[Vol.5_COLUMN_EN] Major Theories in Sustainability Transition Research
In the Transition Design Note series by Ohashi Lab, we have introduced the evolution and characteristics of Sustainability Transitions as an academic field. This column article explains the major theories for understanding Sustainability Transitions. These theories have been widely utilized in various studies, institutional and policy designs, and projects as frameworks that allow for a systematic understanding of society as a whole and provide perspectives to promote fundamental transformation.
Sustainability Transition research has evolved through the overlap of various research domains, with a particular foundation in innovation studies. This field explores how new technologies and social practices are integrated into existing systems and has advanced the development and application of frameworks to facilitate societal transitions toward achieving a sustainable society. In this article, we will delve into five representative theories, detailing their history and background, researchers, and characteristics, while providing concrete examples to examine their significance.
1. Multi-Level Perspective (MLP): Understanding Social Systems in Three Levels
History and Background
The Multi-Level Perspective (MLP) was proposed by Frank W. Geels in 2002 within the field of Technological Transitions research. This theory is based on the idea that the diffusion of innovation is not merely a technological change but is deeply intertwined with social, economic, and cultural transformations. Geels’ research focused on analyzing how technological innovations reshape existing social systems.
Features of the Theory
MLP explained the transformation of social systems through three levels: “Niches (new technologies and experiments)”, “Regimes (existing systems and norms)”, and “Landscapes (broad external changes)”.
Niches: A space where innovative technologies and ideas emerge and are experimented. At this early stage, they are fragile and require special support and protection.
Regimes: The existing structures that constitute the mainstream of society. These are bundles of rules that govern the actions of various actors, maintaining stability while strongly resisting transformation.
Landscapes: Broad economic, cultural, and environmental changes. These shifts influence the entire system and are difficult to control directly.
Example
The transition from horse-drawn carriages to automobiles in the late 19th century is a typical example of MLP. Automobiles (Niches) were initially limited to the wealthy, but with technological advancements and Ford's mass production methods, the transportation regime centered on horse-drawn carriages began to change. Simultaneously, urbanization and road development (Landscapes) accelerated this transformation.
The Value of the Theory
MLP serves as a tool for providing a comprehensive view of system-wide transformation and identifying the levels where interventions are needed. It has been applied to contemporary challenges such as energy system transitions and addressing climate change.
2. Transition Management (TM): Mapping Long-Term Pathways of Transformation
History and Background
Transition Management (TM) was proposed in 2001 by Jan Rotmans and his collaborators in the Netherlands. This theory has been practically applied, particularly in Dutch energy and climate policies. It has been developed as a methodology to support transitions toward a sustainable society from a long-term perspective. Rotmans emphasized the role of stakeholders in systemic transformation and the importance of experimental approaches.
Features of the Theory
TM is a framework for sharing visions of the future and advancing transformation systematically and step by step toward their realization. The following three key characteristics are highlighted:
Long-term perspective: Planning on a scale of decades to achieve sustainability across societal systems.
Experimental approach: Through small-scale experiments, continuous learning is fostered while exploring realistic solutions.
Flexibility and feedback: Adjusting plans in response to societal changes.
Example
In the Netherlands' "Energy Transition Policy," TM played a crucial role. The government, businesses, researchers, and citizens collaborated to advance the transition to renewable energy gradually, aiming to achieve carbon neutrality by 2050. This initiative is a successful example of combining long-term goal setting with short-term experimentation.
The Value of the Theory
TM provides a methodology for translating long-term goals into concrete actionable plans. It enables a strategic and sustainable approach to addressing societal challenges that cannot be resolved by focusing solely on short-term outcomes.
3. Strategic Niche Management (SNM): Providing a Space to Foster Innovation
History and Background
Strategic Niche Management (SNM) was proposed in the 1990s by Johan Schot and René Kemp. This theory emerged from research on how new technologies and practices are integrated into existing systems. It has evolved as a methodology to support the early stages of emerging technologies until they are accepted in markets and society.
Features of the Theory
SNM supports the process until innovative technologies and initiatives (Niches) are integrated into existing social systems (Regimes), focusing on the following approaches:
Providing a protected space: Avoiding conflicts in the early stages and enabling experimental implementation of new technologies and practices.
Promoting social acceptance: Emphasizing processes to increase recognition and gain support in markets and society.
Learning and feedback: Identifying problems through experimentation and continuously improving solutions.
Example
The early adoption of electric vehicles (EVs) is a successful example of SNM. Policy subsidies and the development of dedicated infrastructure served as support to enhance competitiveness in the market. Additionally, pilot projects helped shift consumer perceptions, and EVs have become a part of major markets.
The Value of the Theory
SNM supports the process of innovation gaining acceptance in society. It is an indispensable framework for technological innovations, especially during the early stages when support is required.
4. Technological Innovation System (TIS): Building Structures to Support Technology Diffusion
History and Background
Technological Innovation System (TIS) was proposed in 1991 by Swedish researchers, Bo Carlsson and Rikard Stankiewicz. It is defined as a system including actors, networks, and institutions that contribute to the functionality of technology development, diffusion, and utilization. This framework serves as a tool for understanding the progress of technological innovation and analyzing its dynamics.
Subsequent research by Anna Bergek and Mark Hekkert advanced the analysis of TIS through the concept of "Seven Functions." This development has enabled policymakers to evaluate system performance and identify problems, making TIS a practical framework for application. The methodology clarifies the factors contributing to technological innovation's success and facilitates goal-setting.
In this article, the seven functions of TIS are simplified into four components— ”Legislation”, “Financial Support”, “Network-building”, and “Market Formation”—by integrating closely related elements to enhance applicability in policy-making and practical implementation. These four categories are introduced below.
Features of the Theory
TIS aims to create the necessary ecosystem for new technologies to gain societal acceptance. Specifically, it focuses on the following elements:
Legislation: Measures such as deregulation to support technological innovation and remove market barriers.
Financial support: Investments to support research and development in the early stages and facilitate market introduction.
Network-building: Collaboration to share knowledge and resources among researchers, companies, and government agencies.
Market formation: Developing market environments to promote the diffusion of new technologies and building systems to support early adopters.
The interaction of these elements establishes the conditions necessary for new technologies to gain competitiveness and achieve widespread adoption in society.
Example
The adoption of renewable energy technologies, particularly wind power, is a successful example of TIS. In Denmark, following the oil crisis of the 1970s, policies to promote wind power were established. These efforts included government subsidies, investments in research and development, and the building of networks among domestic and international experts and companies. Additionally, the deregulation of the electricity market facilitated the diffusion of new technologies. By creating such an ecosystem, Denmark has become a global leader in wind power generation.
The Value of the Theory
TIS is crucial not only for the success of technological innovation but also for advancing societal transitions as a whole. The barriers to technology adoption often stem not only from performance or market value issues but also from institutional obstacles and a lack of societal acceptance. TIS addresses these challenges and supports new technologies in transforming existing systems. Its role is particularly indispensable in large-scale transformations, such as energy system transitions and sustainable urban development.
5. Social Practice Approach (SPA): Nurturing the Power to Change Everyday Behaviors
History and Background
Social Practice Approach (SPA) is rooted in Social Practice Theory (SPT). Its origins trace back to theories by Marlyne Sahakian (1996) and Andreas Reckwitz (2002), later developed by Elizabeth Shove and Mika Pantzar (2005), with a particular focus on applications in sustainability and consumption behaviors.
Features of the Theory
SPA is a methodology that focuses on people's everyday behaviors and habits to promote social transformation. It understands and promotes transformation by focusing on the following perspectives:
Contextual understanding of behavior: Understanding individual actions within the cultural and social norms that shape them.
Habit transformation: Achieving system-wide transformation by embedding new behaviors into everyday life.
Integration of technology and behavior: Aligning behavioral changes with technological innovation to ensure its acceptance in society.
Example
In disaster prevention, initiatives where residents regularly participate in evacuation drills are a successful example of SPA. When such drills are perceived not as "special events" but as “a part of daily life,” the community's ability to respond effectively to disasters improves.
The Value of the Theory
Achieving societal transformation requires changes in everyday behaviors in addition to technological and institutional advancements. SPA provides concrete methods to facilitate these necessary behavioral changes.
Summary: The Relationship Between the Five Frameworks and the Next Steps
Sustainability transition research, grounded in these theories, provides pathways to envisioning a sustainable future. Frameworks such as MLP and TM help to take a systemic and long-term approach, while SNM and SPA offer perspectives that concretely support technological innovation and individual behavioral change.
These frameworks complement each other and provide a multifaceted approach to the complex transition process. Their roles are interconnected as follows:
MLP outlines the overall transformation and provides an overview of system interactions.
TM designs long-term visions and fosters collaboration among stakeholders.
SNM supports the early stages of nurturing innovation.
TIS builds structures that facilitate the diffusion of technologies.
SPA embeds societal transformation through changes in everyday behavior.
By combining these frameworks, comprehensive and practical approaches to addressing complex societal challenges become possible. Additionally, these frameworks provide a systematic pathway for building a sustainable future. However, theory alone is insufficient. The next crucial step is to develop methodologies that demonstrate how these theories can be implemented.
One of the authors of this article who graduated from a law school in Thailand and has experience as a Thai civil servant has a particular interest in TIS (the structures supporting technology diffusion) and SPA (the power of societal engagement). Legal frameworks serve as the foundation for supporting technological innovation and are essential for the widespread adoption of new technologies. However, no matter how well technologies and policies are established, a sustainable future cannot be achieved unless they are integrated into everyday life and society as a whole. For this reason, SPA’s role in promoting societal behavioral change is highlighted alongside the importance of legislation.
In the next article, we will explore "Transition Design," a methodology developed primarily by design and social science researchers at Carnegie Mellon University in the United States. This approach proposes steps and mindsets for practically applying transition frameworks as a new design methodology. Stay tuned!
Authors：
Authors：
Ampam Laosunthara, Shuta Murayama
Editors：
Hiromi Kimoto, Yutaka Osaki
Institute of Science Tokyo, School of Environment and Society, Ohashi Laboratory
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