可持续转型研究是一个发展迅速的新领域,旨在解释社会-技术系统转型如何发生以及如何治理,其理论影响日益显著。然而,当前实践表明,以能源、交通为代表的系统转型进程依然相当缓慢,因此厘清转型进程中的阻力具有重要意义。归纳分析系统转型的基本要求以及转型动态过程和机制,从产业结构、基础设施、知识基础、市场和消费需求结构、公共政策与政治力量及社会认知6个方面分析社会-技术系统中现行非持续体制,对新的可持续技术利基发展和转型进程构成阻力。在现行技术体制稳定情况下,加速转型进程必须扶持技术利基成长,从防护、培育、赋能3个方面建立和强化利基保护空间功能,突破体制路径依赖。最后,从“谁治理、治理什么、如何治理”3个问题切入,提出在利基保护空间动态发展过程中,政策制定者需要以治理思维推进其战略管理。
Sustainability Transition Research appears as a rapidly growing and influential academic field.The literature aims to explain how transitions unfold and how to govern them.However,the transition practices of the systems such as energy and transportation are proved to be remain very slowly.It is theoretically important to address the resistances of transition.Based on the review of the basic needs,dynamic process and mechanics of transitions,this paper discusses tremendous resistances to sustainable technological niches from the prevailing unsustainable socio-technical regimes in six aspects.In order to speed up the transition process,it is vital to build and strengthen the functions of niche protective spaces in terms of shielding,nursing and empowering for backing up the growth of path -breaking technological niches.What more important is that the policy-makers should insist in the thought of governance during the strategic management of dynamics of niche protective spaces.This argument is addressed with three questions: Who governs? What is governed? and How to govern?
[1] UNRUH G C.Understanding carbon lock in [J].Energy Policy,2000,28: 817-830.
[2] MARKARD J,RAVEN R,TRUFFER B.Sustainability transitions: an emerging field of research and its prospects [J].Research Policy,2012,41: 955-967.
[3] KHLER J,et al.An agenda for sustainability transitions research: state of the art and future directions [J].Environmental Innovation and Societal Transitions,2019.https://doi.org/10.1016/j.eist.2019-01-004.
[4] SCHOT J, GEELS F.Strategic niche management and sustainable innovation journeys: theory,findings,research agenda,and policy [J].Technology Analysis & Strategic Management,2008,20(5): 537-554.
[5] TUKKER A,BUTTER M.Governance of sustainable transitions: about the 4(0) ways to change the world[J].Journal of Cleaner Production,2007 (15):94-103.
[6] 陈卓淳,姚遂,中国电力系统低碳转型的路径探析——基于社会技术转型思路[J].中国人口·资源与环境,2012,22(2): 62-68.
[7] 吕涛,王春玲,王飞,社会-技术系统转型理论及其在能源系统转型中的应用[J].中国科技论坛,2015(10 ): 109-114.
[8] 陈卓淳.可持续转型理论中利基研究新进展[J].科技进步与对策,2016(1):156-160.
[9] 陈卓淳,徐长生.技术利基与社会-技术系统转型模式研究——以德国海上风电(1993- 2016)为例[J].中国科技论,2018(5):180-187.
[10] SMITH A VOB,JAN-PETER,GRIN J.Innovation studies and sustainability transitions:the allure of the multi-level perspective and its challenges[J].Research Policy,2010,39 (4):435-448.
[11] SMITH A,RAVEN R.What is protective space? reconsidering niches in transitions to sustainability [J].Research Policy,2012,41 (6): 1025-1036.
[12] WELLS P,NIEUWENHUIS P.Transition failure: understanding continuity in the automotive industry [J].Technological Forecasting & Social Change,2012,79: 1681-1692.
[13] DIMAGGIO P,POWELL W.The iron cage revisited.institutional isomorphism and collective rationality in organizational fields[J].Am.Sociol.Rev,1983,48: 147-160.
[14] KORHONEN H,KAARELA I.Corporate customers' resistance to industrial service innovation[J].Int.J.Innov.Manag,2010,15 (3): 479-503.
[15] PURKUS A,GAWEL E,THRN D.Addressing uncertainty in decarbonisation policy mixes-lessons learned from German and European bioenergy policy [J].Energy Research & Social Science,2017,33: 82-94.
[16] HOWLETT M,RAYNER J.Patching vs packaging in policy formulation: assessing policy portfolio design[J].Politics Gov,2013,1 (2): 170-182.
[17] KERNA F,KIVIMAA P,MARTISKAINENA M.Policy packaging or policy patching? the development of complex energy efficiency policy mixes[J].Energy Research & Social Science,2017,23: 11-25.
[18] 陈卓淳.“失灵”思路下可再生能源技术扩散的阻碍因素分析[J].科技进步与对策,2018,35(10): 115-120.
[19] VERHEES B,et al.The role of policy in shielding,nurturing and enabling off-shore wind in the Netherlands (1973-2013) [J].Renewable and Sustainable Energy Reviews,2015,47:816-829.
[20] DAVID M.Moving beyond the heuristic of creative destruction: targeting exnovation with policy mixes for energy transitions[J].Energy Research & Social Science,2017,33: 138-146.
[21] MEADOWCROFT J.Who is in charge here? governance for sustainable development in a complex world [J].Journal of Environmental Policy & Planning,2007,9: 299-314.
[22] HANSEN T,COENENL.The geography of sustainability transitions:review,synthesis and reflections on an emergent research field.Environ [J].Innov.Soc.Transit.,2015,17: 92-109.
[23] LOORBACH D.Transition management: new mode of governance for sustainable development [M].International Books,Utrecht,2007.
[24] KUNGL G,GEELS F.Sequence and alignment of external pressures in industry destabilisation.understanding the downfall of incumbent utilities in the German energy transition (1998-2015) [J].Environ.Innov.Soc.Transit,2018,26: 78-100.
[25] ROGGE K,REICHARDT K.Policy mixes for sustainability transitions: an extended concept and framework for analysis [J].Res Policy,2016,45:1620-35.
[26] MAGRO E,WILSON J.Policy-mix evaluation: governance challenges from new place-based innovation policies[J].Research Policy,2018.https://doi.org/10.1016/j.respol.2018.06.010.