社会-技术转型多层级视角:形成背景、理论渊源及构成框架
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摘要
近年来逐步形成和发展起来的社会-技术转型理论成为解决环境与社会可持续发展问题的主导性理论,并形成了多个理论分支。作为其分支之一的社会-技术转型多层级视角理论,以整个系统为分析对象,将社会、政治、文化等因素纳入分析框架,强调通过宏观、中观和微观三个层级之间动态、非均衡的协同演化,推动系统整体的变革与创新,成为当前理解和推动可持续发展的主流分析框架。为了系统把握这一理论内涵,本文讨论了社会-技术转型多层级视角的形成背景,从演化经济学、创新社会学、制度理论等多学科角度探讨其理论渊源,系统分析宏观、中观和微观三个层级的构成及特点。在此基础上,进一步探讨通过上述三个层级之间动态的非线性相互作用推动可持续转型的演进过程、阶段特点及表现形式,以期丰富系统创新、可持续发展等的理论成果。
The socio-technical transition theory that has been gradually formed and developed in recent years has become the dominant theory for solving the problem of sustainable development,and formed a number of theoretical branches. As one of the branches,socialtechnical transition multi-level perspective was becoming mainstream analytical framework for understanding and promoting sustainable development. It took the entire social-technical system as the object of analysis and incorporated social,political,cultural factors into the analytical framework,and it emphasized to promote the transition and innovation of the social-technical system by the dynamic and unbalanced co-evolution between the macro,meso and micro levels. In order to grasp its connotation systematically to promote the sustainable transformation and development of large-scale social-technical systems effectively,this paper discussed the formation background of the multi-level perspective of socio-technical transition,and analyzed the theoretical sources from multidisciplinary perspective. In addition,we analyzed the composition and characteristics of the macro-,meso-and micro-levels of social-technical system. And then,we further explored the dynamic evolution process of sustainable transition by nonlinear interaction of three levels and their characteristics to enrich the theoretical achievements of system innovation and sustainable development.
The socio-technical transition theory that has been gradually formed and developed in recent years has become the dominant theory for solving the problem of sustainable development,and formed a number of theoretical branches. As one of the branches,socialtechnical transition multi-level perspective was becoming mainstream analytical framework for understanding and promoting sustainable development. It took the entire social-technical system as the object of analysis and incorporated social,political,cultural factors into the analytical framework,and it emphasized to promote the transition and innovation of the social-technical system by the dynamic and unbalanced co-evolution between the macro,meso and micro levels. In order to grasp its connotation systematically to promote the sustainable transformation and development of large-scale social-technical systems effectively,this paper discussed the formation background of the multi-level perspective of socio-technical transition,and analyzed the theoretical sources from multidisciplinary perspective. In addition,we analyzed the composition and characteristics of the macro-,meso-and micro-levels of social-technical system. And then,we further explored the dynamic evolution process of sustainable transition by nonlinear interaction of three levels and their characteristics to enrich the theoretical achievements of system innovation and sustainable development.
引文
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[22]POWELL W,DIMAGGIO P. The new institutionalism in organizational analysis[M]. Chicago:The University of Chicago Press,1991.
[23]LEVY D L,EGAN D. A neo-gramscian approach to corporate political strategy:conflict and accommodation in the climate change negotiations[J].Journal of management studies,2003,40(4):803-30.
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[29]GEELS F W. Technological transitions and system innovations:a co-evolutionary and socio-technical analysis[M]. Cheltenham:Edward Elgar,2005.
[30]MOKYR J. The lever of riches:technological creativity and economic progress[M].New York:Oxford University Press,1990.
[31]NELSON R R,WINTER S G. An evolutionary theory of economic change[M].Cambridge(Mass):Belknap Press,1982.
[32]SCHOT J W,GEELS F W. Niches in evolutionary theories of technical change:a critical survey of the literature[J].Journal of evolutionary economics,2007,17(5):605-622.
[33]DOSI G. Technological paradigms and technological trajectories:a suggested interpretation of the determinants and directions of technical change[J].Research policy,1982,6(3):147-162.
[34]GEELS F W. Regime resistance against low-carbon energy transitions:introducing politics and power in the multi-level perspective[J].Theory,culture&society,2014,31(5):21-40.
[35]GEELS F W. Disruption and low-carbon system transformation:progress and new challenges in socio-technical transitions research and the multi-level perspective[J].Energy research&social science,2018,37:224-231.
[36]VAN DRIEL H,SCHOT J. Radical innovation as a multi-level process:introducing floating grain elevators in the port of Rotterdam[J].Technology and culture,2005,46(1):51-76.
[37]WILSON C,GRBLER A. Lessons from the history of technology for clean energy scenarios and policies[J].Natural resources forum,2011,35:165-184.
[38]NESTA. Systems innovation[R].London:International Innovation Foundation Based in the UK,2013.
[39]CHRISTENSEN C M,KAUFMAN S P,SHIH W C. Innovation killers:How financial tools destroy our capacity to do new things[J].Harvard business review,2008,86(1):98-105.
[40]LIE M,SRENSEN K H. Making technology our own:domesticating technology into everyday life[M]. Oslo:Scandinavian University Press,1996.
[41]GEELS F W,VERHEES B. Cultural legitimacy and framing struggles in innovation journeys:a cultural-performative perspective and a case study of Dutch nuclear energy(1945—1986)[J].Technological forecasting&social change,2011,78(6):910-930.
[2]ROTMANS J,KEMP R,VAN ASSELT M. More evolution than revolution:transition management in public policy[J]. Foresight,2001,3(1):15-31.
[3]LOORBACH D. Transition management for sustainable development:a prescriptive,complexity-based governance framework[J].Governance,2010,23(1):161-183.
[4]RAVEN R. Transitions and strategic niche management:towards a competence kit for practi-tioners[J].International journal of technology management,2010,51(1):57-74.
[5]GEELS F W. Technological transitions as evolutionary reconfiguration processes:a multi-level perspective and a case-study[J].Research policy,2002,31(8-9):1257-1274.
[6]SMITH A,VOB J P,GRIN J. Innovation studies and sustainability transitions:the allure of a multi-level perspective and its challenges[J].Research policy,2010,39(4):435-448.
[7]ROTMANS J. Transitions&transition management[R].Transitions and Transition management for the 4th National Environmental Policy Plan(NMP-4)of the Netherlands,ICIS&MERIT,Maastricht,2000.
[8]LOORBACH D. Transition management:new mode of governance for sustainable development[M]. Utrecht:International Books,2007.
[9]KEMP R,ROTMANS J,LOORBACH D. Assessing the Dutch energy transition policy:How does it deal with dilemmas of managing transitions[J].Journal of environmental policy&planning,2007,9(3-4):315-331.
[10]HOOGMA R,KEMP R,SCHOT J. Experimenting for sustainable transport:the approach of strategic niche management[M].London:Spon Press,2002.
[11]SCHOT J W,GEELS F W. Strategic niche management and sustainable innovation journeys:theory,findings,research agenda and policy[J].Technology analysis&strategic management,2008,20(5):537-554.
[12]GEELS F W. From sectoral systems of innovation to socio-technical systems:insights about dynamics and change from sociology and institutional theory[J].Research policy,2004,33(6-7):897-920.
[13]GEELS F W,SOVACOOL B K,SCHWANEN T,et al. Sociotechnical transitions for deep decarbonization[J].Science,2017,357(6357):1242-1244.
[14]GEELS F W,SCHOT J W. Typology of sociotechnical transition pathways[J].Research policy,2007,36(3):399-417.
[15]GEELS F W. Ontologies,socio-technical transitions(to sustainability),and the multi-level perspective[J].Research policy,2010,39(4):495-510.
[16]UNRUH G C. Understanding carbon lock-in[J].Energy policy,2000,28(12):817-830.
[17]WALKER W. Entrapment in large technology systems:institutional commitments and power relations[J].Research policy,2000,29(7-8):833-846.
[18]SCHUMPETER J A. Business cycles:a theoretical,historical and statistical analysis of the capitalist process[M]. New York:McGraw-Hill,1939.
[19]CHRISTENSEN C. The innovator's dilemma:When new technologies cause great firms to fail[M].Boston:Harvard Business School Press,1997.
[20]DEUTEN J J,RIP A,JELSMA J. Societal embedding and product creation management[J].Technology analysis&strategic management,1997,9(2):131-148.
[21]BIJKER W E,HUGHES T P,PINCH T,et al. The social construction of technological systems:new directions in the sociology and history of technology[M].Cambridge,Massachusetts:The MIT Press,1987.
[22]POWELL W,DIMAGGIO P. The new institutionalism in organizational analysis[M]. Chicago:The University of Chicago Press,1991.
[23]LEVY D L,EGAN D. A neo-gramscian approach to corporate political strategy:conflict and accommodation in the climate change negotiations[J].Journal of management studies,2003,40(4):803-30.
[24]KERN F. Ideas,institutions and interests:explaining policy divergence in fostering‘system innovations’towards sustainability[J].Environment and planning C:government and policy,2011,29(6):1116-1134.
[25]LOCKWOOD M,KUZEMKO C,MITCHELL C,et al. Historical institutionalism and the politics of sustainable energy transitions:a research agenda[J].Environment and planning C,2017,35(2):312-333.
[26]BATTILANA J,LECA B,BOXENHAUM E. How actors change institutions:towards a theory of institutional entrepreneurship[J].The academy of management annals,2009,3(1):65-107.
[27]SCOTT W R. Institutions and organizations[M].Thousand Oaks,CA:Sage publications,1995.
[28]RIP A,KEMP R. Technological change[M]//RAYNER S,MALONE E L.Human choice and climate change.Columbus,Ohio:Battelle Press,1998.
[29]GEELS F W. Technological transitions and system innovations:a co-evolutionary and socio-technical analysis[M]. Cheltenham:Edward Elgar,2005.
[30]MOKYR J. The lever of riches:technological creativity and economic progress[M].New York:Oxford University Press,1990.
[31]NELSON R R,WINTER S G. An evolutionary theory of economic change[M].Cambridge(Mass):Belknap Press,1982.
[32]SCHOT J W,GEELS F W. Niches in evolutionary theories of technical change:a critical survey of the literature[J].Journal of evolutionary economics,2007,17(5):605-622.
[33]DOSI G. Technological paradigms and technological trajectories:a suggested interpretation of the determinants and directions of technical change[J].Research policy,1982,6(3):147-162.
[34]GEELS F W. Regime resistance against low-carbon energy transitions:introducing politics and power in the multi-level perspective[J].Theory,culture&society,2014,31(5):21-40.
[35]GEELS F W. Disruption and low-carbon system transformation:progress and new challenges in socio-technical transitions research and the multi-level perspective[J].Energy research&social science,2018,37:224-231.
[36]VAN DRIEL H,SCHOT J. Radical innovation as a multi-level process:introducing floating grain elevators in the port of Rotterdam[J].Technology and culture,2005,46(1):51-76.
[37]WILSON C,GRBLER A. Lessons from the history of technology for clean energy scenarios and policies[J].Natural resources forum,2011,35:165-184.
[38]NESTA. Systems innovation[R].London:International Innovation Foundation Based in the UK,2013.
[39]CHRISTENSEN C M,KAUFMAN S P,SHIH W C. Innovation killers:How financial tools destroy our capacity to do new things[J].Harvard business review,2008,86(1):98-105.
[40]LIE M,SRENSEN K H. Making technology our own:domesticating technology into everyday life[M]. Oslo:Scandinavian University Press,1996.
[41]GEELS F W,VERHEES B. Cultural legitimacy and framing struggles in innovation journeys:a cultural-performative perspective and a case study of Dutch nuclear energy(1945—1986)[J].Technological forecasting&social change,2011,78(6):910-930.