteria (Avelino, 2009:372-373). We would argue that this tension between experimental project principles that guide day-to-day of project managers and the multi-actor governance requirements create dilemmas that are not so easily overcome as might be expected or assumed in literature and, more importantly, that choices that project managers or innovator make in order to reach first-order project experimental goals affect the outcomes. Failure to recognize these aspects may affect the way in which these experiments contribute to more sustainable transitions.
As a consequence of these issues, a number of dilemmas emerge from the compiled list that may require more detailed attention from experimental project managers regarding multi-actor governance processes. Based on state-of-the-art knowledge that has been formulated in practical recommendations, the following dilemmas emerge for project managers engaged in (transition) experiments:
For example, on the one hand, experiments should focus on second-order learning ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Brown and Vergragt, 2008, Brown et al., 2003), or reflexive experimentation ADDIN EN.CITE Hendriks200710731073107317Hendriks, Carolyn M.Grin, JohnContextualizing Reflexive Governance: the Politics of Dutch Transitions to SustainabilityJournal of Environmental Policy & PlanningJournal of Environmental Policy & Planning333 - 35093Transition managementgovernance20071523-908Xhttp://www.informaworld.com/10.1080/15239080701622790 EnglishJuly 31, 2008(Hendriks and Grin, 2007), but on the other hand their goals should also be formulated very concrete and measurable if any progress is to take place ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Mourik and Raven, 2006, Raven et al., 2007, Canils and Romijn, 2006). This requires a trade-off between project integrity and project flexibility. The desired predefined, unanimous, objectified agreement of stakeholders will most likely have a negative effect on creativity, serendipity, challenging assumptions and variety, which blossoms when second-order learning goals are left undefined and emerge from the process.
Secondly, experiments should involve all necessary stakeholders to ensure that innovations actually become successful ADDIN EN.CITE Raven2007986cf. 98698647Raven, Robvan den Bosch, SuzanneWeterings, RobTransitions and Strategic Niche Management: Towards a Competence Kit for Practitioners4th Dubrovnic Conference on Sustainable Development of Energy, Water and Environment Systemstransition management2007Dubrovnic, CroatiaKSI cdhttp://www.ksinetwork.nl/downs/output/publications/Strategic%20Niche%20Management%20and%20Transition%20Experiments%20FINAL%20_Raven%20Van%20den%20Bosch%20Weterings_.pdfEnglishKivisaari20041020102010205Kivisaari, SirkkuLovio, RaimoVyrynen, ErjaElzen, BoelieGeels, Frank W.Green, KenManaging experiments for transition: examples of societal embedding in energy and health care sectorsSystem Innovation and the Transition to Sustainability223-2502004CheltenhamEdward ElgarEnglish(cf. Raven et al., 2007, Kivisaari et al., 2004). However, on the other hand the experiments should be risky, daring and based on unconventional thoughts and therefore more or less shielded from the existing regimes of stakeholders ADDIN EN.CITE ADDIN EN.CITE.DATA (cf. Canils and Romijn, 2008, Ieromonachou et al., 2004, Brown et al., 2003). How can experiments be governed in safe, yet sufficiently hostile environments however remains a challenge ADDIN EN.CITE Elzen20041024:2931024102428Elzen, BoelieGeels, Frank W.Green, KenSystem Innovation and the Transition to Sustainability3152004CheltenhamEdward Elgar1-84376-683-3English(Elzen et al., 2004). And more importantly, what are the characteristics of these environments? How to prevent free-riding and the desire for transportation industry (large-scale) diffusion to other parts of the transport system. For example, a procedure like concept-certification may have a negative effect on the possibilities to disseminate the results. This dilemma gains added complexity as Brown et al. ADDIN EN.CITE Brown200312523121252125217Brown, H. S.Vergragt, P.Green, K.Berchicci, L.Learning for Sustainability Transition through Bounded Socio-technical Experiments in Personal MobilityTechnology Analysis and Strategic ManagementTechnology Analysis and Strategic Management291-3151532003http://www.ingentaconnect.com/content/routledg/ctas/2003/00000015/00000003/art00001http://dx.doi.org/10.1080/09537320310001601496English(2003) conclude that successful experiments gain from a sense of urgency in the form of failure, surprises, risk taking, public and media attention, and adverse events.
Third, inherent tensions may exist between the experimental goals at the operational level (i.e. first order learning) and experimental goals with regard to transition management perspective (i.e. second order learning). For example project time (first order goal) versus project quality (second order learning): the design recommendations claim that project managers should consult and incorporate as many different stakeholders as possible in the design and execution of the experiments as possible (de Bruijn and ten Heuvelhof, 2008:36-42), but also reach unanimous agreement on the various learning objectives of the experiment (Dunn, 1994; Miser and Quade, 1985) and the desire to keep experiments as simple as possible ADDIN EN.CITE Canils20061047111047104747Canils, MarjoleinRomijn, HennyStrategic Niche Management as an Operational Tool for Sustainable Innovation: Guidelines for PracticeSchumpeter Conference1-22 06.07strategic niche managementtransitiontransition managementInnovation200621-24 JuneNiceEindhoven Center for Innovation StudiesWorking Paperhttp://www.ou.nl/Docs/Faculteiten/MW/MW%20Working%20Papers/GR%2006-03%20Caniels%20en%20Romijn%20maart%202006.pdfEnglish(Canils and Romijn, 2006) is a continuous trade-off against time and resources that needs to be consciously managed.
What are project managers to do when their innovative experiment is about to fail and the only way to rescue it is to move outside the originally agreed upon design scope? How should project management navigate between the attitude necessary for learning openness to the idea of reassessing the problem definition driving the experiment, its objectives, approaches and tools used in its execution (Brown et al., 2003:295) and performance goals and creeping interests that grow as experiments gradually reach a more mature level? Do you go for a slightly converted version of the previous experiment that promises to deliver something within a reasonable timeframe or opt for a new project and breath of support? The larger the number of actors, the more difficult it is to create a (renewed) shared vision. Reaching shared goals, objectives, strategies, tools, interpretations of data and other key dimensions requires long negotiations and will inevitably cause long delay. What guidelines can be provided when dealing with conflicts between local experiment and regime management? Furthermore whose task is it to determine whether an innovation does have potential and could contribute to an overall transition? Who should decide on this and how is this to be decided?
5. Conclusions
The practical dilemmas and trade-offs that were raised are but a few of those possible that managers in charge of experiments in the face on a daily basis. These dilemmas demand continuous attention and conscious decision making processes from those that are engaged in the management of these experiments as well as those that monitor the goals of transition management experiments. However, this requires acknowledgement from the transportation field and efforts from managers in charge of experiments that seek to contribute to transitions. The impact of these necessary requirements that can be associated with the continuous balancing and trading off of various project goals has only been implied but not been seriously addressed until recently, and has been found to apply to the transport system (Avelino, 2009).
As was experienced in a study of the TRANSUMO research program, transition management can be a powerful concept, but practical barriers can easily influence the attainment of the second-order goals of transition management ADDIN EN.CITE Vo200914021402140217Vo, Jan-PeterSmith, AdrianGrin, JohnDesigning long-term policy: rethinking transition managementPolicy SciencesPolicy Sciences275-3024242009http://dx.doi.org/10.1007/s11077-009-9103-5(Vo et al., 2009). Many of the dilemmas outlined in this paper were identified in the Dutch TRANSUMO research program (Avelino, 2009:383). Although the goals of the research program are ambitious in nature, daily reality in the form of project management sees a definitive emphasis on first-order goals, rather than second order learning goals. It could be argued that mapping and identifying the dilemmas that were highlighted here could provide scholars more insight in multi-actor governance issues in transition management. Most literature that deals with methods and practical guidelines only displays roadmaps or provides elements that should be included in the experimental setups but fail to point out the problematic choices that managers face. These issues have so far been largely neglected in practice and managers in charge of transport experiments in the Netherlands could find additional information on dealing with potential dilemmas that need their continuous attention helpful. This would allow them to view transition management and the second-order goals in a more instrumental manner (Avelino, 2009:383), which in turn might heighten the chance of experiments conducted in the transportation industry contributing to a more sustainable future.
For those engaged in setting up sustainable transport policies the knowledge provided is perhaps not new, but a powerful reminder that existing institutional arrangements and the way in which policies are set up are in themselves powerful constraints that might (un)consciously restrain or even defeat the goals these policies seek. The mundane administrative and bureaucratic tools of accountability, representation that are present in large-scale sustainability programs can provide important hurdles for professionals engaged in the management of experiments. Furthermore, more efforts could and should be undertaken to support these managers and to train and educate these managers how to deal with the dilemmas and tradeoffs that were identified. This means going beyond prescriptive to-do lists but teaching managers how they can (and/or should) deal with these dilemmas and tradeoffs is of paramount importance if policy makers want to increase the chance that transitions are successfully managed.
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P.O. Box 5015, 2600 GA, The Netherlands, Correspondence fax and tele. Number, E: HYPERLINK "mailto:M.L.C.deBruijne@tudelft.nl" M.L.C.deBruijne@tudelft.nl
Correspondence address, fax and tele. No. and email
Correspondence address, fax and tele. No. and email
Correspondence address, fax and tele. No. and email
Previous versions of this article were presented at the 2008 TRANSUMO conference in Rotterdam and the 2009 IRSPM conference in Copenhagen. The authors would like to thank the participants and reviewers during the sessions for their useful comments.
See for some critical comments on this assumption: BERKHOUT, F., SMITH, A. and STIRLING, A. (2004) Socio-technological regimes and transition contexts. IN ELZEN, B., GEELS, F. W. and GREEN, K. (Eds.) System Innovation and the Transition to Sustainability: Theory, Evidence and Policy. Cheltenham, Edward Elgar, pp. 48-75.
It should be noted that ecological literature dealing with the management of change in complex systems similarly addresses the management of experiments. For example Lee, K.N. (1994), Compass and gyroscope, Integrating Science and Politics for the Environment, Island Press: Washington. Lee (1994) discusses the use of policy experimentation, by focussing on policies as experiments and seeking to understand the effects of human behavior in a systematic way. This method, called, adaptive management similarly addresses the management of experiments. However, by and large, the criticism that practical guidelines on how to conduct these experiments are lacking applies in this field as well.
This clustering was used in practice in the TRANSUMO Rush Hour Avoidance project in which some of the authors (Joop Koppenjan and Odette van de Riet) were engaged (see HYPERLINK "http://www.spitsmijden.nl" www.spitsmijden.nl).
The authors would like to thank the reviewers for their comments which helped identify and illustrate some of these dilemmas and trade-offs.
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De Druijne, Van de Riet, De Haan and Koppenjan
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