Institut für Höhere Studien (IHS), Wien Institute for Advanced Studies

Transcription

Institut für Höhere Studien (IHS), Wien
Institute for Advanced Studies, Vienna
Projektbericht
The Austrian Innovation System
Recommendations for
Science and Technology Policies
Final Report
Volume 6
Karl H. Müller
11
The Austrian Innovation System
Recommendations for
Science and Technology Policy
Prof. Bernhard Felderer (Director, IHS)
Karl H. Müller (Project-Coordinator, IHS)
Beate Littig, Christoph Hofinger(IHS)
in Collaboration with
Peter Biegelbauer (IHS/MIT)
Prof. Günter Haag (University of Stuttgart)
Richard Költringer (Institute for Panel-Research, IPR)
Partial Final Report
Volume 6
Study for the Federal Ministry of Science, Transport and the Arts and the OECD
September 1996
Institut für Höhere Studien
Stumpergasse 56, A-1060 Wien
Fax: +43/1/597 06 35
Karl H. Müller
Phone: +43/1/599 91-212
e-mail: [email protected]
Beate Littig
Phone: +43/1/599 91-215
Christoph Hofinger
Phone: +43/1/599 91-219
Institut für Höhere Studien (IHS), Wien
Institute for Advanced Studies, Vienna
12
Work Paper
Not to Be Quoted without Permission by the Author.
13
THE IHS-PROJECT TEAM
The IHS-Group:
Prof. Bernhard Felderer, Director of the IHS
Karl H. Müller: Project-Coordinator
Research Tasks: Theoretical and Methodological Background; Specification of Historical Development Patterns; Integration of NIS-Data
with Complex, Dynamic Models; Recommendations for Science and Technology Policies; Coordination of the Overall Project-Designs,
Author of the Interim Reports and of the Final Reports, etc.
Christoph Hofinger: Research Assistant
Research Tasks: Coordination of the Data; Data Bank Management; Co-worker for the Survey-Design; Data Search etc.
Beate Littig: Research Assistant
Research Tasks: Coordination of the Full Investigation for Intermediary Institutions; Co-worker for the Survey-Design; Expert Interviews,
etc.
National Cooperation:
Richard Költringer (Institute for Panel-Research, Vienna): Austrian Survey of Innovation and Transfer
Friedrich Tobil: Internet Research on Innovation and Technology Policies
Thomas Ullrich (Compass, Vienna): Graphical Design
International Cooperation:
Prof. Günter Haag (Department of Physics, University of Stuttgart): Complex Modeling
Peter Biegelbauer (Political Science Department, MIT/IHS): Institutional Analysis
National Project-Management: Federal Ministry for Science, Transport and the Arts:
Norbert Rozsenich, Head of Section II (Research and Technology)
Eva Schmitzer, Head of the Department for Technology Policy II/8
OECD-Project Management:
Prof. Dominique Foray (CNRS)
Jean Guinet (OECD)
National Advisory Members:
Karl Messmann, Head of the R&D Department (Central Austrian Statistical Office)
Reinhard Schurawitzki, Department for Basic Research Policy (Federal Ministry for Science, Transport and the Arts)
Prof. Gunter Tichy (Academy of Sciences)
International Advisory Members:
Prof. Karin Knorr-Cetina (University of Bielefeld)
Prof. Michael Gibbons (SPRU, University of Sussex)
Prof. Bruno Latour (CIS, Paris)
Prof. Helga Nowotny (ETH Zürich, University of Vienna)
Prof. Klaus G. Troitzsch (University of Koblenz)
Prof. Björn Wittrock (SCASSS, Uppsala)
Prof. Wolfgang Zapf (Science Center, Berlin)
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Institut für Höhere Studien
Institute for Advanced Studies
Stumpergasse 56
A-1060 Vienna
Austria
Phone: +43-1-599 91-216
Fax: +43-1-597 06
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TABLE OF CONTENTS1
0:
A COGNITIVE MAP FOR VOLUME VI
11
PART I:
POLICY BACKGROUND: NATIONAL AND INTERNATIONAL
AGENDA FOR RESTRUCTURING NATIONAL
INNOVATION SYSTEMS
15
SUMMARY FOR PART I
16
1.
SECTION I: SCIENCE AND TECHNOLOGY
PROGRAMS IN AUSTRIA
SECTION II: INTERNATIONAL REFORM PROGRAMS
FOR NATIONAL INNOVATION SYSTEMS
SECTION III: SCIENCE AND TECHNOLOGY PROGRAMS AN EPIGENETIC COMPARISON
2.
3.
PART II:
1.
1.1
1.2
1.3
1
17
25
41
POLICY PROGRAMS FOR THE
AUSTRIAN INNOVATION SYSTEM
SUMMARY FOR PART II
SECTION I: ‘‘STEERING’’ AND ‘‘CONTROL’’ IN
LARGE-SCALE EPIGENETIC SYSTEMS
CONCEPTUAL PRE-REQUIREMENTS FOR THE
ANALYSIS OF REFORM PROGRAMS
THE EPIGENETIC BASICS OF COORDINATION
AND DISTURBANCE
MAIN PRINCIPLES OF EPIGENETIC POLICIES
The present report has been produced by Karl H. Müller.
16
48
51
52
59
87
2 .
2.1.
2.2.
2.3.
PART III:
BASIC SCIENCE AND TECHNOLOGY PROGRAMS
FOR THE AUSTRIAN INNOVATION SYSTEM
BASIC STS-POLICY RECOMMENDATIONS WITHIN
THE EPIGENETIC FRAMEWORK
POLICY MEASURES FOR THE NIS-DISTRIBUTION POWER
ACROSS THE AUSTRIAN IS III ENSEMBLE
POLICY MEASURES FOR THE NIS-ENSEMBLE POWER
ACROSS THE AUSTRIAN IS III SETTING
105
106
120
132
FINAL OUTLOOKS: THE POTENTIAL FOR MONITORING
AND SELF-REFLEXIVITY WITHIN THE AUSTRIAN
INNOVATION SYSTEM
1.
2.
3 .
4.
PART IV:
INTRODUCTORY REMARKS
SELF-REFLEXIVITY: PRELIMINARY REQUIRMENTS
NECESSARY COGNITIVE INFRA-STRUCTURES
SELF-REFLEXIVITY IN NIS- RESEARCH:
A CONCLUDING VIEW ON THE OVERALL IHS-PROJECT
145
147
149
BIBLIOGRAPHY
157
17
154
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FINAL REPORTS
Within the OECD-project on National Innovation Systems it has been the intention on part of the IHS to enhance the process of
co-operation and communication by producing a comprehensive set of final reports which highlight the theoretical foundations,
the modeling background as well as the empirical analyses for a major part of the overall Austrian contribution to the NIS
2
project. According to the IHS workplan, the final report has been divided into eight separate volumes.
VOLUME 0:
SCOPE OF THE PROJECT.
Central Topics:
Separation into Major Areas and
Content Distribution.
VOLUME I:
A NEW EPIGENETIC FRAMEWORK.
Central Topics:
Theoretical Background: Evolution,
‘‘Embedded Code Systems’’, the
Multiple Constitution of NIS.
VOLUME II:
HISTORY AND METHODOLOGY.
Central Topics:
A Co-Evolutionary Historical Framework.
Overall Methodology: Systems
and Utilization Contexts.
VOLUME III:
INSTITUTIONAL ANALYSES: INTERMEDIATE
NIS-ORGANIZATIONS AND NIS-CASE STUDIES:
Central Topics:
Selected Components of the
Intermediate Institutional Network
Case Studies of the Austrian IS.
VOLUME IV:
THE AUSTRIAN INNOVATION SYSTEM: BASIC DIMENSIONS
AND EMPIRICAL PATTERNS: AN INDICATOR SYSTEM
BASED ON THE AUSTRIAN SURVEY OF INNOVATION
AND TRANSFER (ASIT)
Central Topics:
A Comprehensive Picture of the Austrian
System of Knowledge Production, Transfers,
and Innovations.
VOLUME V:
COMPLEX MODELING WITH NIS-DATA.
Central Topics:
The Multiple Constitution and ‘‘Building
Blocks’’ for NIS;
The Use of NIS-Data for Complex Types
of Innovation and Diffusion Models:
Neural Networks and Master-Equations.
VOLUME VI:
POLICY IMPLICATIONS: MAIN CONSEQUENCES
FOR SCIENCE AND TECHNOLOGY POLICIES
IN THE FUTURE.
Central Topics:
VOLUME VII:
A Comprehensive Set of Policy Measures
for Enhancing the Austrian IS-Distribution
Power at the Micro- and at the Macro-Level
APPENDICES: SUMMARY OF DATA-SETS AND BIBLIOGRAPHY
Central Topics:
The ASIT-Data Sets and Other NISRelevant Data from Official Sourcs (ÖSTAT,
Chamber of Commerce, etc.)
2
It must be noted that the IHS-team is only part of the total Austrian contribution to the NIS-project since a second team from TIP will
concentrate on cluster-analyses and institutional descriptions so that, for the two final Austrian reports, a complementary picture of the
Austrian IS should emerge.
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20
PART 0:
A COGNITIVE MAP FOR
VOLUME VI
With the sixth volume, a final analysis for the domains of the NIS-distribution power and the NISensemble power will be provided, namely a policy-oriented move towards reform packages
corresponding to the overall new epigenetic framework of the IHS approach. Within a triple NIS
ensemble of three large scale systems, namely economy, science and the state, the short- and the longterm dynamic reform perspectives will be discussed by focusing on three different areas of policy
investigations.
First, an introductory part will be devoted to the available policy programs at the national as
well as at the international levels where a clear focus has been placed on problems of
innovation and national or global competetiveness. In this sense, science and technology
programs for Austria, the recent ‘‘Green Paper’’ by the European Union as well as, finally, the
OECD initiatives on productivity and job creation will be summarized and collectively
organized within the new epigenetic framework. By doing so, some of the main dimensional
strengths and weaknesses can be recorded immediately so that an appropriate policy basis is
shaped up which summarizes, on the one hand, major reform proposals and which, on the
other hand, points to existing ‘‘blind spots’’ and policy unaffected dimensions relevant for
comprehensive science and technology policies.
Second, the main part of Volume VI is concerned with general requirements for policy
formations which are corresponding and which are evolutionary ‘‘fitting’’ with the overall
epigenetic self-organization approach. Thus, a large section of ‘‘steering’’ and ‘‘control’’ in
large scale epigenetic systems is concerned exclusively with the problem of identifiying
policy sets which can be qualified as epigenetic types of policy making. In doing so, the
conventional accounts on
‘‘steering’’ and ‘‘control’’
have been superseded by a new framwork, centered around the concepts of
‘‘coordination’’ and ‘‘disturbance’’
21
More concretely, six requirements have been postulated which, taken together, constitute,
under the heading of ‘‘catalytic management’’, the core of an epigenetic policy proliferation,
namely -
Equal Weight for the Four Epigenetic Dimensions
Mode II-Policies
‘‘Downsized’’ Policy Programs
‘‘Path-Sensitivity’’ with Respect to the Distribution/Ensemble Orientation
Formal Goals for the Distribution/Ensemble Power
Material NIS-Goals
Third, the empirical results of the existing weaknesses of the Austrian Innovation System will
lead to an integrated reform agenda withiin science and technology domains where the
principal objective can be stated very simply under the heading of enhancing the distribution
power and the ensemble power of the Austrian Innovation System simultaneously.
Fourth, a last group of reform proposals will be centered on a better monitoring of the
ongoing processes within the Austrian National Innovation System, especially under the NIS
II and under the NIS III configuration....
Via these four parts, a well-balanced policy volume has been established which offers partly new
epigenetic self-organization guidelines for a medium and long term restructuring of the shapes and the
forms of the Austrian knowledge and information society ...
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Diagram 0.1: The Scope of Volume Six
PART I:
NATIONAL AND INTERNATIONAL
REFORM PROGRAMS FOR
PART II: PROGRAMS FOR RESTRUCTURING THE
PART II: PROGRAMS FOR RESTRUCTURING
THE
NATIONAL INNOVATION
SYSTEMS
AUSTRIAN INNOVATION
SYSTEM
SECTION I:
National Programs, Especially
the Technology Policy Programfor Austria and a Marketing
Oriented Reform Proposal
.
AUSTRIAN INNOVATION SYSTEM
SECTION I:
Main Components of an
Epigenetic Policy Framework
Self-Organization and the
State-System;
Innovative Components
SECTION II:
Policy Programs for the
Four Epigenetic Dimensions;
Stressing the Importance of
the G - P Dimension by
New ‘‘Utilization Programs’’
SECTION II (CONTINUED):
Enhancing the Widely Neglected Knowledge Bases:
Local Solutions and Internet
Accessibility of ‘‘Works of Excellence’’.
The ‘‘Differentiation of the Reform
Proposals along the Four Main
Epigenetic Dimensions;
A Preliminary Summary of Intensive and
of Extensive Policy Areas
Ý
Ù
Þ
META-THEORETICAL FRAMEWORK
FOR THE EPIGENETIC STUDY OF
EVOLUTIONARY SYSTEMS
AND THEIR NETWORK AND LINKAGE STRUCTURES
IN NATIONAL INNOVATION SYSTEMS, ESPECIALLY IN
NIS II ENSEMBLES AND TRIPLE NIS CONFIGURATIONS
ß
SECTION II:
International Innovation Programs,
Predominantly the two EU-Agenda
(‘‘White Paper’’ and ‘‘Green Paper’’)
as well as the OECD-Program on Technology and Employment
Ú
SECTION I (CONTINUED)
Major Goal Areas for Triple NISConfigurations;
Self-Organization Principles for
Science and Technology Policies;
Temporal Sequencing of Policy
Reforms
23
à
PART III: MONITORING
INNOVATION
SYSTEMS
Guidelines for Increased
Self-Reflexivity and
Monitoring in the
Austrian IS
PART I:
POLICY BACKGROUND:
NATIONAL AND
INTERNATIONAL AGENDA
FOR RESTRUCTURING
NATIONAL INNOVATION SYSTEMS
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A BRIEF SUMMARY
OF PART I
Part I will be concentrated on two different policy fields, namely on -
National Science, Innovation and Technology Programs
(Section I)
International Science, Innovation and Technology Programs
(Section II)
Comparative Analysis
(Section III)
In this manner, a background summary wil be introduced which will offer a convenient framework for the
presentation of epigenetic based reform programs in the Austrian Innovation System. More concretely,
four major programs for increasing the national innovation potential, namely
the Austrian Science and Technology Program
a High Tech Marketing Program for Austria
the ‘‘White Paper’’ and the recent ‘‘Green Paper’’ by the EU
the OECD Program on ‘‘Technology, Productivity and Job Creation’’
will be analyzed and re-arranged according to the new epigenetic architecture, yielding thus eight
different program groups. [Four Epigenetic Dimensions x (Distribution Power & Ensemble Power)]
Moreover, a comparative analysis of strengths and weaknesses will be performed in which the densely
concentrated areas of the four policy programs along the four epigenetic dimensions will be separated
from their sparely populated regions and areas. In doing so, an interesting intermediate result has been
gained both on the status of the existing policy programs and on the needs and requirements for arriving
at a comprehensive set of policy programs for Austria.
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SECTION I:
SCIENCE AND TECHNOLOGY
PROGRAMS IN
AUSTRIA
26
Within Section I, a brief summary will be undertaken on two policy programs which, on the one hand, can
be seen as complementary and which, on the other hand, offer a comprehensive agenda for an ‘‘integrated
science and technology policy’’ for Austria. After reviewing the international program side too, a short
summary on the still existing policy ‘‘bottlenecks’’ will serve as a guideline for establishing, on the one
hand, a more balanced and, on the other hand, a theory based science and technology program for the
Austrian Innovation System.
1. The TIP-Program for a Unified
Science and Technology Policy in Austria
In recent TIP-projects (BAYER et al. 1994), a new framework has been established for the future
technology policies in Austria which, as can be seen from Table 1.1, is separated into the following four
main components.
Table 1.1: TIP - Framework for a Unified Austrian Technology Policy
DOMAIN
ADDITIONAL SPECIFICATIONS
GENERAL FRAMEWORK
Increasing the Austrian R&D Expenditures
Improving the Internal Coordination for Science
and Technology Policies
Removing Network Barriers
Improving the Capacities for Adaptation
Definition of Essential Societal Goal Domains
Improving the Technological Infrastructure
Improving the Education Systems
Improving the Coordination between
NIS-Actors
GOAL ORIENTATION I:
Diffusion
GOAL ORIENTATION II:
GOAL ORIENTATION III:
‘‘Missions’’
Quality of the Overall
Socio-Technological
Setting
27
One of the distinctive advatages of the existing TIP-program lies in its comprehensive character which,
similar to the ‘‘White Paper’’ by the EU, integrates science and technology policies within a wider
societal and environmental context. More specifically, the following action lines have been identified as
the central agenda for reforms within the four policy domains, specified in Table 1.1. (See Table 1.2, next
page) In particular, four major areas within the TIP-Technology Program for Austria derserve closer
inspection.
First, the strongly diffusion and ‘‘mission’’ oriented TIP program relies very heavily on
overall societal ‘‘tasks’’ or ‘‘missions’’ which run across the established boundaries of
competencies by policy shaping state units, NIS actors within the science and within the
economy domains and, finally, intermediate institutions. The concrete example of such a
societal ‘‘mission’’, namely the Toronto goal (reduction of CO2 emissions by 20% in the year
2005), integrates activities by the national government, changes in taxation schemes, research
and project funding, mass media and, finally, evaluations (BAYER 1994:90). The interesting
point to note lies in the fact that the ‘‘mission’’ is oriented towards an environmental target
area and not, as one would expect, on a high-technology goal domain. In a similar vein, the
TIP-’’missions’’ are primarily focused on those societal problem fields for which technology
and technology policies can make a substantial and indispensable contribution.
Second, the orchestration of ‘‘missions’’ requires a completely new type of complex program
management which integrates, in a ‘‘concerted effort’’, the activities of a comparatively large
number of NIS-S actors. Consequently, the TIP program places a strong importance of
profound changes within the state system itself which becomes a ‘‘condicio since qua non’’
for the successful implementation of ‘‘mission’’-centered policies.
Third, the TIP program gives a relatively detailed account for different groups of NIS actors
within the science field which increases the potential for coordinated policy programs
designed for particular segments of institutes only. Moreover, the cluster-focus for the
economic area offers a new domain for policy intervention, since ‘‘clusters’’, due to their
changing configurations, will generate, in all probability, comparatively more positive
feedback-effects than sector-orientations. Thus, the disaggregated perspective especially for
the science system must be considered as an additional advantage of the TIP-policy approach.
Fourth, in many of its programs, a heavy reliance is placed on the active participation of
those actors which are primarily affected by specific policy programs. More generally, the TIP
program sees an indispensable role for consensus building and for mediating as core-policy
requirements especially with respect to new high technology areas and their social as well as
environmental consequences.
28
Thus, the TIP-program can be considered, by its very existence, as an important bridge from the previous
stages of (non)-existing science and technology policies to a contemporary format in the state-centered
co-construction of the Austrian Innovation System.
29
Table 1.2: TIP - Framework for a Unified Austrian Technology Policy
DOMAIN
POLICY PROGRAMS
GENERAL FRAMEWORK
Ending the period of ‘‘fragmentation’’ with respect to the
formation of science and technology (ST) policy making:
clear separation of strategic and organizational competencies
Increasing the agenda for ST-Policies
Improving the ‘‘information infrastructure’’ by stepping up
‘‘program managements’’ and the ST-information bases as
well as by introducing compulsory evaluations.
Institutionalization of discourse-based Technology Assessment Policies (TA-Policies)
Increased financial contribution for application oriented
research
Establishing a ‘‘complementarity relation’’ between international, national and regional programs
Optimization of the existing policy mix
DIFFUSION ORIENTATION:
Coordinated efforts towards an offensive program for
technology diffusion3
Service ‘‘packages’’, facilitating the founding of new
firms (especially in high-tech niches)
Training programs for new key qualifications like
teamworking and networking capacities
Selection of a small number of societal ‘‘missions’’
Cluster-oriented instrument mix for the implementation
of these ‘‘missions’’
Improving the ‘‘interfaces’’ between universities and
MISSION ORIENTATION
QUALITY OF THE OVERALL
firms
SOCIO-TECHNOLOGICAL SETTING
Increasing the number of potential users for ‘‘An-Institutes’’
like the Christian Doppler Laboratories
Increased networking for intermediate institutes
Generation of ‘‘second generation’’ technology parks and
technology centers
Integrated patent center as ‘‘one stop shop’’
Improving the material infrastructure (railways,
3
As major international reference examples, the Norwegian BUNT-program as well as the Canadian AMTAP-program can
be cited. (BAIER 1994:75pp.)
30
communication, energy, etc.)
31
2. The WU-Program for High Tech Marketing
A second technology and innovation program which will be analyzed briefly has been built up by several
departments of the ‘‘Wirtschaftsuniversität’’ (WU, the Economic University in Vienna). It has been
included into the national technology policy section mainly for one reason. Since it is almost exclusively
devoted to shorten the product to market cycles and to make the marketing domains for high technology
segments more efficient, it can be seen as a complementary reform package to the TIP approach in which
marketing concerns, while marginally present, do not play a central position. Thus, the folllowing major
points should be viewed as additional policy measures, designed to strenghten the TIP goal area I of
‘‘diffusion’’ and the goal area III of the ‘‘quality of the overall technological setting’’. In particular, four
major areas deserve being mentioned.
First, the entire WU-program is essentially a ‘‘distribution driven’’ one, since measures for
enhancing the economic distribution power form the core program domains. Moreover,
distribution oriented reforms can be identified at all firm levels, starting from the general
level by ‘‘bringing the clients and customers back in’’, to the technological level by its focus
of innovative activities as well as by the demand for efficient solutions for clients and
customer and, finally, to the management level by stressing the importance of the networking
capacities of firms.
Second, policy features within the G - G or the G - P dimension play a prominent role within
the WU-program, since points like an appropriate ‘‘cognitive infrastructure’’ or the
propagation of the ‘‘technological knowledge basis’’ feature as essential policy elements.
Third, a highly interesting feature not encountered in any of the other science and technology
programs, lies in the recombination of the domains of ‘‘marketing’’ and ‘‘science’’,
culminating in the demand for marketing strategies for the results and for the application
potential of scientific research which, in turn, must lead to a wider distribution both of the
‘‘knowledge basis’’ and of scientific publications.
Fourth, another vital aspect, explicitly encountered in the WU-program, lies in the recognition
of regional imbalances which should be taken into account by the overall program
implementations.
Seen in this perspective, the marketing oriented program of the WU offers a comparatively large number
of additional policies which, due to their complementary nature to the TIP program, should be viewed as
an additional source for conducting reforms which could enhance especially the distribution power side of
the Austrian Innovation System.
32
Table 2.1: WU - Program for Stimulating the High Technology Segments
GENERAL PURPOSE TECHNOLOGY PROGRAMS
PR-Measures Enhancing the Public Acceptance of Innovations and New Technologies
Paradigmatic Projects (for ‘‘learning by imitation’’)
Cognitive Infrastructure (Data Sources, Theoretical Approaches, Marketing Elements in Curricula, etc.)
Organizational Infrastructure (Universities,.Research Institutes, etc.)
Marketing for Research Projects
EU-Funding Duplicated
Fall Back Position
Liberalization of Employment Regulations
Scholarship-Programs
Exchange Programs Economy - Science
Professionals for Science and Technology
Interlinked Projects
Fairs for Suppliers and Costumers
Hitlist of Austrian Firms
Distribution of Technological Knowledge Base
Skill Pools
Tutorships for Innovative Firms
SPECIAL PROGRAMS FOR HIGH TECH-MARKETING
STIMULATING INTRA-FIRM SUCCESS FACTORS
General Firm Level
Strategic Orientation of the Firm
Level of Information on Prevailing Conditions in the Target-Markets
Demand and Expectations by Clients and Customers
Competitive Products and Strategies by Competitors
Existing and Necessary Channels for Distribution
Degree of Service Orientation for Clients and Customers
Shaping of a Specific Marketing Mix
Technological Level
Technological Position of the Firm
Supremacy in Conducting Innovations (Compared to National Competition)
Synergy/Anergy of the Existing Technology to the Major Firm Domains
Degree of Novelty of Innovation
Efficient Solutions for Clients and Costumers
Quality Control Methods (like TQM, QC, DFA, etc.)
33
Table 2.1: WU - Program for Stimulating the High Technology Segments (Continued)
STIMULATING INTRA-FIRM SUCCESS FACTORS
Level of Management and Organization
Market-oriented Leadership
Capacity for Cooperations and Strategic Alliances
Firm-Specific Project-Information Systems
Size of the Firm
Project Support by Top-Management
Construction and Implementation-Design for New Products
Efficient Project Organization/Project Management
STIMULATING INTER-FIRM SUCCESS FACTORS
Interfirm-Networks
Growing Cluster-Density
Increasing the Strength of the Supply System
Regional Human Capital Development
Demand Upgrading at the Regional Level
Policy Domains
Efficient Design and Development of the Network-Ensembles
Adaptations to Socio-Demographic Changes
Strategic Intelligence of the Local Ensembles
34
35
SECTION II:
INTERNATIONAL
REFORM PROGRAMS
FOR NATIONAL
INNOVATION SYSTEMS
36
With respect to international restructuration and reconfiguration programs in the field of technology and
innovations, three major programs have been selected for a closer review, two of them EU-based, the
third one of OECD-origins. In all three instances, different aspects, dimensions and priorities for framing
science and technology policies have been set up so that within the upcoming Section III a comprehensive
epigenetic scheme can be built up which integrates and synthesizes not only the existing three
international policy programs, but also the national programs, introduced in the previous section.
1. The EU-White Paper
In 1993, an astonishingly encompassing and comprehensive reform agenda has been proposed by the EU
as ‘‘White Paper’’ on economic growth, competitiveness and employment. (EU 1994). The most
surprising feature of this specific Commission report lay in the explicit recognition that successful
innovation management and technology policies for the next decades must be subject to a number of
important constraints with respect to employment creation
public acceptance of policy measures
environmental standards
sustainability
Due to its comprehensive character, the EU White Paper will be discussed at some length by focusing, on
the one hand, on its general developmental visions and by concentrating, on the other hand, on the
specific policy programs advocated to support the overall strategies.
1.1. Recommendable Pathways
into the Next Century
Under the heading of trajectories into the 21st century, a mixture of desirable features of socio-economic
development patterns, goals and general strategies has been compiled which, separated according to
37
specific catgories, gives an overall orientation for the appropriate framework for science and technology
policies. Table 1.1 offers a summary of the three principal target components of the EU White Paper.
Table 1.1: Pathways into the Next Century According to the White Paper
SUSTAINABLE PATTERNS
OF DEVELOPMENT
SUSTAINABLE GOAL
AREAS
SUSTAINABLE FEATURES OF
SCIENCE AND TECHNOLOGY POLICIES
Stable Monetary
Systems (National and
International)
Information Society:
Multi-Media Integration
Dense Cable-Networks
Restructuring of Firms,
Labor-Relations, Household
Work
Increasing Economic Competitiveness:
Regulatory Domains (Norms and
Legislation, Certification, Intellectual
Property Rights, etc.)
Fostering SMEs
Building up the European
Infrastructure-Networks
(Traffic, Telecommunication,
Energy)
Open Economies
(Especially with Respect to
Post-Communist and Third
World Countries)
Decentralized Economies
Economic Solidarity
Employed/Unemployed
Gender Relations
Regional
High Employment
Levels:
Permanent Learning and
Education
Increasing Flexibility,
Decentralization, etc.
Intensifying Research and
Development:
Information Technologies
Bio-Technologies
Environmental Technologies
From Table 1.1 one can see an interesting mixture of purely economic features like stable monetary
systems, societal characteristics of the future (‘‘information societies’’), social aspects of development,
centered around the concept of solidarity and, finally, environmental concerns. In this sense, the ‘‘White
Paper’’ must be considerd, above all, as a societal based agenda for conducting science and technology
policies. In other words, the White Paper comes close to a NIS-S policy framework in which, according to
the NIS-S requirements, the economy, the science, the education system, the social sphere as well as the
environment form an interacting and interconnected ensemble. Moreover, the suggested policy measures
and agenda stand under a perspective of sustainability which, in the context of the White Paper has been
circumscribed as a new relation between quality of life, usage of environmental resources and waste
production. Finally, it has become an important critical feature of the White Paper that it comes to an
unambiguous conclusion with respect to the non-sustainability of the current EU-developmental patterns -
38
Würden die gegebenen industriellen Verbrauchs- und Produktionsmuster auf die ganze Welt
ausgedehnt, so benötigte die Erde ein Zehnfaches der derzeit verfügbaren Ressourcen; diese
Extrapolation veranschaulicht das Ausmaß der weltweiten Verteilungskämpfe, die drohen, falls es
nicht gelingt, die gegenwärtigen Trends umzukehren. (EU 1993:162)
Thus, a highly interesting set of NIS-S based evaluation criteria for socio-economic development
processes should guarantee that a famous dictum by John M. Keynes - ‘‘In the long run we are all dead’’ does not become the ‘‘Great Attractor’’ into which, by evolutionary necessity, all societal trajectories are
heading to ...
1.2. Agenda for Sustainable Policies
Not surprisingly, a wide array of policy programs and considerations have been developed within the
White Paper which affect a large number of domains well beyond the traditional spheres of science and
economy. In particular, the following action lines can be identified. (See Table 1.2, below)
Table 1.2: Action Lines from the EU White Paper
MAJOR POLICY DOMAINS
POLICY MEASURES
INSTRUMENTS
Information Networks
Increasing the Diffusion
of Information Technologies
Program IDA
Tele-Work
User-Producer
Interfaces
Increasing Basic
Networks like ISDN
Interoperability of Networks
Improved Coordination between Telecommunication and
other EU Programs
Liberalization and Harmonization
Improving Property Rights
Data Protection Measures
Accelerating the Processes of
Standardization
Proliferation of Universal ITServices
Eliminating Barriers to
Competition
Transeuropean Basic ITServices
New Legal Framework
for Information Technologies
39
Table 1.2: Action Lines from the EU White Paper (Continued)
MAJOR POLICY DOMAINS
Information Networks (Continued)
POLICY MEASURES
Improving Education and
Training for IT
Improving the Technological
and Industrial Potential
Transeuropean Infrastructure
Networks (Energy, Transport)
INSTRUMENTS
Spreading Basic ITCompetencies
Using IT in Education and
Training Programs
IT-Adequate Curricula for
Technicians and Engineers
R&D Efforts in the IT-Domain
Monitoring New IT-Developments
Improving the IT-Diffusion Processes
Improving the European Transport
Infrastructure
Modernizing the European Railroad Networks, especially BorderCrossing Routes of Strategic
Importance (Munich - Verona,
Lyon - Turin, Paris - Barcelona Madrid)
Modernizing the Road Networks,
especially in Border-Crossing
Highways of Strategic EU-Relevance (Berlin - Warschau Moscow)
Better Coordination between
Different Transport Networks
Improving the Quality and the
Technological Outfit within Three
Major Transport Networks - Railroads
- Airport Infrastructures
- Infrastructure of Ports
Improved Inter-Operability
and Efficiency of Transport
Networks through the Creation
of Transport Management
Systems (for Air-, Land-, and SeaTransport)
Improving the European
Energy Networks
Creating an EU-Wide Common
Market in the Field of Electricity
and Natural Gas
Abolishing National Monopolies
Deregulation and Liberalization
Increasing the Efficiency of
Existing Capacities in the Field
of Electricity
Safe-Guarding the Supply
for Natural Gas
40
1.3. A New Model for Societal Development
Finally, the White Paper attempts in its concluding passages to draw the outlines of a new model of
development which, contrary to its forerunners, offers a well-intergrated account of economic, social and
environmental dimensions. In particular, Table 1.3 identifies three major policy parts at the micro-level,
the macro-level as well as the sectoral level in which integrated societal policy schemes for innovation
and employment should be framed. In addition, three major sections have been specified with respect to
the societal background, starting, first, with the current state of inefficient affairs, proceeding to the goal
domains of sustainability and concluding with a new key factor, namely with the concept of ‘‘clean
technologies’’. The concluding ‘‘vision statement’’ of the EU-White Paper contains six major points
which should be discussed at least in a provisional manner.
First, a new focus of technology formation and clustering has been introduced which runs
under the label of ‘‘new integrated technologies’’ and which serves a multitude of purposes,
ranging from advanced knowledge utilization and high technology profiles to quality of life
domains and to an improved state of the environment.
Second, R&D efforts should be equipped with a new goal domain, namely, not surprisingly,
with the aim of ‘‘sustainability’’. This, in turn, implies major re-directions of research both in
the natural and in the social sciences.
Third, ‘‘quality of life’’ is not seen as a desirable side-consequence of economic development
but rather as an indispensable goal and evaluation criterion.
Fourth, in a similar manner, ‘‘environmental quality’’ is viewed as an explicit target area for
socio-economic evolution.
Fifth, the problem of ‘‘external costs’’ has to be shifted away from its current marginal
position into a core status, asking for a gradual integration of external costs into market
transaction costs and market prices.
Sixth, a few sectors heve been selected as target sectors for rapid innovation and re-structuring
processes, namely a widely understood infrastructure segment (transport, energy,
communication) and a compound, called ‘‘old sectors’’ which comprises not only an
ecologically oriented mode of production in agriculture, but also traditional industrial
segments in which environmental standards, norms and evaluations have to be implemented
on a massive scale.
With the White Paper, one is confronted with a remarkable NIS-S agenda which, inter alia, opens up a
rich set of questions and problems for the contemporary social sciences too since it implies a quest and an
urgent need for integrated eco-socio-economic approaches to societal developments.
41
Table 1.3: Towards a New Model of Socio-Economic Development
INEFFICIENT USAGE
OF RESOURCES
SUSTAINABLE DEVELOPMENT
SPECIFICATION
‘‘CLEAN TECHNOLOGIES’’ AS
KEY FACTOR
Under-Utilization of
Human Labor (‘‘Vicious
Cycles’’ between Labor
Saving Technologies and
Costs of Social Insurance
Systems)
Quality of LifeDimensions:
Income
Working Conditions
Recreation Spaces,
etc.
Over-Utilization of
Natural Resources
with Detrimental Effects
for High Costs for Waste Deposits and Waste-Removal
Quality of Life
Environment
Quality of EnvironmentDimensions:
Low Waste Production
Utilization of Renewable
Resources,
etc.
New Integrated Technologies
with Features like High Natural Productivity
(High energy utilization, low raw
material intensity, etc.)
Recycling Networks
Longevity of Prodcts
Clean Production Processes
MICRO-ECONOMIC
MACRO-ECONOMIC
STRATEGIES
SECTORAL AND SHORT-TERM
STRATEGIES
Indirect Taxes against
Detrimental Environmental
Effects
Tac Incentives and Tax
Decentives for a More
Ecologically Oriented
Economy
Dynamics of the EUMarkets
Foreign Trade Policies
and Cooperations
Target Sectors:
Energy, Traffic, Agriculture, Industry
STRATEGIES
Market Prices Including
External Costs
Research and Development
Closer to the Key Factor
of ‘‘Clean Technologies’’
‘‘Green Accounting’’
Speeding up the Transmission between Basic
Research and Applications
42
Short-Term
Strategies:
Appropriate Environmental
‘‘Infrastructures’’
Construction Works for
Environmental Projects
Increasing Public Transport and
Traffic Systems, etc.
2. The EU-Green Paper
One of the logical follow up versions from the White Paper would have consisted in an elaboration of the
new developmental model, outlined in the previous chapter, especially within Table 1.3. However, the
Green Paper takes a far more limited view for national innovation policies by focusing on a narrowly
defined NIS III context in which a large number of issues like solidarity, qualitiy of life-considerations,
environmental concerns or the problem of sustainability have been left out. Moreover, a marked shift can
be recorded from the generally defined fields of ICT, biotechnology and environmental technologies to a
limited number of explicit task forces where specific high technology target domains have been chosen for
an EU-concerted research and development plan in areas like new generation aeroplanes, multi-media
programs for learning and teaching, high speed train systems and others. Like the previous chapter, the
presentation of the Green Paper will be subdivided into two main parts, namely, on the one hand, into the
underlying developmental vision and, on the other hand, into the concrete policy programs which have
been recommended.
2.1. A Classical View of Development - Reiterated
Starting with the ‘‘European paradox’’ (p. 6), namely an above average position in the fields of scientific
production as well as progress and a below average level with respect to high technology utilizations, the
Green Paper aims at a knowledge and innovation based ‘‘catching up’’ process whereby the current gaps
in the European industry in relation to the United States or to Japan should be closed. Listing some of the
success factors in the US and in Japan as reference points (see Table 2.1, next page), the Green Book
emphasizes a concerted package of policy changes within a traditional NIS III context, putting special
emphasis, however, on new domains like organizational changes within industry, especially via the utilization of quality ensuring
procedures
innovations for the service sector
innovations in the public sphere like education, health, etc. where processes of quality
management and ‘‘reengeneering’’ should become common practice, too.
43
Table 2.1:
Major Determinants for the Innovative Success Stories Made in USA
and Made in Japan
UNITED STATES
JAPAN
More Effort Devoted to R&D
A Higher Percentage Share of
Technicians and Engineers
More Efficient Research Management,
Especially between Civilian and
Military Research
High Capacity to Use New Technological Information for New Marketable
Products; High Degree of Inter-Firm
Networking in R&D
Close Connections between Universities and Firms, Conducive for
the Founding of a Large Number
of Hybrid Institutions and New
Enterprises
Strong Industry-Science Connections,
Brought about Especially through
the Transfer of Industrial Researchers
to the Universities
More Available Risk-Capital
Connections
Strong
and
Well-Established
between Fiance and Industry
Long-Standing Cultural Tradition
of Risk-Taking
Innovation Driven Culture
Relatively Low Costs for Patents
‘‘Concerted Actions’’ between Firms,
Universities and the Public Sector
Low Level of State Regulations and
Bureaucratic Barriers
High Mobility of Employees
within Firms
44
2.2. Agenda for Concerted Reforms
Within the relatively narrow NIS-III confines of the Green Paper, a number of policy actions have been
advocated which, under the heading of ‘‘action lines’’ have been summarized within Table 2.2 (next
page). Here one can see, however, at least two major surprising feature which have not been encountered
in the policy programs of the White Book variety.
First, a comparatively large number of action lines is devoted to the genotype levels of
National Innovation Systems. In particular, one is able to identify a set of action lines which
are located outside the predominant networking dimension P-P.
P - G: Action line 2 on the innovation drift for research and development
G - G: Action line 1 on the necessary information basis on the monitoring of new
technologies
G - P: Action line 5 of stepping up the ‘‘distribution power’’ of innovations which
includes, quite naturally, the distributionb of the codified innovation contents.
Since action line 10 on norms and regulations and action line 11 on information networking
are mostly centered on the genotype level, the Green Paper contains an almost equal
distribution of programs for the two main epigenetic levels and the four epigenetic
dimensions.
Second, one of the distinctive characteristics of the Green Paper lies in the more detailed
specifications for action line 2 where a highly selective concentration of new innovation areas
into a few ‘‘task force domains’’ has been undertaken. These European wide ‘‘task forces’’
should be focused on the following main fields, namely on new generation aeroplanes (higher efficiency of aeroplanes, increased safety standards,
low emission, low noise, etc.)
multi media learning and teaching software
new generation automobiles (low energy consumption, high safety standards, low
emission, etc.)
new vaccines and cures for virus-based sicknesses
high speed trains and new generation train systems
intermodality in traffic systems (new systems for exchanges and connections of private
and public traffic systems as well as for integrated traffic chains, etc.)
45
environmentally sustainable water technologies (new sources for water, water recycling
systems, etc.)
46
Table 2.2: Major Action Lines of the EU Green Paper
ACTION LINE 1:
ACTION LINE 2:
ACTION LINE 3:
ACTION LINE 4:
ACTION LINE 5:
ACTION LINE 6:
ACTION LINE 7:
ACTION LINE 8:
ACTION LINE 9:
ACTION LINE 10:
ACTION LINE 11:
ACTION LINE 12:
ACTION LINE 13:
Research Infrastructure for Collecting Information
with Respect to New Technologies; New Types of
Research on Future Development Prospects and Scenarios
Focusing Research and Development More on
Innovations in Specific EU-Relevant Fields
Improvement of Education Systems, Qualification
Structures and Training Programs
Fostering the Mobility of Students and Researchers,
Quality Controls and New Honorary Titles and
Qualifications at the European Level
Increasing the ‘‘Distribution Power’’ of Innovations
by Improving the Information Basis and by Awarding
New Prizes at the European Level
Improving the Financial Resources for Innovations
(New Risk Insurance Schemes, Development of Long-term Capital
Funds, etc.)
Tax Incentives for Innovations (New Forms of Tax Deductions for
Immaterial Innovations, ‘‘Research Development Limited Partnership’’, ‘‘Small Entry Fees’’ for Patents, Tax Incentives for Training
and Education programs, etc.)
Incentives for Improved Property Right Protection (EU wide
Patent Laws and Regulations, More Counter-Measures against
Illegal Forms of Copying, Imitations, etc.)
Reduction of Bureaucratic Requirements and Paperwork (Reforming the State Administrations by Simnplifying the Current Procedures
with Respect to the Founding of New Firms, to Taxes and Social
Security, to Easily Available Information for Necessary Administrative
Procedures, etc.)
Adaptation of Legal Norms and Regulations (New Norms, New
Forms for Public Projects and Investments, New Laws for Competition,
New Laws for Work and Employment (especially with Respect to TeleWorking, Privacy Protection, etc.)
Development of Economic Information-Networks (Both for Private
Service Networks and Public Network-Infrastructures)
Innovation Support Schemes for Enterprises, especially for SMEs
(‘‘Cluster-Based’’ Regional Programs, ‘‘Going International’’and Improvement of
the Existing Regional Infrastructures, Facilitating ‘‘Spin-offs’’, Improved
Technology Transfer, Shaping of Inter-Regional Transfer- and Exchange
Programs, etc.)
Change of the Public Sector from Intervention to Innovation (Shift of Public
Expenditures from Direct Investments and Support to Indirect Support
Schemes,
Improving the Broader ‘‘Environment’’ for Innovations; Regional and
Interregional ‘‘Coordination Mechanisms’’ for Innovation Programs and
Strategies, Activation and Stimulation of SMEs and SME-Networks, etc.)
47
In this manner, two major EU policy initiatives in the fields of innovation and high technology have been
summarized. Having reviewed the main policy programs and ‘‘task forces’’, one is confronted with a wide
scope of policy programs which can be implemented, in principle, at the global, at the European, at the
national and, finally, at the regional level, too.
3. The OECD-Program on
‘‘Technology, Productivity and Job-Creation’’
A third international science and technology oriented program comes from the OECD where under the
heading of ‘‘Technology, Productivity and Job Creation’’ (DSTI/IND/STP/ICCP(95)14 a major overall
policy program has been built up, containing not only seven separate parts, but also a comprehensive
survey of recent empirical findings on structural employment shifts within the employment systems of
highly developed regions. More to the major OECD points, the overall volume has been subdivided into
four principal policy domains which have been analyzed in a surprisingly thorough and detailed manner,
usually not to be found in policy sections of international organizations.
Table 3.1: Four Major Domains of the OECD Program
POLICY DOMAIN I:
POLICY DOMAIN II:
POLICY DOMAIN III:
POLICY DOMAIN IV:
Technology, the demand for skills and the distribution
of wages
Technology diffusion, productivity and employment
creation
New demand growth: multimedia infrastructure and
multimedia applications
Technology and organizational change at the level of
the firm
Thus, the policy consequences for each of the four major issues can be catalogued, using once again the
basic epigenetic framework, according to the summary of Table 3.2. (See Table 3.2, next page)
48
Table 3.2: Policy Programs Distributed across the Four Epigenetic Dimensions
TECHNOLOGY, SKILLS, WAGES
Human Capital Development (Improving the SkillBases for CIT)
Programs for Training the Unskilled Labor Segments
Increasing Intra-Firm Training Programs (‘‘Just in
time’’
Learning)
Training Programs for an Improved Utilization of
the Existing Knowledge Bases
TECHNOLOGY DIFFUSION, PRODUCTIVITY
Perspective
AND EMPLOYMENT CREATION
NEW DEMAND GROWTH: MULTIMEDIA
INFRASTRUCTURE AND MULTIMEDIA
APPLICATIONS
TECHNOLOGY AND ORGANIZATIONAL
CHANGE AT THE FIRM LEVEL
Re-Direction
to
a
Diffusion-Oriented
Policy
Widening of the Sectoral Scope, Including the Service
Sector
Programs for the Rapid Diffusion of ‘‘Best PracticeMethods’’
Coherent Policy Programs, Involving Potential Actors
Coherence between Innovation and Diffusion Programs
and the Financial Support Schemes
Abolishing Restrictions to Market Entry
Stepping up the Information Infrastructures
Appropriate Legal Frameworks for CIT
Demand Stimulation by CIT Utilizations
of the State Sector Itself
Extension of CIT-Based Government Services
Encouraging Investments in Skills and
Competencies
Adopting the Legal Framework for Organizational
Changes with Respect to - Ownership Regulations
- Labor Regulations (flexible work time, wage-setting
arrangements, etc.)
- External Cooperations, Network Building, etc.
Improving the Business Infrastructure via -
49
- Information Diffusion on New Products or Processes
- Accounting Practice Reforms
50
Focusing on major and novel features, but also on persisting weaknesses of the OECD Program on
‘‘Technology, Productivity and Job Creation’’, one can point out four areas which deserve a closer
attention.
First, the OECD program exhibits a clear focus on employment aspects which the current fifth
technological CIT-wave (Communication and Information Technologies) is about to produce.
Moreover, the search for new employment outlets within the age of ‘‘lean production’’ and
‘‘lean institutions’’ is accompanied by strategic orientations in the area of training and
education, making, thus, the OECD Program to a specially well-equipped policy agenda in the
domain of human resource management.
Second, a surprisingly strong weight has been placed upon the diffusion aspect of new
knowledge and innovations, placing the diffusion on equal basis with the innovation focus.
Consequently, the diffusion orientation produces a number of ‘‘downsized’’ policy initiatives
which have the comparative advantage of dealing with relatively simpler tasks like the
removing of existing communication and utilization barriers, rather than the more complex
issues of creating new high-technology niches.
Third, a remarkable extension has been undertaken within the OECD program where three
new domains have been incorporated, namely, from a sectoral perspective, the service sector
and its productivity development within the CIT-diffusion as well as the state apparatus itself
and its role as CIT-based service component and, finally, from an innovation perspective, the
internal organization of firms. Thus, the OECD Program adresses, at least in an implicit
fashion, one of the crucial demand poles for CIT, namely the rapid transformation of the
public sector into a CIT-based service unit. Even a preliminary look into the existing state of
the public domain across OECD countries reveals that, with very few exceptions, the state
apparatus exhibits a considerable ‘‘technology lag’’ with respect to both the CIT-utilization
and the CIT-organization of its agenda. Thus, the state apparatus itself has been integrated not
so much in its capacity as employer of ‘‘last resort’’, but in its potential for creating new CIT
demand.
Fourth, one of the major deficiencies in the international OECD program lies in the
‘‘classical’’ or ‘‘traditional’’ view for processes of policy formation, relying mostly on
processes of state intervention. Despite a thorough analysis of the empirical consequences of
the ‘‘fifth wave’’, no special attention is devoted to the transformation of the spatial levels of
policy making in the age of globalization. But an entirely new, globally distributed CIT
infrastructure and the emergence of an alternative way of ‘‘self-reflexive modernization’’ or
‘‘modernization II’’ (BECK 1986) simply has to bring about a profound change in the relative
importance of global, national or regional policies. Thus, despite moving the conventional
industrial confines and despite the integration of both the service sector and organizational
51
issues, the broadened OECD outlook has stopped short of the changing relations with respect
to the spatial levels of policy formation and regulation.
With these four points of special interest, the presentation of the three international science and
technology programs must come to an end. In the final section of Part I, a synthesizing summary will be
propsed which will be devoted both to the national and to the international policy programs for
reconfiguring advanced National Innovation Systems within the European region.
52
53
SECTION III:
SCIENCE AND TECHNOLOGY
PROGRAMS -
AN EPIGENETIC COMPARISON
54
The final section will bring both a short comparison and a summary of the main national and international
programs which have been discussed so far. Despite major differences with respect to underlying ‘‘great
developmental visions’’ or with respect to the ‘‘effectiveness’’ of planning and control, the epigenetic
‘‘structuration’’ proves to be powerful enough to offer a unifying comparative framework of analysis both
for the national and for the international policy programs.
1. Policy Programs and the Four
Epigenetic Dimensions
The first major point to be made is very simple and straightforward. Due to the fact that the epigenetic
framework relies on four basic dimensions, the first chapter will demonstrate that the five policy
programs discussed above contain essential elements in all four epigenetic domains. (See Table 2.1,
below)
Table 2.1: Three Paradigmatic Policy Examples For Each of the Four Epigenetic Dimensions
EPIGENETIC DIMENSION
POLICY PROGRAMS
P - P Dimension
Enhancing the Cluster-Densities
Exchange Programs Economy - Science
Organizing Societal ‘‘Missions’’
Innovation-Driven Research
Focusing R&D on ‘‘Clean Technologies’’
Increasing Science-Based ‘‘Evaluation .Processes’’
Improving the Cognitive Infrastructure (Data Sources, Theoretical
Approaches)
Developing an Ordered Knowledge Base with Respect to New Technologies
Creating a Comprehensive Information Basis for Science
and Technology Policies
Increasing the Number of Potential Users for ‘‘An-Institutes’’
Enlarging Training Programs in High-Tech Domains
P - G Dimension
G - G Dimension
G - P Dimension
55
New Innovation Oriented Curricula
56
Despite the distributablity on all four epigenetic dimensions, it must be noted as a general observation that
the first epigenetic dimension on networking, the P - P interactions, occupies by far the most important
role within all five programs. It should be added as an important deviation that in the subsequent Part II, a
requirement of equal strength across all four epigenetic dimensions has been imposed, increasing, thus,
the relative importance of P - G, of G - G and, especially consequential, of G - P policies.
2. A Profile of Strengths and Weaknesses
of Existing Innovation Programs
The final chapter will be devoted to a preliminary analysis of strengths and weaknesses of the national
and international technology and innovation programs, discussed within the previous two sections. The
reference framework for determining actual weak spots comes, quite obvious, from the new epigenetic
architecture of National Innovation Systems. Taking the four basic dimensions and an ‘‘equal strength
requirement’’ on the one hand and the scope of the NIS-context (NIS-III, NIS IV, ... NIS-S) on the other
hand as the two decisive points of evaluation, four extreme cases can be distinguished from a purely
‘‘logical point of view’’.
Table 2.3: Potential Scope and Concentration of Science and Technology Programs
PROGRAM CONTEXT
NARROW
WIDE
BALANCED
Program Set I
Program Set II
UNBALANCED
Program Set III
Program Set IV
EPIGENETIC
DISTRIBUTION
From Table 2.2, one can see four potential classes of science and technology programs.
57
First, a small NIS III extension and an equal distribution of the policy programs across the
four epigenetic dimensions indicates, at least at first sight, a well-balanced, though narrowly
defined set of policy measures.
Second, a wide (small) NIS-extension and a highly unequal concentration within one of the
four epigenetic dimensions can be used as an important indications of ambitious policy
programs with persistent weaknesses and ‘‘blind spots’’ (wide NIS conetxt, unequal
epigenetic distribution) which have to be eliminated by furnisihing additional programs and
reforms within the remaining three dimensions, too.
Third, in the best of all policy worlds, a comprehensive, societal oriented implementation
context goes hand in hand with a well-balanced set of policy programs, distributed with equal
power across the four epigenetic dimensions.
Table 2.3, then, gives some indications on strength-weaknesses profiles of the five national and
international innovation and technology programs. The most surprising result of Table 2.3 can be
formulated as an essential trade-off between the policy programs analyzed so far.
Programs with societal impetus like the EU White Paper or the Austrian TIP-program put a
heavy focus on the networking dimension P - P alone, neglecting the three remaining spaces
for policy intervention.
Narrowly defined NIS III programs on the other hand like the Green Paper, the OECD
Program or the WU-Program, show considerably more attention for the three other epigenetic
dimension, especially for the necessary requirements and re-configurations of the knowledge
bases.
In this sense, the subsequent policy deliberations will be aimed, inter alia, at a policy set which moves
beyond the present trade-off, attempting to reach a NIS-S policy agenda for science and technology areas
which, however, integrate all four epigenetic dimensions.
58
Table 2.3: Scope and Concentration of Five Innovation and Technology Programs
TYPE OF PROGRAM
SCOPE OF THE PROGRAMS
DEGREE OF CONCENTRATION
AUSTRIAN TECHNOLOGY
PROGRAM
Relatively Wide NIS-S
Context (Society-Based,
Cluster Differentiation for the
Economic-Sector, High Differentiations for the ‘‘Science
Cluster’’, High Aggregation for
the State Sector and Other
Societal Segments (Media, Public, etc.)
Almost Exclusively Centered
around the P-P Dimension
Weaknesses in the P - G
and in the G - G Dimension
HIGH TECH MARKETING
By Definition Narrow NIS III
Context
More Balanced Within the
the Four Epigenetic Dimensions
EU WHITE PAPER
Relatively Wide Context
Close to a NIS S-Framework (Environment, Sustainability, Quality of Life, Soli- darity, etc.)
Almost Entirely Concentrated within the
Networking Dimension
P-P
EU-GREEN PAPER
A Narrowly Circumscribed
NIS III Context (Focus on FirmScience Interactions, Relatively
Undifferentiated State Agencies,
etc.)
A Well-Distributed Set
of Reforms, Putting Heavy
Emphasis on the G-G or on
the G-P Dimension, too
OECD-PROGRAM ON
TECHNOLOGY AND
Dimension
EMPLOYMENT
A Relatively Small Context of
NIS III (Highly Similar to the
A High Concentration within
the
Networking
PROGRAM
EU Green Paper, except for a
Strong Emphasis on the Employment Aspect of Innovations)
59
P-P; a Strong Emphasis
on the Distribution-Oriented
G-P Dimension
PART II:
POLICY PROGRAMS
FOR THE
AUSTRIAN INNOVATION SYSTEM:
THE BOUNDED CAPACITIES
FOR RAPID SELF-ORGANIZATION
60
A SUMMARY FOR PART II
The subsequent chapters will reveal far-reaching policy implications within the new epigenetic
perspectives which have been introduced throughout the preceding volumes, especially in Volume I,
Volume II, Volume IV and Volume V. Due to the radically new archietcture for National Innovation
Systems, taking its prime focus in a dual level interconnective ‘‘rectangle’’ of NIS-genotypes and NISphenotypes, the main policy recommendations will and must follow a different pattern when compared to
conventional accounts of ‘‘steering’’ and ‘‘control’’. In particular, the three main sections of Part II can be
charcterized by the following summary.
The first section of the subsequent policy part runs under the label of ‘‘epigenetic policy
foundations’’, stressing, above all, the principal components of an epigenetic policy mix,
emphasizing the following three areas.
‘‘Steering’’ and ‘‘control’’ are conceptualized as a subset proper of problem classes with
respect to intersystemic couplings and connections ...
Essential self-organization principles for steering and control within and across the four
epigenetic dimensions are put forward ...
Partially new frameworks for conceptualizing NIS-policies will be introduced, namely,
on the one hand, policy typologies for a NIS III ensemble of science, economy and the
state and, on the other hand, proper recombinations of these epigenetic policy categories
with the indicator systems and classes introduced in Volume IV.
Section II is devoted, then, to a comprehensive compilation of appropriate policy measures for
the entire Austrian Innovation System architecture, comprising eight program groups in the
area of science and technology policies, summarized within Table 0.1 (next page). Due to the
overall evolutionary and dynamic approaches of the entire project, the spirit of the subsequent
deliberations will be ‘‘de-mission oriented’’, marking thus a sharp contrast to the existing
Austrian science and technology program (BAYER et al. 1994) which contains a strong
‘‘mission orientation’’ (BAYER et al 1994:85pp.).
61
Table 0.1: Eight Evolutionary Agenda for Stimulating the Austrian Innovation System
P-P DIMENSION
EPIGENETIC DIMENSIONS
P-G DIMENSION G-G DIMENSION G-P DIMENSION
NIS DISTRIBUTION
POWER
EVOLUTIONARY
PROGRAMS I
EVOLUTIONARY EVOLUTIONARY EVOLUTIONARY
PROGRAMS II
PROGRAMS III PROGRAMS IV
NIS ENSMEBLE
POWER
EVOLUTIONARY
PROGRAMS V
EVOLUTIONARY EVOLUTIONARY EVOLUTIONARY
PROGRAMS VI PRORAMS VII
PROGRAMS VIII
Finally, Section III will bring some conclusions for increasing processes of ‘‘self-reflexivity’’
and ‘‘self-monitoring’’ within the science system itself. These reforms will focus mainly on
two different aspects.
First, the appropriate infrastructure will be summarized which becomes indispensable
for stepping up processes of ‘‘observing science’’ or, alternatively, of ‘‘science
observed’’.
Second, some implications of self-reflexive research organizations and of altered daily
scientific routines will be outlined which, upon closer inspection, coincide not
surprisingly with main characteristics of Mode II ‘‘knowledge production’’.
Thus, the three sections of the Policy Part II bring the entire project to a logical end which, in more than
one way, leads, once again, to the starting points specified in Volume I. After all, considering the
beginning in Chapter I on ‘‘Evolutionary Systems’’ within Volume I, the long and winding research
trajectories through theory space, through model worlds or through the empirical indicator domains have
produced an overwhelming evidence that National Innovation Systems can be attributed the following
five characteristcs.
First, the processes under investigation have been characterized by attributes such as
increasing complexity, critical fluctuations, pattern formations, discontinuities, non-
62
linearities, sensitivity for differences in the initial conditions, structural changes, chaotic
oscillations and the like.
Second, it has been reasonable to assume that these attributes are not the consequence of a
central steering or control unit but the outcome of the interactions between the systemic
components. Moreover, the systems in question should be composed of a large number of
distinctive sub-components.
Third, the prevalent relations of the field under investigation have been lying in the internal
dynamics of the systems components and not, at least not in a predominant way, in the
systems-environment relations.
Fourth, the essential processes and structures of the systemic components - their withinorganization - have turned out to be, again in principle, observable and historically as well as
actually measurable.
Fifth, general requirements like ‘‘comparative advantages’’ have become, at least in their
essential segments, specifiable.
Quod erat demonstrandum
63
SECTION I:
STEERING AND CONTROL
IN
EPIGENTIC SYSTEMS
64
1. CONCEPTUAL PRE-REQUIREMENTS
FOR THE ANALYSIS OF REFORM PROGRAMS
Having summarized a variety of national as well as international innovation and technology programs
from an epigenetic point of view, it should come as no surprise that the analysis of reforms and policy
measures for Austria requires from its very outset a comparatively large class of new definitions and
additional clarifications, necessary for an adequate understanding especially of Section II and Section III.
1.1. PRELIMINARY ADAPTATIONS OF
‘‘STEERING’’ AND ‘‘CONTROL’’
WITHIN AN EPIGENETIC FRAMEWORK
The first chapter centers around the question of necessary modifications in order to conceptualize science
and technology programs within an appropriate epigenetic framework. Here, five preliminary steps must
be undertaken for a successful accomplishment of the required transformations.
The first step may seem trivial but has some far-reaching implications which are seldom taken
seriously in conventional policy accounts of National Innovation Systems. More concretely,
the first requirement asks simply for an integration of the policy reform units in a NISframework which must encompass, then, the policy institutions as subset proper. Taking the
current NIS-investigations as prime example, the NIS-analysis has to shift from a NIS II
ensemble with Double Helices (Genotype Levels)/ Double Networks (Phenotype Levels)
into a NIS III configuration with Triple Helices (Genotype Levels) / Triple Networks (Phenotype Levels)
65
Here, the state apparatus in general and the policy shaping state units are to be considered as
new elements both at the genotype and on the phenotype levels.
Second, since large scale social systems like the economy, science or the state are to be
constructed as mainly internally propagated self-organizing ensembles far beyond the visions
of ‘‘trivial machines’’ (Heinz von Foerster), the problem of steering and control must be
adressed within a non-trivial framwork, too, where the trivial input ⇒ output linkages must be
replaced by state-determined internal ‘‘mechanisms’’ and by an indirect connection of
systemic inputs and outputs. Moreover, the problem of intra-systemic control and steering has
to be couched within a non-trivial systemic framework, too. Following Stafford Beer
(1994a,b,c) or, as a variation of a ‘‘complexity thema’’, Ralph Glanville (1988), Herbert
Simon (1993) or Helmut Willke (1995, 1996), one is led to a complex intra-systemic control
configuration of the following type Controls ... cannot be designed in the sense in which most people would understand that term,
because there is nowhere near sufficient understanding about the detailed structure of the
organism itself, nor of the environment to which it has to adapt, nor of the interaction between
these two. But this is not to say that controls for viable systems cannot be designed at all.
Certainly, we can design those error-regulating negative feedbacks that directly reduce the
powers allowed to a wandering variable, and indirectly force it back to its acknowledged best
level. But it has also been shown that feedback must operate on the entire structure of whatever
proliferates variety, on its organization, on the built-in sub-systems that produce aberrant
behaviour. It is this deeper-level control that can be designed: a ‘meta-control’ mechanism
capable of amplifiying such control power as is built into it by its designer to cope with the
unexpected. (BEER 1994a:301p.)
Third, for the level of two or more interconnected large scale socio-economic systems, a
slightly modified non-trivial input ⇔ withinput ⇔ output-perspective can be put forward in
which three inter-systemic innovation types can be distinguished.
Innovations in the output-input relations between two large scale systems (new outputs
of system σ1 become new inputs for σ2, σ3 ... which, in turn, lead to innovations within
σ2, σ3 ... etc.)
Innovations in the input-output intersection of two large scale systems (new inputs for
σ1 lead, in turn, to innovative outputs of σ2, σ3 ... etc.)
Innovations via a withinput-withinput imitation in at least two large scale systems (a
withinput-component in σ1 becomes, in turn, imitated and adapted in the withinorganization of σ2, σ3 ... etc)
66
Thus, the main innovation processes for the duality of epigenetic levels between large scale
socio-economic ensembles σI and σj can be classified as Outputi-Inputj Innovations
Inputi-Outputj Innovations
Withinputi-Withinputj Innovations
It goes almost without saying that the same types of classifications and taxonomies can be
used for different types of denovations which follow exactly the same pattern of
differentiation and can be classified, thus, as
Outputi-Inputj Denovations
Inputi-Outputj Denovations
Withinputi-Withinputj Denovations
The subsequent Table 1.1 summarizes the preceding discussion on interconnetivity between large scale
socio-economic systems and their innovative or denovative consequences.
Table 1.1:
Changes at the Level of Interactions between Large Scale Systems
CHANGES
INNOVATIVE
EFFECTS:
Comparative Advantages
for Interconnected
Large Scale Systems
(Increase in Average
Fitness of Systems)
DENOVATIVE
EFFECTS:
Comparative Disadvantages
for Interconnected
Large Scale Systems
(Decrease in Average
Fitness of Systems)
Fourth, outside changes from the environments of systems σ1, σ2 .... which on the average
systemic level increase the average fitness (reproduction, competitiveness), can be classified,
once again, as excitatory turbulence whereas changes, deteriorating the average fitness
(reproduction, competitiveness) of large scale socio-economic systems, will be labeled,
likewise, as inhibitory turbulence. Consequently, the trajectories of environmentally
interconnected large scale socio-economic systems can undergo evolutionary or devolutionary
67
phases, depending on the effects of withinside (intra-systemic), inside (inter-systemic) or
outside (extra-systemic) changes on their average fitnesses (reproduction, competitiveness).
Table 1.2 captures the essence of possible linkage structures between large scale socioeconomic systems and their natural environments.
Table 1.2:
Changes at the Level of Large Scale Systems - Environment Interactions
CHANGES
EXCITATORY
TURBULENCE:
Comparative Advantages
INHIBITORY
for Environmentally
TURBULENCE:
Interconnected Large Scale
Systems (Increase in Average
Fitness of Large-Scale
Socio-Economic System)
for Environmentally
Systems (Decrease in Average
Fitness of Large-Scale
Socio-Economic System)
1.2. ‘‘STEERING’’ AND ‘‘CONTROL’’
AS INTER - SYSTEMIC LINKAGE DOMAINS
In the present chapter, processes of ‘‘steering’’ and ‘‘control’’, especially the control relations between the
state and the science system which are assumed, following conventional wisdom accounts, to exhibit
strong and close steering ties from the state sphere to the area of science, will be conceptualized in an
alternative manner which can be summarized by two main methodological devices.
First, the state sphere and the area of science are to be analyzed as separate and autonomous
systems respectively irrespective of the highly interlocked and entangled financial flows and
the apparent control linkages from the state apparatus to the science system.
Second, in many instances of interconnected systems analysis, it is worthwhile to
conceptualize the relations between systems as a genuine system itself, increasing, thus, the
68
main systemic components of a NIS III ensemble to four principal elements, namely to
science, economy, state and to a ‘‘transfer module’’.
Surprisingly enough, four major justifications can be presented which, hopefully, will make these
particular steps more intelligible.
First, the general outlook employed by the present evolutionary or, more concretely, by the
current epigenetic approach does assume, due to the degree of closures, or alternatively, due
to a predominantly internally propagated dynamics in large scale socio-economic systems
that, at least as starting hypothesis, no determinative control and steering effects between large
scale socio-economic systems should be taken for granted a priori. Consequently, popular
concepts like the hypercomplexity of modernity and postmodern variations on the magical
meta-thema of ‘‘connectiones omnium cum omnibus’’ are seen much more in the light of a
specific Lebensgefühl than as a self-evident starting or background assumption for a systemic
policy research. In addition, the suitable metaphors, if any, for the policy relations between
large scale socio-economic systems are the ones of various, largely independent patterns of
relations between non-trivial multi-layered networks and helices - or living systems for short
(MILLER 1978).
Second, it must be stressed again and again that for the question of intersystemic controls
between two or more large scale socio-economic systems a considerable problem arises,
namely the question of attribution, or, in terms of the Austrian School of Economics, of
Zurechnungen. Consider, for matters of simplicity, a financial support program for research
institutes which over a period of five years has effectively increased the technical
infrastructure and which has stepped up the local connectivity as well as the research
interconnectivities at the national level. The resulting problem is simply one of attribution
whether the observable consequences are to be regarded as the effects of the policy program.
Here, the introduction of a transfer module offers an interesting possibility for attributions
since the internal dynamics of the controlled system as well as of the transfer module offer, in
conjunction, an appropriate basis for deciding whether the observed processes and
improvements can be justifiably attributed to the dynamics of the transfer module and, thus, to
the consequences of the policy program under consideration - or not.
Third, in the presence of both complex developmental patterns between a policy generating
system and another large scale ensemble and considerable flows between both system areas,
the transition system acquires, metaphorically speaking, an ‘‘internal logic’’. Phrased
differently, the transition system is assumed to follow an internally propagated dynamics of its
own ... 4
4
For the usefulness of a specification of the transitions between education and employment as a system of its own see e.g. LASSNIGG
(1989).
69
Fourth, attempts to establish policy linkages between a comparatively large number of large
scale socio-economic subsystems remains definitely a viable and valuable research strategy,
though an important qualification must be added: In cases of three, four or more interlinked
socio-economic systems, attribution and boundary problems increase, almost by necessity, in
an exponential fashion.5
Due to the shift in perspective from ‘‘steering’’ and control’’ to intersystemic linkages, systemic fitness
and turbulences, two core epigenetic concepts can be introduced at this point, namely intersystemic coordination
intersystemic disturbance
In a precise manner, these two concepts can be defined in the subsequent way.
Table 1.3:
Intersystemic Coordination and Intersystemic Disturbance
COMMON PREREQUIREMENTS
Linkages between at least Two Large-Scale Socio-Economic Systemsi,j
Substantial Function of Interlinkages for Systemic Performancesi,j
DIFFERENTIATION BETWEEN ‘‘COORDINATION’’ AND ‘‘DISTURBANCE’’
INTERSYSTEMIC Comparative Advantages
INTERSYSTEMIC
COORDINATION: for the Totality of
DISTURBANCE:
Systemsi,j (Increase in Average
Fitness of the Two Large-Scale
Socio-Economic Systems i,j)
5
for the Totality of
Systemsi,j (Decrease in Average
Fitness of the Two Large-Scale
Socio-Economic System i,j)
Moreover, the policy linking of all relevant large scale socio-economic systems into a single complex of national or world societies, while
a rewarding and desirable research strategy in its own right, can neither be assumed the final and most fundamental goal of the social sciences
nor a complete representation of the totality of society. Contrary to stylized perspectives like the one raised by Immanuel Wallerstein (1991),
a global policy systems approach remains just a single reserach path to follow amidst a truly infinite phase space of possible systemic
trajectories. Even worse, a global systems approach cannot be qualified as the most important sans phrase either, since notions like relevance
or importance remain intimately linked to the eyes of the observer. And, fortunately or unfortunately enough, the variation of perspectives
seems to undergo, almost by necessity, a process of persistent widening and enlargement whereby new cognitive elements open up and, as a
genuinely non-intended side-effect, new areas and new frontiers for recombinations, permutations, and variations arise ...
70
With Table 1.3, a significant substitution of ‘‘steering and control’’ to ‘‘corrdination and disturbance’’ has
taken place. One of the immediate consequences of the above specifications lies in the introduction of two
additional attributes, namely symmetric coordination (disturbance) and asymmetric coordination
(disturbance).
For symmetric coordination (disturbance), the linkages between two large scale social
systemsi,j must be of roughly equal proportions whereas for asymmetric coordination
(disturbance) substantially more linkages, both in frequency and in temporal sequencing, are
generated from systemi to systemj than from systemj to systemi.
Another implication from switching to intersystemic coordination and disturbance processes lies in a
differentiation between two types of coordination or disturbance, namely between
centralized coordination (disturbance)
distributed coordination (disturbance)
For a distributed or, alternatively, for a centralized form of coordination, the following relationships hold.
For distributed coordination (disturbance), the connections between two large scale social
systemsi,j are distributed across a large number of systemic componentsi, acting independently
from each other.
For centralized coordination (disturbance) however, the independence condition cannot be
upheld. Here, a large number of systemic actorsi generate linkages for a systemj in an
intentionally planned manner.
Clearly, policy programs originating from a single ‘‘master plan’’, fulfill, if successful, the condition of
centralized coordination. Conversely, state actors which, independent from each other, engage in a
successful policy proliferation, will act in a distributed fashion.
To sum up, there seems to be, given the predominant research interests in modeling long term policy
formation and steering processes within large scale socio-economic systems, sufficient justification in
analyzing NIS III ensembles via the new general epigenetic coordination and disturbance specifications
just outlined.
71
2. THE EPIGENETIC BASIS
OF COORDINATION AND DISTURBANCE
The core step in providing appropriate epigenetic foundations of policy making will establish, then, six
major corner stones which become the main conceptual instruments for a self-organization policy
analysis.
First, the notion of policy programs will be introduced in a more precise fashion, stressing,
above all, their G/P dimensions.
Second, two concepts, namely ‘‘fitness measures’’ and ‘‘catalytic effects’’ will be proposed as
central epigenetic policy criteria.
Third, some essential boundaries will be drawn for different types of policies, especially, but
not exclusively, for Science Policies
Technology Policies
Second Order Policies
as well as for further spatio-temporal differentiations.
Fourth, the problem of the effects and consequences of steering and control within an
interlinked epigenetic setting of self-organizing and, thus, ‘‘autonomous’’ large scale socioeconomic systems will be discussed in some detail. More specifically, a non-exhaustive
enumeration of possible interlinkages between the state system and other large scale socioeconomic ensembles will make it abundantly clear that policy schemes like those developed
by WILLKE (1995), namely the conceptualization of steering and control via Power
Financial Flows
Knowledge
cover only a fraction of ongoing intersystemic policy exchanges in societal settings.
72
Fifth, some essential paradoxes of steering and control will be re-interpreted in the light of the
previous analyses.
Sixth, ten megatrends in the metamorphosis of policy programs will be provided which
complement the already introduced megatrends on the future of knowledge and information
societies.
In this manner, a partially new perspective will be gained which sheds additional light on current phase
transitions in the domain of science and technology policies.
2.1. POLICY PROGRAMS
FROM AN EPIGENETIC POINT OF VIEW
As an introductory step, policy programs will be defined in the following manner, namely as any welldefined embedded program at the genotype and at the phenotype levels which fulfills most of the
following characteristics simultaneously:
STATE ORIGIN: First, programs must be formulated and implemented within the large scale
state-system. In contrast, coordinative mechanisms as well as self-organization processes by
firms, institutes or other non-governmental bodies should not be considered as policy
programs. Instead, the notion of ‘‘coordination systems’’ and ‘‘coordination programs’’ will
be used for coordinative efforts outside the state system.
CONTEXT
OF
APPLICATION: Second, the policy programs must be specified for a specific
domain which, in most cases, lies outside the state system itself although policy programs for
the state system itself are clearly not excluded.
GOAL SPECIFICATION: Third, policy programs must be devoted to the specification of goal
areas G which are to be reached via the program implementation.
EMPIRICAL DIFFERENCES: Fourth, the specified goal areas must exhibit a clearly recognizable
and measurable difference D to the existing state of affairs.
73
POLICY INSTRUMENTS: Fifth, the programs must exhibit, as one of their core-requirements, a
set of instruments I which, in a purely formal manner, can be described as operators for which
the following condition holds I: D ⇒ min
REACHABILITY: Sixth, the program under consideration has to carry with it a sufficiently
plausible justification for the reachability of the goal domains and for the effectiveness of the
selected instruments. Thus, policy programs must be linked to the ongoing policy research in
order to demonstrate their operative capabilities and their working potential.
In this general and, at least prima facie, uncontroversial manner, policy programs can be differentiated, on
the one hand, from coordinative efforts within a NIS-II, NIS III or NIS S context and, on the other hand,
from other forms of outputs by the state system which do not fulfill the requirements for policy programs.
Moreover, for any policy program the two epigenetic levels become of equal importance.
At the genotype levels, policy programs can be studied in their codified contents, focusing,
thus, on the major program structures, on the theoretical background for the specification of
target areas, on the consistency between goal areas and the chosen policy mix, on the
compatibilities and incompatibilities between the policy program under investigation and
other policy programs for the same spatial ensemble or for other spatial settings. The previous
section on national and international science and technology programsmay be regarded as a
paradigmatic case for policy analyses at the genotype level, since the major contents of these
programs have been discussed.
At the phenotype levels, policy programs, due to their embedded character, can be analyzed
with respect to their networking effects and capacities, ranging from the financial flows and
impact to the level of newly created institutions or to the level of new NIS-actor networks.
Moreover, the implementation of policy programs as well as the degree and type of utilization
form another group of vital policy analyses at the phenotype levels.
With this definitional exercise, a provisional concept of policy programs has been gained which, however,
needs a large amount of additional specifications and explications.
74
2.2. THREE CENTRAL EPIGENETIC POLICY CONCEPTS:
FITNESS - MEASURES, CATALYTIC MANAGEMENT,
TEMPORAL SEQUENCING
The next steps in the epigenetic foundations of policy making consist in the introduction of three concepts
which become of vital importance in formulating and assessing science or technology policies. These
three concepts, taken together, could serve as one of the cornerstones for an epigenetic policy formation,
both with respect to policy contents and with respect to policy analysis. Together with the subsequent
explorations of policy typologies and, above all, with current phase transitions in policy making, an
appropriate and comprehensive epigenetic policy plattform will be specified in a sufficiently complete
fashion.
2.2.1. FITNESS - MEASURES
The first concept, namely ‘‘fitness measures’’, produces the necessary empirical guidelines for evaluating
NIS policies and the trajectories of National Innovation Systems. In general, the notion of ‘‘fitness’’ has
been introduced and discussed at length already in Volume I. The important additional qualification to be
made within the policy context comes through the recombination of ‘‘fitness measures’’ with the
performance and local domain indicators of the NIS distribution power and the NIS ensemble power.
Here, two broad fitness domains can be differntiated, namely
General NIS Fitness Measures
Specific NIS Fitness Measures
75
Stated very generally, the OECD averages of NIS performance indicators and local domain indicators can
be considered both as the appropriate empirical measures of general or special fitness and, moreover, as
the precise target areas for the shaping and defining of above or below average NIS fitness. The major
justification for using OECD averages as thze major determinant for fitness ranges and fitness values can
be given in three different lines of reasoning.
First, OECD averages, be they weighted or unweighted, point to the current NIS state within
the context of the most developed regions in the world. Thus, OECD averages are to be
considered as a ‘‘natural’’ way for partitioning superior NIS performances, expressed by
above average values, from their inferior counterparts, characterized by below average
measurements. Moreover, the cardinal NIS data for OECD averages allow for a variety of
additional categorizations, ranging from the shape of the OECD wide distribution to the
intertemporal development patterns across nations.
Second, OECD averages and, consequently, above and below average values are, from a
scientific point of view, of a comparatively high data quality , yielding precise numerical
values, distances and orderings within and between National Innovation Systems. Especially
important, short and long distances from OECD averages, NIS performances slightly above
and high above the OECD averages can be identified in an intersubjectively ‘‘satisficing’’
manner.
Third, OECD averages and above average values become an easily specifiable domain for
policy targets within OECD countries, since the following list of intertemporal policy
objectives can be formulated in the mode of Table 2.1.
Table 2.1: Intertemporal NIS Policy Objectives
SHORT RUN
MEDIUM RUN
LONG TERM
Improvement
Average Position
Above Average
AVERAGE POSITIONS:
Improvement
Above Average
Leading Position
ABOVE AVERAGE
Improvement
Leading Position
Retaining Status
BELOW AVERAGE
POSITIONS:
76
POSITIONS:
LEADING POSITION:
Improvement
Retaining Status
Retaining Status
In the manner of Table 2.1, ‘‘catalytic processes’’ in NIS formation can be set in motion in
which, in a variation to Lewis Carroll, any National Innovation System has to introduce and
accomplish substantial changes, reforms and innovations in order to retain its relative
position. For upward movements within the dynamic OECD context, twice as many changes,
reforms and innovations become necessary.
To sum up, the OECD averages in the NIS performance and local domain indicators determine the ranges
for high and low distribution/ensemble power in the following manner. (See Table 2.2, next page)
Likewise, a similar definitional procedure yields the corresponding definitions for ‘‘fitness measures’’ in
specific local domains of the distribution/ensemble power of National Innovation Systems. (See Table
2.3, next page)
Table 2.2: General Fitness Measures within an Epigenetic Framework
ABOVE AVERAGE
FITNESS:
A National Innovation System exhibits high fitness measures in its
distribution/ensemble power iff the performance indicators for the
NIS distribution/ensemble power are, on the average, higher than the
corresponding OECD-averages.
AVERAGE
FITNESS:
A National Innovation System exhibits average fitness measures in its
NIS distribution/ensemble power are, on the average, within the same
range as the corresponding OECD-averages.
BELOW AVERAGE
FITNESS:
A National Innovation System exhibits low fitness measures in its
NIS distribution/ensemble power are, on the average, lower than the
77
78
Table 2.3: Special Fitness Measures within an Epigenetic Framework
ABOVE AVERAGE
FITNESS:
indicators
A National Innovation System exhibits high fitness measures in a local
domain of its distribution/ensemble power iff the local domain
are, on the average, higher than the corresponding OECD-averages.
AVERAGE
FITNESS:
A National Innovation System exhibits average fitness measures in its
NIS distribution/ensemble power are, on the average, within the same
range as the corresponding OECD-averages.
BELOW AVERAGE
A National Innovation System exhibits low fitness measures in its
NIS distribution/ensemble power are, on the average, lower than the
FITNESS:
Finally, Diagram 2.1 points to a morphological space of possible NIS-fitness positions, where, especially
important, the NIS-distribution power and the NIS-ensemble power are characterized by independent
axes. (See Diagram 2.1, next page)
Consequently, the formal definitions for the four possible fields in the Diagram 2.1 can be provided in an
obvious and self-evident way which has been summarized by Table 2.4 (next page) From the definitional
accounts of Table 2.4 and from the empirical results of the performance indicators and local domain
indicators in Volume IV it follows immediately that the current Austrian Innovation System occupies a
position of low distribution power / low ensemble power
closer to the origin than to the center of the Diagram 2.1, when using the available OECD averages.
79
Diagram 2.1: A Two-Dimensional Space for Possible NIS Positions
Ensemble Power
high
low
Distribution Power
low
high
Table 2.4: Definitions for NIS-Locations in the Distribution/Ensemble Power Space
DOMAIN OF POSSIBLE
FITNESS POSITIONS
HIGH/HIGH
A NIS location of high distribution power/high ensemble power across
all four epigenetic dimensions is characterized by above OECD average
values in NIS performance indicators.
LOW/LOW
Conversely, a NIS location of low distribution power/low ensemble
power across all four epigenetic dimensions is characterized by below
OECD average values in NIS performance indicators.
80
Table 2.4: Definitions for NIS-Locations in the Distribution/Ensemble Power Space (Continued)
HIGH/LOW
LOW/HIGH
by
Finally, a NIS location of low (high) distribution power/high (low)
ensemble power across all four epigenetic dimensions is characterized
below (above) OECD average values in performance indicators
of NIS distribution power and by above (below) average values in
performance indicators of NIS ensemble power..
2.2.2. CATALYTIC MANAGEMENT
Having introduced the measurement bases for the NIS fitness by invoking the corresponding OECDaverages, the next step may be even considered a logical one since it is devoted to the overall contents of
policy programs for National Innovation Systems. Consequently, the second notion of ‘‘catalytic
management’’ (GALL 1990:143) or, alternatively, of ‘‘catalytic effects’’, summarizes, then, the most
general policy directions and objectives. In its most obvious and, at the same time, most trivial form,
‘‘catalytic management’’ can be introduced as the sustained proliferation of policy programs, be they
direct, indirect or structural, which, from their general policy background, are justifiably linked with
positively sloped trajectories within the phase space of Diagram 2.1.
Table 2.5: Catalytic Policy Management within an Epigenetic Framework
CATALYTIC
MANAGEMENT
A sustainable flow of policy programs which are accompanied by an
upward path of the National Innovation System from its
current position to a new location of high distribution power/high
ensemble power across and within all four epigenetic dimensions.
81
So far, the overall definition, due to its trivial nature, poses no cognitive problems. However, the
emphasis on steering and control as inter-systemic connectivity, on the non-trivial character of intersystemic linkages, etc. makes it imperative to adjust the definition for ‘‘catalytic management’’,
introduced above, with the overall epigenetic and self-organizing theory background. In order to
accomplish this objective, ‘‘catalytic policy management’’ will become a definitional counterpart, namely
‘‘retarding policy management’’ which is operative in the subsequent circumstances of Table 2.6.
Table 2.6: Retarding Policy Management within an Epigenetic Framework
A sustainable flow of policy programs which are accompanied by a
nonRETARDING
MANAGEMENT
positive path of the National Innovation System from its
current position across and within all four epigenetic dimensions.
Thus, the policy output from the state system can be associated with . For the attribution of ‘‘catalytic
management’’, two independent requirements become necessary.
First, the NIS performance indicators must exhibit a positively sloped trajectory within
Diagram 2.1.
Second, there must be a cognitive linkage between the policy programs, their
implementations, the reactions and adaptations outside the state domain and, finally, the
positively sloped NIS-trajectories.
From the two requirements just specified, one is led, thus, to Table 2.7 where two different types of policy
proliferation are to be differentiated, namely, on the one hand, ‘‘catalytic policy programs’’ and, on the
other hand, ‘‘retarding policy programs’’.
Table 2.7: Catalytic and Retarding Policy Programs
CATALYTIC
Policy Programs which are creating positive effetcs within a NIS III
82
POLICY
PROGRAMS:
ensemble and which contribute substantially to a sustainable upward
path of National Innovation Systems, once again measured by NIS
performance or local domain indicators, are to be qualified as ‘‘catalytic
policy programs’’.
Table 2.7: Catalytic and Retarding Policy Programs (Continued)
RETARDING
POLICY
sustainable
PROGRAMS:
Programs which are creating non-positive effetcs within a NIS III
ensemble and which contribute substantially to at least a nonposition of National Innovation Systems, once again measured by NISperformance or local domain indicators, are to be qualified as
‘‘retarding policy programs’’.
Finally, Table 2.7 leads to the following three NIS policy regimes which are specified in Table 2.8.
2.8: Four Policy Regimes in National Innovation Systems
CATALYTIC MANAGEMENT:
Positively Sloped NIS-Trajectories/Substantial Policy Contribution
NON-CATALYTIC MANAGEMENT:
Positively Sloped NIS-Trajectories/Non-Substantial Policy
Contribution
Non-Positively Sloped NIS-Trajectories/Non-Substantial Policy
Contribution
RETARDING MANAGEMENT:
Non-Positively Sloped NIS-Trajectories/Substantial Policy
Contribution
Following the discussions and suggestions on conceptualizing the impact of the NIS-distribution power
and of the NIS-ensemble power in Volume IV, the two core-imperatives for shaping policy programs can
be written down immediately as fitness enhancing demands of the format -
83
Increase the Fitness of the NIS-Distribution Power
Increase the Fitness of the NIS-Ensemble Power
Moreover, the possible spaces for catalytic intervention can be specified very easily by adjusting the
overall epigenetic architecture.
Table 2.9: The Policy Space for Catalytic Intervention
POLICY SET I: INCREASING THE INTER-AND INTRASYSTEMIC NETWORK DENSITIES
P1: Policy Programs for the Information Configuration I
⇒
P
⇑
POLICY SET IV:
IMPROVING THE KNOWLEDGE
UTILIZATION POTENTIAL
P4:Policy Programs for the
Knowledge
Configuration II
Ü
POLICY SET II:
P
⇓
POLICY SET II:
NEW QUALITY
NEW QUALITY
OFFENSIVES
OFFENSIVES
P2: Policy Programs
P2:Policy Profor the Information
grams for the
Configuration I
Information
G
G
Configuration II
POLICY SET III: STEPPING UP THE AUSTRIAN KNOWLEDGE BASES
P3: Policy Programs for the Knowledge Configuration I
⇒
2.2.3. TEMPORAL SEQUENCING
Finally, the necessary catalytic policy programs and, more imprtantly, the catalytic policy regime can and
must be organized within a NIS-specific time scale, separating, on the one hand, long term programs from
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their short and medium term counterparts and dividing, above all, different policy goals in the stepwise
format of Table 2.1. (See Table 2.1, above) In order to guarantee a minimal consistency between the
different time horizons, the following consistency requirements can be put forward:
First, long-term programs should be in concordance with short and medium term programs so
as to guarantee a minimum of non-intended and un-intended effects in the short and medium
run.
Second, short term programs should exhibit a minimum degree of non-intended and unintended effects in the medium and in the long run so as to ensure a concordance with long
term programs.
Aside from the temporal convergence of policy programs irrespective of their temporal duration, temporal
dimensions play, as has been shown in Table 2.1, a vital role in determining the contents of policy goals,
leading to an ordering of the format Short Run - Incremental Improvements
Medium Run - Qualitative Changes
Long Term - Sustainable Qualitative Changes
(For a summary, see Table 2.10, below)
In the case of Austria, for example, the temporal arrangement of long-term and short-term goals assumes,
due to the relative backwardness of the Austrian Innovation System both within the fields of distribution
power and of ensemble power, a straightforward format which has been summarized in Table 2.11. (See
Table 2.11, next page)
Table 2.10: Temporal Sequences for Overall Goals in Science and Technology Policy
SHORT-TERM
NIS GOALS:
Goal values for NIS performance and local domain indicators for
distribution power and for ensemble power above the current position.
MEDIUM-TERM
NIS GOALS:
distribution power and for ensemble power above the current
85
NIS - category.
LONG-TERM
NIS GOALS:
distribution power and for ensemble power at the top of OECDpositions.
Table 2.11: Temporal Sequences for Overall Goals in Austrian Science and Technology Policy
SHORT-TERM
NIS GOALS:
distribution power and for ensemble power above the current position.
MEDIUM-TERM
NIS GOALS:
distribution power and for ensemble power within the OECD averages.
LONG-TERM
distribution power and for ensemble power above the OECD averages.
NIS GOALS:
Phrased differently, a successful restructuring of the Austrian National Innovation System must be
considered as a very long term process of thirty to forty years in the minimum, since the rational longterm expectations lie, at least with respect to the performance indicators for the NIS distribution and
ensemble power, in an upward movement above OECD averages, but clearly below a leadership position
except for selected local NIS domains.
2.3. MAJOR POLICY - TYPES
FOR COORDINATION AND DISTURBANCE
The next point, while nearly self-evident, offers an important the differentiation between different policy
groups. Retaining, for obvious reasons, the epigenetic framework and the different NIS-families, a
86
suggestion, put forward by MOWERY (1994) will be taken up and systematized which will lead to four
different types of policy programs.
First, with respect to technology policies, David C. Mowery provides a clear-cut demarcation
which separates technology programs from other like trade policies or monetary policies.
‘Technology policy’ is defined as the policies that are intended to influence the decisions of
firms to develop, commercialize, or to adopt new technologies. (MOWERY 1994:8) 6
Second, in a similar manner, the field of science policies can be differentiated from other sets
of policy programs, by focusing on a specific set of actors - institutes - and on a special target
area, namely cognitive innovations and their diffusion.
‘Science policy’ is defined as the policies that are intended to influence the decisions of
institutes to develop or to adopt new scientific programs as well as to distribute these new
programs at the national and at the international level. 7
Third, the term ‘‘second order policies’’ refers within a NIS-III context to the possibility of
reshaping the policy producing institutions, i.e. the state system itself which, by necessity,
leads to a ‘‘second order configuration’’ of new policies for policy making.
‘Second order policy’ is defined as the policies that are intended to influence the decisions of
those institutions which are primarily concerned with the formulation and the propagation of
science and technology policies.
In subsequent chapters, the term STS-policies (Science, Technology, Second Order-Policies)
will be used for the combination of all three policy types.
Fourth, in a simple mode of recombinations, ‘‘innovation policies’’ can be introduced in a
highly general manner, comprising both science and technology policies within a NIS II
6
In a still more general format, technology policies could be introduced in the following manner ‘Technology policy’ is defined as the policies that are intended to influence the decisions of essential economic actors
( ... firm departments, firms, sectors, clusters ...) to develop, commercialize, or to adopt new technologies.
7
Likewise, ‘science policies’ could be de-linked from the institute level to the more general format of science actors, ranging from ...
individual scientists, institutes up to disciplines or scientific clusters ...
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context - and including many additional policy genres like ‘‘family policies’’, ‘‘cultural
policy’’, etc. within a NIS-S ensemble.
‘Innovation policy’ is defined as the policies that are intended to influence the decisions of
NIS-actors to develop, commercialize, or to adopt new technologies. (MOWERY 1994:8)
Another important aspect aside from the domains of steering and control, lies in the scope of regulation
where, relying on the epigenetic foundations as well as on the spatio-temporal aspects of diffusion, three
different dimensions and, consequently, eight extremal types will be distinguished, namely Special Programs (Phenotype/Genotype Levels)/Local Level/Short Term
Special Programs (Phenotype/Genotype Levels)/Local Level/Long Term
Special Programs (Phenotype/Genotype Levels)/Global Level/Short Term
Special Programs (Phenotype/Genotype Levels)/Global Level/Long Term
General Programs (Phenotype/Genotype Levels)/Local Level/Short Term
General Programs (Phenotype/Genotype Levels)/Local Level/Short Term
General Programs (Phenotype/Genotype Levels)/Global Level/Short Term
General Programs (Phenotype/Genotype Levels)/Global Level/Long Term
While almost self-explanatory, the three different dimensions for special/general programs at the
loacal/global level as well along the short term/long term time scale can be differentiated according to the
following criteria.
For the first dimension, policy programs can be differentiated according to the epigenetic
scope and according to the numbers of NIS-actors affected by it. Thus, the appropriate
indicators for measuring special/general programs lie, on the one hand, in their effects and
ramifications within the four epigenetic dimensions and, on the other hand, in the number of
actors within an Innovation System which are significantly influenced by the policy program
under question.
The second dimension proceeds along a single spatial criterion, separating RIS-policies for
relatively small sub-national units from their NIS-counterparts and, finally, from the GISlevel in which policies for the Global Innovation System are implemented.
Finally, the third dimension can be measured in historical time which leads, consequently, to
a grouping of short term policies (effects are absorbed within one year), medium term-policies
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(absorption time of one to five years) and long term polices with ongoing effects beyond five
years.
Another essential distinction, related directly to the available ‘‘knowledge bases’’ on basic NIS transfer
and diffusion processes separates policy programs in three different sets, namely into direct, indirect and
structural policy programs. The main point of differentiation is clearly cognitive in nature, as will become
immediately clear from the subsequent differentiations.
DIRECT POLICY PROGRAMS: For direct programs, the number of NIS actors affected as well as
the effects of the programs can be anticipated via a policy model with suffiecient acczuracy.
More formally, direct policy programs require the following set up.
For a direct policy program Pp, specified for a policy field Fp, with goal areas Gp, policy
instruments Ip and, finally, with an observable difference Dp between the Is-state and the
Ought state, one can identify a theoretical justification, be it based on formalized policy
models or on a set of qualitative hypotheses, on the future trajectories of Dp,t and on the
effectiveness of the policy instruments Ip for the target domains Gp.
From the above definition, it becomes fairly obvious that any satisficing theoretical
justification presupposes rich intertemporal NIS data bases, mostly NIS local domain
indicators, but also, especially in the case of comprehensive, long-term policy programs, NIS
peformance indicators. Thus, direct policy programs are designed to improve NIS-domains so
that the spatio-temporal specifications of the decreasing distances can be provided ex ante.
Moreover, direct programs can assume the form of special and of general programs,
depending on their epigenetic scope and on the number of NIS-actors influenced by the
program under consideration.
INDIRECT POLICY PROGRAMS: Here, the empirical differences, the goal areas as well as the
evaluation criteria are also known in advance, but the ex ante projections assume a far weaker
form than in the previous instance of direct policy programs.
For an indirect policy program Pp, specified for a policy field Fp, with goal areas Gp,
policy instruments Ip and, finally, an observable difference Dp between the Is-state and
the Ought state, one can identify only a theoretical justification for the overall
89
reachability and for the potential effectiveness of the policy instruments Ip for the target
domains Gp.
While any satisficing theoretical justification for indirect programs still presupposes rich
intertemporal NIS data bases and while, moreover, indirect policy programs are designed to
improve NIS-domains, too, the precise spatio-temporal specifications of the decreasing
distances cannot be provided ex ante. For indirect programs, only the overall direction of the
distance-trajectory can be projected on cognitive grounds. Furthermore, indirect programs can
assume, once again, the form of special and of general programs, depending on their
epigenetic scope and on the number of NIS-actors influenced by the program under
consideration.
STRUCTURAL POLICY PROGRAMS: For the third policy category, the ‘‘differentia specifica’’
lies in the fact that it lacks direct or indirect policy instruments which have featured so
prominently in the case of the previous two program types. Rather, it is the theoretically
justified assumption that via the policy program in question a self-organizing process within
the systemic domains will lead to the desired policy result. Thus, the main differentiation
criteria for the three policy classes lie in the degree of involvement of the policy shaping state
units which are comparatively strong in the cases of direct or indirect programs and not
existing in the third instance of structural programs.
For an structural policy program Pp, specified for a policy field Fp, with goal areas Gp
and, finally, an observable difference Dp between the Is-state and the Ought state, one
can identify a theoretical justification for the overall reachability and for the potential
effectiveness of the internal and external adaptations to Pp by the actors in Fp for the
target domains Gp, i.e. for a self-organizing adjustment via the intra- and intersystemic
input ⇔ withinput ⇔ output relations as well as via the external environment ⇔ socioeconomic systems relations.
Having established three different families of policy programs which are differentiated according to the
underlying cognitive knowledge bases and with respect to the degree of state intervention, one can point,
finally, to a last policy categorization by invoking a meanwhile well-established distinction which has
been introduced first by Jan Tinbergen (1972), namely the separation of policy programs into quantitative
policy programs, leading to adjustment and adaptation of policy instruments, into qualitative programs,
introducing structural changes and, third, into reforms, generating new domains, forms of interactions,
90
etc. In economic systems, Tinbergen mentions the invention and the implementation of social security
systems, minimal wage policies or minimal income policies as paradigmatic examples for reforms.
In order to facilitate the intersubjective applicability of these new terms, some paradigmatic examples will
establish the core areas of application for different program types.
DIRECT GENERAL QUANTITATIVE POLICY PROGRAM: As a paradigmatic example, a general
10% increase in public funds for research projects will lead, as an ex ante projection, to a 10%
increase in the number of research projects. Moreover, the innovative increments, achieved by
such a quantitative policy change, can be assessed in advance, too. Finally, due to the large
number of NIS actors affected by such a policy change, the term ‘‘general policy program’’
can be applied.
INDIRECT SPECIALQUALITATIVE POLICY PROGRAMS: In this case, an increase of 10% in public
rsearch funds for firms devoted to a small number of ‘‘hot fields’’ will produce, ex ante, an
increase in research within sophisticated high tech-domains, although the concrete effects are
not precisely known in advance. However, the channeling of funds to high tech niches with
comparative national advantages will fulfill the reachability and the effectiveness condition
required for indirect programs. Moreover, the relatively small number of NIS-actors involved
qualifies the program as a special policy version.
STRUCTURAL GENERAL REFORM POLICY PROGRAM: As a final example, a change in the mode
of application for funded research projects from individual applications to network
applications, requiring the participation of at least two national partners and at least one
international cooperator, constitutes a policy shift of the structural type, since it changes the
self-organization capacities within the NIS II domain without any additional direct or indirect
involvement of the policy shaping units. Due to the profound implications for the networking
capacities and due to the large number of NIS actors affected, such a policy shift qualifies as a
‘‘general reform program’’.
With these three examples, the typology of policy programs from an epigenetic point of view has come to
an end. What follows next, is a detailed discussion of the implications and consequences of different types
of policy programs.
2.4. EFFECTS OF COORDINATION AND DISTURBANCE -
91
EPIGENETIC TYPOLOGIES
The next step in the specification of a new epigenetic policy framework lies in the formulation of four
different ways for the effects of steering and control, ranging from intended policy effects to un-intended,
non-intended and, finally, to ‘‘second order effects’’. More specifiacally, the following demarcations can
be provided which separate the intended policy consequences from their non-intended or unintended
counterparts.
INTENDED POLICY EFFECTS: For the first domain of policy effects, a policy program is built up
according to the policy requirements 1 to 5 where the observable piolicy effects can be
measured via a steady decrease in the differences between the goal areas G and the current
systemic states. More formally, the following definition can be provided.
Given a policy program Pp, goal areas Gp, a set of instruments Ip and an empirically
observable difference between the goal states and the current state of affairs, expressed
as Dp, the intended policy effects can be expressed via the temporal sequence Dp,t where
Dp,ti ≤ Dp,tj for any i ≥ j.
The above definition captures the essence of a variety of conventional policy accounts,
including the classical modeling literature on control systems.
NON-INTENDED POLICY-EFFECTS: An important feature of current policy studies, especially
with rspect to economic policy, lies in the demonstration of the ineffectiveness of policy
programs, since, so one of the major arguments, policies can be anticipated and counterbalanced by the actors within the regulated domains. Thus, policy effects do not exhibit the
intended effects but may exhibit even detrimental consequences. Moreover, due to structural
rationality and aggregation deficiciencies, policy programs may even create a negative impact,
increasing and worsening the already existing Is-Ought discrepancies. More formally, the
non-intended side of policy effects can be given the subsequent meaning.
Given a policy program Pp, goal areas Gp, a set of instruments Ip and an empirically
as Dp, the non-intended policy effects can be expressed via the temporal sequence Dp,t
where Dp,ti ≥ Dp,tj for at least some i ≥ j.
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UN-INTENDED POLICY EFFECTS: Within the same theoretical tradition, another ‘‘body of
evidence’’ has been produced on the un-intended side of policy effects whereby control and
steering for a specific domain is producing, due to the non-trivial interaction and coordination
schemes between large scale socio-economic systems, retarding consequences and effects in
areas outside the regulated domains.ant feature of current policy studies, especially with
rspect to economic policy, lies in the demonstration of the ineffectiveness of policy programs,
since, so one of the major arguments, policies can be anticipated and counter-balanced by the
actors within the regulated domains. Thus, policy effects, aside from generating non-intended
consequencese, may even worsen the situation in other systemic domains. xhibit the intended
effects but may exhibit even detrimental. More formally, the un-intended side of policy effects
can be given the subsequent meaning.
Given a policy program Pp, goal areas Gp, Gq, a set of instruments Ip and empirically
as Dp, Dq, the un-intended policy effects can be expressed via the temporal sequence Dq,t
where Dq,ti may follow either an increasing or on a decreasing path.
SECOND-ORDER EFFECTS: Finally, a fourth class of policy implications can be classified as
‘‘second order effects’’ where one of the following two conditions holds, namely, on the one
hand, a self-referential policy application, i.e. the effects of a second order policy program or,
on the other hand, a new science based policy program for an already scientifically coregulated policy domain.
Given a policy program Pp, goal areas Gp, which are either devoted to policy shaping
domains or to scientifically co-determined areas, a set of instruments Ip and an
empirically observable difference between the goal states and the current state of affairs,
expressed as Dp, the second order policy effects can be expressed via the temporal
sequence Dp,t where Dp,ti may follow any type of trajectory.
Consequently, second order effects can be of an intended, unintended or of a non-intended
nature, depending on the actual Dp,t trajectories. Moreover, ‘‘second order effects’’ cannot be
superseded by ‘‘third order effects’’ since the above definition applies, due to its reliance on
scientific co-determination, to any future scientifcally co-determined policy program.
93
With this fourfold typology of ‘‘policy effects’’, the totality of possible consequences has been captured
since a simple morphological space for possible effects and possible domains shows clearly that the
logical space of possible consequences of policy programs has been taken into account. With the help of
the typology of policy effects, an epigenetic recombination can be set in motion, reconfiguring the
concepts of epigenetic levels (phenotype/genotype), the notions of coordination and disturbance, the
differentiation between direct, indirect and structural policy programs and, finally, the fourfold policy
consequences. In doing so, a new conceptual basis for investigating NIS III processes and development
patterns has emerged which can be summarized in a convenient manner by Table 2.11.
Table 2.11: Epigenetic Foundations for Policy Analyses
DISTRIBUTED
COORDINATION:
DIRECT
COORDINATION:
order
Reliance on the proliferation of policy programs; produced by different
state agencies which are acting independently from each other
Reliance on the proliferation of direct programs; non-intended effects
marginal; positive un-intended effects; positive un-intended second
effects.
INDIRECT
COORDINATION:
order
Reliance on the proliferation of indirect programs; non-intended effects
effects.
STRUCTURAL
COORDINATION:
order
Reliance on the proliferation of structural programs; non-intended effects
effects.
CATALYTIC
MANGEMENT:
Sustained Proliferation of policy programs with the three requirements:
non-intended effects marginal;
positive un-intended effects;
positive un-intended second order effects.
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The enumeration in Table 2.11 could be extended by substituting coordination with disturbance and by
stressing, in the case of ‘‘retarding policy management’’, the relative importance of non-intended effects
as well as the existence of negative un-intended consequences. The important point at this stage, however,
lies in the successful construction of a policy framework which will open up a surprising number of new
policy options, which, though vital for a catalytic science and technology management, are currently
hardly in operation.
95
2.5. THE PARADOXES
OF ‘‘STEERING’’ AND ‘‘CONTROL’’
Having provided a morphological summary of different policy types and policy effects, a short chapter
will be devoted to an increasingly debated issue, namely to the problem of restrictions, limitations and,
above all, of inherent paradoxes in, conventionally phrased, ‘‘steering’’ and ‘‘control’’ processes. (See
also BUCHANAN 1986, FURGER 1994) The starting point will be a chance selection of an interesting
compilation of ‘‘systemic failures’’ where, at the end, a summary of 228 partly well-known, partly
unknown human failures within systems has been compiled. (GALL 1990) Starting with the fourth of the
‘‘horrible examples’’ (IBID:223) and selecting, then, number 14, 24, 34 ..., one arrives at the following
impressive list of ‘‘how systems fail’’.
An austerity budget, proposed and implemeted by a Conservative administration, results in the largest
deficits in U.S. history. (4)
Pension plans end up short of money. (14)
At the Conference Table the question of Table Shape takes precedence over other questions. (24)
Aswan Dam generates vastly increased need for electricity. (34)
Futurologist Herman Kahn proves to be unpredictable. (44)
Nuclear Power Plants produce electricity for thirty to fifty years, radioactive poison for five hundred
thousand years. (54)
Computer goes berserk, no one turns it off. (64)
Elected President, successful candidate continues to campaign. (74)
Red Telephone removed from Oval Ofice, President Kennedy can’t find it. (84)
Statisticians view six meltdowns in 54 trials, conclude risk is one in a hundred million. (94)
Supertankers are too big to come into port. (104)
Great British Groundnut Scheme located by mistake in East Aftica, not West Africa; peanuts won’t
grow. (114)
Heart attack epidemic subsides on its own; cause unclear. (124)
Acid Rain harmful? U.S. elects to study the problem indefinitely. (134)
Family System is loose enough to weather millenial vicissitudes. (144)
Successful flying machine invented by bicycle makers. (154)
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Laboratory rats fail to ignore electrified mazes, explore them even more urgently than before. (164)
Rebound nasal congestion, generated by use of nasal spray, cannot be eliminated by increasing use of
nasal spray. (174)
Talleyrand explains to great Powers that France is just one more victim of Napoleon´s aggressions.
(184)
Inheritance tax, introduced to prevent accumulation of great hereditary wealth, favors the very rich by
forcing the inheritors of small businesses to sell out to large corporations to pay the inheritance tax.
(194)
Gun control is utilized when the President makes a speech statimg that he does not believe in gun
control. (204)
Control panel at Three Mile Island has stuck elevator alarm right next to reactor coolant pressure
alarm, permitting correction of two problems at once. (214)
World Health Assembly gives up after six years of trying to get doctors to measure blood pressure in
kilopascals. (224) (GALL 1990:223pp.)
Confronting Gall´s listing with the previous discusion on policy effects, one can make immediately five
important points.
First, many examples in Gall´s enumeration are linked to the adverse implications of direct
policy programs which in the course of their implementation create a number of negative nonintended or un-intended consequences. In general, the systemic failures by direct intervention
can be linked to the non-trivial context of intersystemic connections which clearly transcend
the trivial intervention and steering framework, exemplified in simple input-output
transformations. Thus, phenomena of the un-intended or non-intended variety can be seen as a
direct consequence of the non-trivial intersystemic setting for ‘‘coordination’’ and
‘‘disturbances’’.
Second, the important sources for systemic failures are associated with features which,
especially in the case of large scale socio-economic systems, cannot be overcome by systemic
redesign since they arise from the complex interaction mode within the systems themselves.
Moreover, peculiar phenomena like the peripheral origin of many innovations can hardly be
accomodated by moving peripheries closer to the center without creating, by necessity, new
potentially innovative peripheries.
Third, the long list of systemic failures makes a strong point for the urgent need for more
substantial ex ante research. More concretely, research domains like the ex ante assessment of
program implementations, the social and environmental consequences in the introduction of
new technologies or the acceptance potential for specific new recombinative technologies
need a much more intensified research effort than the current level, although, as a reminder
97
from Gall´s examples, institutionalizing ex ante research might create some new paradoxes,
too.
Fourth, another ‘‘message’’ inherent in the set of sysetmic failures lies in the simple fact that
‘‘the system itself does not do what it says it is doing’’(GALL 1990:43) and, as a corrollary,
that ‘‘people in systems do not do what the systems say they are doing’’. (GALL 1990:41). In
other words, the shaping of policies and the formation of outputs within a large scale system
like the state exhibits an indispensable element of ‘‘irony’’ (HELMUT WILLKE) far away
from the classical or functional ascriptions of ‘‘Leviathan’’ or of ‘‘Preceptor’’. More
concretely, the process of policy formation must be considered as a self-organization process,
too, where the main ingredients for self-organization like a large number of specific actors
with self-interests or the internally propagated dynamics have to be taken very seriously.
Fifth, one of the clear implications of Gall´s systemic failures lies in the recognition of the
need for ‘‘downsized’’ or, alternatively, ‘‘downstream’’ systems management which is
effectively moving away from fields which are impossible to organize in a direct manner like
the emergence of innovative regions or a strongly distribution oriented National Innovation
System to domains which can be organized and affected in a successful manner like lifting existing and strongly felt barriers at the genotype/phenotype levels
dealing with existing systemic actors intead of setting up new ones (GALL 1990:129)
making advances by fits and starts (IBID:147)
downhill designs (going with the flows) (IBID:132)
An alternative description for the concept of ‘‘downsized’’ STS policies makes reference to an
extremely important restriction, formulated clearly by Karl R. Popper, namely the logical
impossibility to predict at the current time the future state of ‘‘knowledge bases’’ We cannot, by scientific procedures, predict the growth of our theoretical knowledge. We
could, at best, predict at any time, that our knowledge is not growing any longer - that our
present theories are all true, and complete (POPPER 1982b:67)
Thus, ‘‘downsized’’ STS policies avoid, loosely formulated, the impossible task of relying on
still unknown and, by necessity, unknowable cognitive developments in the future, but are
operating, instead, within the existing knowledge and information bases. In other words,
‘‘downsized polices’’ are striving more towards the removal of well-known barriers, towards a
better utilization of existing knowledge bases or towards increasing the current networking
capacities. Consequently, STS polices focusing on innovation domains like the creation of
new knowledge or of still unknown high technology niches will be qualified as ‘‘upsized
policy programs’’.
98
With these five points, an important intermediate step on the consequences of policy programs within a non-trivial
systemic ensemble has been completed. Despite the omnipresence of un-intended or non-intended effects and
paradoxes, the impressive summary of systemic failures by Gall can be accompanied by an equally impressive
listing of systemic successes.
2.6. TEN MEGATRENDS OF
COORDINATION AND DISTURBANCE IN
LARGE - SCALE SOCIO - ECONOMIC SYSTEMS
Having arrived at a sufficiently broad conceptualization of steering and control processes within complex
societal ensembles and having avoided, more importantly, the conventional pitfalls in the analyssis of
policy programs, the concluding step will, once again, demonstrate the usefulness of the preceding
discussion by identifying ten policy megatrends which, similar to the megatrends for information and
knowledge societies, point to developmental processes both in the present time and in the near future.
Moreover, continuing the specification for alternative modes of policy fomation and policy regimes, a
differentiation between Mode I Policy Programs and Mode II Policy Programs will be introduced which,
hopefully, can be seen as an extension of the two knowledge production modes to the field of policy
interventions. Thus, Table 2.12 summarizes the ten megatrends or, alternatively, the ten phase-transitions
between Mode I Politics and Mode II Politics. (See Table 2.12, next page) In particular, the ten policy
shifts can be briefly described via the following enumeration.
GENERAL PROGRAMS: First, societal differentiation in the age of globalized production and
distribution relations implies, almost as a logical corollary, a growing relative importance of
general programs, although the number of special programs will be increasing, due to the
ongoing differentiation processes, too.
INDIRECT/STRUCTURAL PROGRAMS: Second, due to the transformation of the state apparatus
into a service-oriented unit, a shift is bound to occur from direct state intervention to indirect
99
and, most notably, to structural intervention.While the change to indirect and structural
programs brings about a drastic reduction in the participation of the state, the overall
importance of state intervention will remain unaffected.
Table 2.12: Megatrends in Policy Domains for Highly Developed Regions
MODE I-POLITICS
MODE II POLITICS
Special Programs
General Programs
Direct Programs
Indirect/Structural Programs
Single Purpose Programs
Coupled Programs
Ensemble-Oriented Programs
Distribution-Oriented Programs
Feedforward Implementation
Feedback Implementation
Control Programs
Participatory Programs
First Order Programs
Second Order Programs
Domain Specific Programing
Recombinative Programing
National Programs
International/Regional Programs
Short Term Programs
Long Term Programs
COUPLED PROGRAMS: Third, policy programs will become, by and by, special forms of NIS-S
policies which contain, while primarily aimed at a specific domain, other policy objectives as
critical constraints Thus, regional programs will carry with them critical limitations from
STS-policies, investment policies will have regional as well as STS aspects, trade policies
have to be enriched by STS-concerns, etc. In sum, policy programs for specific domains
DISTRIBUTION ORIENTED PROGRAMS: Fourth, especially for highly developed regions with a
rich ensemble setting, the policy programs will be centered to a greater extent on a successful
‘‘networking management’’.
FEEDBACK IMPLEMENTATION: Fifth, policy programs will exhibit an increasing feedback part,
be it in the form of program evaluations or be it in a temporal manner (‘‘sunset programs’’).
Thus, policy programs will be organized in a way which opens up new possibilities for ‘‘trial
and error’’ or, alternatively, for learning from experience.
100
ARTICIPATORY
PROGRAMS: Sixth, probably the most important feedback element will consist
in the participation of groups. Thus, aside from the secular rise of ‘‘lobbying’’
(MAZEY/RICHARDSON 1993) in the vicinity of
policy
producing
units,
the
‘‘accountability’’ and the ‘‘legitimation’’ of STS policies will have to be guaranteed already at
ex ante phases. In this sense, the shaping of ex ante participation and legitimation will turn out
to become, in line with the service centered transformation of the state, one of the most
important activities in the near future.
SECOND ORDER PROGRAMS: Seventh, regarded as a specific feature of a new stage of
modernity (BECK 1986, LASH/SZERBSZYNSKI/WYNNE 1996), policy programs will
have to deal more and more with domains which have been already coordinated or disturbed
by science based programs. In this sense, STS-programs of the future will be confronted with
the consequences of previous STS-policies for which science has played at least a codeterminative role.
RECOMBINATIVE PROGRAMS: Eigth, despite the plea for ‘‘downsized’’ policies, a special
‘‘upsized’’ innovative policy outlet can be formulated, since it is based directly on the
‘‘creativity and innovation theory’’ developed in Volume I. Such ‘‘upsized’’ policy programs
can be accomplished via the recombinations of existing NIS-domains which generate a
potentially new economic or scientific niche. Taking, as a typical Austrian example, two
national NIS-S strongholds, namely the tourism sector and the cultural ensemble, including
the rich infrastructuire of museums, a successful recombinative policy could integrate these
two areas with the basic ‘‘fifth wave technology’’ namely with CIT, resulting in a new
program on ‘‘virtual cultural tourism’’. (BAIER 1996)
INTERNATIONAL/REGIONAL PROGRAMS: Nineth, the globalization of markets and the
internationalization of the ‘‘protective belts’’ will very gradually shift the relative importance
of policy units at different regional levels from the current state dominance to, on the one
hand, global or international units, and, on the other hand, to regional systems well below the
state level.
LONG TERM PROGRAMS: Tenth, policy programs both at the national and at the international
level will have to be oriented more towards medium and long term performance goals,
implementing, thus, another important ingredient for continuous feedback proceses and for
institutional learning.
This short enumeration of novel policy features concludes a third group of megatrends. Like in the case of
the future of knoweldge production (NOWOTNY 1995), Mode I and Mode II policies will not stand in a
101
strict elimination relation, but will remain in (almost) peaceful co-existence, with Mode II policies
gaining in relative importance though.
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3. MAIN PRINCIPLES OF EPIGENETIC POLICIES
Before entering the main principles of epigenetic alias evolutionary alias self-organizational policies, it
seems worthwhile to stress the complex character of interlinked NIS III ensembles under the present
specifications by re-iterating, once again, essential general characteristics of ‘‘dynamic systems’’ which
have been identified already at the outset of Volume I in a slightly modified way.
First, the inter-systemic policy processes under investigation are characterized, too, by
attributes such as increasing complexity, critical fluctuations, pattern formations,
discontinuities, non-linearities, sensitivity for differences in the initial conditions, structural
changes, chaotic oscillations and the like.
Second, these attributes are not the consequence of a central steering or control unit - the state
apparatus - but the outcome of the inter-actions and the inter-linkages between a multi actor
state system and other large scale multi actor socio-economic systems. Moreover, the statesystem in question should be composed of a large number of distinctive sub-components and
not, as usual, as a single homogeneous ‘‘policy unit’’. (WILLKE 1983/1992/1996)
Third, the prevalent relations of the policy fields under investigation must continue to utilize a
non-trivial framework, stressing the complex interfaces between state intervention and its
coordinative or disturbing impact in large scale systems like science, the economy, culture and
the like. (See also SCHIMANK/STUCKE 1994) Thus, despite the policy contexts, the main
analytical perspectives should be focused primarily on the internal dynamics of the intrasystemic ensembles and, only in a secondary manner, on the inter-systemic input - output,
output - input or withinput - withinput relations.
Fourth, the inter-systemic coordination and disturbance processes, the essential features of
policy programs and their propagation throughout society, the ‘‘demands’’, ‘‘interests’’ or
other potential input components for the state system - the inter-systemic structures and
processes and structures for short - turn out to be, again in principle, observable and
historically as well as actually measurable to a sufficient degree so that complex types of
analyses, especially complex modeling, can be applied in policy domains, too.
Fifth, the basic organization or, alternatively, the ‘‘coordination and disturbance mechanisms’’
between different large scale socio-economic systems, especially the input - output relations
of the state system, can be undertaken in a variety of different forms, stressing concpets like
‘‘democracy’’, ‘‘hierarchy’’, ‘‘markets’’, ‘‘negotiation systems’’, ‘‘policy networks’’,
‘‘relational contracting’’, ‘‘solidarity’’ and the like. (See, for example, MAYNTZ 1993,
SCHARPF 1993, WILLIAMSON 1975/1985) It is unreasonable to assume however that a
reference set of ‘‘coordination and disturbance mechanisms’’ can be established which,
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independent of the concrete problems and research goals at hand, can be applied in a universal
manner.
The main epigenetic policy principles can then be formulated in a rather straightforward and direct
manner, stressing, above all, the following general objectives. (See Table 3.1, next page)
Table 3.1: Six Principal Epigenetic Policy Requirements
Equal Weight between the Four Epigenetic Dimensions
Mode II Policies
‘‘Downsized’’ Policy Programs
Path Sensitivity with Respect to Distribution Orientation
and Ensemble Orientation
Formal NIS-Goals
Material NIS-Goals
These six epigenetic policy principles must be supplemented, however, with additional specifications and
contents, defining the concrete policy requirements nd demands in a precise manner.
3.1. THE EQUAL WEIGHT REQUIREMENT
FOR THE FOUR EPIGENETIC DIMENSIONS
The first condition refers to the relative importance of the four epigenetic dimensions and states that each
of the four epigenetic dimensions should be considered as equally relevant.
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EQUAL WEIGHT REQUIREMENT
FOR THE
FOUR EPIGENETIC DIMENSIONS: The equal weight
condition demands well balanced overall policy programs which operate within all four
epigenetic dimensions with roughly equal strength.
The major justification for the first requirement comes mainly from the epigenetic flow diagram between
the genotype and the phenotype levels which has featured so often throughout the present report. There,
any of the four dimensions contributes with equal force to a permanent reshaping of the genotype base
and the phenotype network structures. Consequently, any policy orinetation on, say, the P - P interaction
side alone, will create, with high probability, ‘‘bottlenecks’’ within other dimensions. Therefore, the equal
weight requirement makes it imperative that STE-policies contain implementations at the P- G, G - G and,
finally, at the G - P dimension as well.
3.2. THE REQUIREMENT OF MODE II POLICIES
The second major epigenetic requirement refers to the phase transition of policy types which has been
discussed at length within the previous chapter. Stated loosely, policy formation should be concentrated
on a mode II mode and not, at least not primarily, on Mode I features.
REQUIREMENT
FOR
MODE II POLICIES: Mode II type policies should be prefered to Mode I
packagages unless one can find a very strong theoretical argument, supporting the superiority
of the Mode I counterpart.
The important theoretical justification can be stated with respect to the complexity of connectivity
patterns between contemporary large scale socio-economic systems. Here, it becomes almost imperative
to change the policy implementation from the tradfitional ways and means to the Mode II counterparts
which have been summarized in Table 2.11.
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3.3. THE REQUIREMENT FOR
‘‘DOWNSIZED’’ POLICY PROGRAMS
In a summarizing manner, the quotation below makes a powerful point on the non-mechanical and on the
non-trivial operating especially of large scale social systems.
Real-world complex systems do not behave with clockwork regularity, and precise long-term
forecasts about them are frequently moonshine. The complexity of a modern industrialized economy
is such that it will never respond to the elementary manipulations of treasury secretaries. The
complexity of the global climate is such that a gradual increase in levels of greenhouse gases does
not always result in a gradual shift in climate: it can trigger a sudden climate flip within a single
lifetime. Even the behavior of some of the simplest of mechanical systems cannot be described in the
complete and deterministic Newtonian manner previously thought possible. There is no simple
algorithm to turn to. Instead, we must try to understand in more global terms, through the interactions
of components. Instead of attempting to take a deterministic, mechanical view of the world, we need a
higher-level perspective if we are to make sense of it. (COVENY/HIGHFIELD 1995:330)
Moreover, the discussion on Popper´s ‘‘impossibility proof’’ for the anticipation of new knowledge,
innovations and new technologies strongly supports the requirement for ‘‘downsized’’ policy programs.
REQUIREMENT FOR ‘‘DOWNSIZED’’ POLICY PROGRAMS: Mode II type policies should be of a
‘‘downsized’’ policy nature, i.e. STS-policies should be concerned primarliy with the removal
of well-known barriers, obstacles or societal paradoxes and traps, and not, at least not
primarily, with the creation of unknown domains or poorly understood fields within sciencetechnology-innovation settings.
Thus, downsized policy proliferation implies the reshaping and reconfiguring of the ‘‘old’’, not of the
‘‘new’’. It would be an extremely fruitful research task to analyze the successful Japanese policy
experiments in the light of ‘‘downhill’’ and ‘‘uphill’’ STS-policies since the point has been made again
and again that the Japanese policy reshaping has relied strongly on elements and components already in
full operation. (FREEMAN 1987, THUROW 1996) More specifically, downsized policy proliferation
implies the combination of three major characteristics.
106
First, policy programs should aim at the imitation and adaptation of successful policies
within the international NIS environment.
Second, policy programs must directed towards the empirically observable strengths and
weaknesses in the Austrian Innovation System.
Third, there must be sufficient accumulated national or international experience for a
reliable assessment ex ante of the most likely effects of the policy programs under
consideration.
In this manner, an important policy requirement has been laid down which, if in full operation, should
contribute to a paradoxical result, namely to emerging NIS-complexities via relatively simple ‘‘fits and
starts’’.
3.4. THE REQUIREMENT FOR PATH SENSITIVITY WITH
RESPECT TO THE DISTRIBUTION ORIENTATION
AND TO THE ENSEMBLE ORIENTATION
A fourth manin epigenetic policy principle is related to the NIS-position within the phase space of
Diagram 1.1 and demands a path-sensitive priority for distribution power orientation on the one hand and
ensemble power orientation on the other hand.
REQUIREMENT FOR A PATH-SENSITIVE ORIENTATION: Downsized Mode II policies should give
special priority either to enhance the NIS distribution power or to increase the NIS ensemble
power, depending on the actual NIS-trajectories.
More concretely, the morphological Table 3.1 makes it possible to specifiy the following path sensitive
priorities.
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Table 3.1: Path Sensitive Policy Priorities
NIS-ENSEMBLE POWER
HIGH
HIGH
LOW
Equal Priority to NIS
Priority to NIS Ensemble
Ensemble/Distribution
Power (Distribution Power
Power
as Critical Constraint)
Priority to NIS Distribution
Equal Priority to NIS
Power (Ensemble Power
Ensemble/Distribution
as Critical Constraint)
Power
NIS DISTRIBUTION POWER
LOW
From Table 3.1, one can derive immediately that distribution orientation becomes of high importance for
the ‘‘European disease’’ of a relatively high NIS ensemble power and a relatively weak intersystemic
connectivity pattern and, thus, a comparatively low NIS distribution power.
3.5. THE REQUIREMENT FOR FORMAL GOALS,
ENHANCING THE NIS-DISTRIBUTION
POWER AND THE NIS-ENSEMBLE POWER
Switching to the goal domain for NIS policies, a useful distinction between formal goals and material
goals will be introduced where formal NIS goals have the peculiar property of being applicable to
different spatio-temporal NIS domains whereas material goals are bound to a specific time frame. Thus,
the subsequent chapter on material goals will be bound to the current status of knowledge and
information societies, whereas the formal goals can be applied to National Innovation Systems, past,
present and future.
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REQUIREMENT
FOR
FORMAL GOALS
FOR THE
NIS DISTRIBUTION/ENSEMBLE POWER:
Downsized Mode II policies should be aimed formally at two different goal sets. For the NIS
distribution power, the intersystemic linkage patterns between NIS actor networks
(phenotype) and between the components of the knowledge base (genotype) should be
intensified. And for the NIS ensemble power, the intrasystemic NIS actor networks
(phenotype) and the components of the knowledge base (genotype) should be increased.
More concretely, the formal goals for NIS policies can be summarized in Table 3.2 where a total of eight
formal policy goals, four for the distribution power and for the ensemble power respectively, have been
identified.
Table 3.2: Distribution and Ensemble-Oriented Formal Policy Goals
Across the Four Epigenetic Dimensions
DISTRIBUTION POWER
Increase the Linkage Density for NIS-Actors
Increase the Linkage Attractivity
Increase the Permeability of Linkages
Increase the DP-Efficiency
ENSEMBLE POWER
Increase the Number of NIS-Elements
Increase the Autonomy of NIS-Units
Increase the Fitness of NIS-Actors
Increase the EP-Efficiency
At this point, it would become a highly interesting and rewarding reserach task to establish the precise
relations between the overall epigenetic and self-organization background and the eight formal goal
domains. It should be sufficient, however, to point to a single correspondence, namely to the direct
109
coreespondence between the three distribution oriented goals and the formalisms of dynamic networks
which, under the headings of ‘‘master equations’’, have been introduced in Volume V. Here, the three
major determinative factor groups for dynamic master equation networks, namely the overall network
mobility, network barriers and network attractivities, have three counterparts in the area of formal NIS
goals, namely linkage density, the permeability of linkages and, finally, the linkage attractivity.
3.6. THE REQUIREMENT FOR MATERIAL NIS-GOALS
The final policy condition is given by the demand for ‘‘empirical orientation’’ or, alternatively, for setting
priorities and policy measures which correspond to the most urgent empirically observed demands and the
most visible empirically observed barriers, restrictions and weaknesses. In other words, the manifold
results of cooperation and network barriers inherent in the Austrian Innovation System should be taken
into account when shaping NIS-policies. More directly, the requirement for empirical orientation leads to
the following postulate.
REQUIREMENT FOR MATERIAL NIS-GOALS: The policy programs should exhibit at least one of
the following two characteristics.
First, a plausible connection must be establishable between the empirical analyses of
the strengths and weaknesses in the Austrian Innovation System and the selected policy
domains.
Second, the policy targets should be chosen so as to strengthen and promoting
international trend patterns for NIS III ensembles.
The first requirement should rule out two extremal cases. On the one hand, core concerns for reforms by
NIS actors like better programs and a more conducive cognitive infrastructire for problems of marketing
should be adressed in corresponding policy programs. On the other hand, central weaknesses and
deficiencies, as identified within NIS-analyses, should lead to changing priorities for policy making. The
second requirement, however, deserves special attention and will be dealt with in the two subsequent
chapters.
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3.6.1. TEN MEGA - TRENDS FOR
THE FUTURE SHAPE OF
TECHNOLOGY AND ECONOMY
The past volumes, more precisely: Volume I and Volume V, have brought three different future trend
patterns already, namely ‘‘megatrends’’ for the shape of Information Societies
Knoweldge Societies
Technology and Science Policies
What is still missing, is a more detailed outlook on the economy and technology side of NIS III
ensembles in order to arrive at a comprehensive set of potential policy goals. Recapitulating the rich and
diversified literature on innovation, technology diffusion and information societies throughout the project
and adding future oriented literature like ALVESSION (1995), CUHLS/KUWAHARA (1994),
DAVIS/BOTKIN (1996), EUROPEAN CENTRE (1993), GRUPP (1992/1995), LEEBAERT (1991),
NEFIODOW (1991), QUINN (1992), SCHMITZ/ZUCKER (1996), THUROW (1996), among many
others8, one is able to identify, in a slightly systemic manner, the following trend patterns for the future
development trajectories within the techno-economic spheres. The first five trends describe changing high
technology attributes and processes of NIS III actors, future patterns six and seven are devoted to a shift
in the relative importance of NIS-actors, namely the increasing role of transnational actors within markets
and within the global ‘‘protective belt’’, and trajectories eight to ten describe upcoming developments
with respect to the relations and the structures between NIS III actors, especially the emerging dominance
of skill and knowledge bases as the major determinant for comparative advantages.
8
In this field, one is confronted with the ‘‘clicking phenomenon’’ of a ‘‘trendy’’ literature on trends, ranging from GERKEN 1995/1996,
HORX 1995, to POPCORN/MARIGOLD 1996 or, for Austria, to WEINZIERL/HAERPFER 1995. For a critical summary, see e.g. RUST
1995. Since few of the specified trend patterns pertain to a NIS III context - many so-called ‘‘trends’’ fall simply under the heading of ‘‘lifestyle’’ and ‘‘fashion’’ - most of the CCCC trend-literature on ‘‘Clanning, Clicking, Clubbing and Cocooning’’ has been omitted.
111
SEMI-INTELLIGENT GOODS: First, the nature of goods and production of goods will undergo a
significant recombination both with CIT (Communication and Information Technologies) and
with the knowledge bases, leading to products which carry the attribute of ‘‘semiintelligence’’. More specifically, ‘‘semi-intelligence’’ will be introduced here, not totally
surprising, as an attribute where complex user-product feedback processes with the potential
for adaptations and learning become part of the normal routine interaction. Thus, semiintelligent cars, contraray to their current still non-intelligent counterparts, have at their
disposal a ‘‘knowledge base’’ of their road environment, of the frequencies of current traffic
flows, of their internal states and of ways to adjust to them, etc. The important point to be
stressed lies in the transformability of the totality of the existing product range - all consumer
durables, investment machinery, etc. - into semi-intelligent products.
SEMI-INTELLIGENT SERVICES: Second, the same reconfiguration takes place in the case of
services, where, once again, a recombination of services with CIT and with the knowledge
bases. yields a ‘‘semi-intelligent’’ service which has a minimal model of its environment and a
self-adaptive ‘‘knwoeldge base’’. (HANSEN 1996) Again, the essential point which cannot be
overemphasized lies in the great potential for semi-intelligent service transformations which
includes, inter alia, the semi-intelligent re-design of seemingly trivial domains like tourism,
fast food chains or retail sales CENTRALITY
OF
LEADERSHIP
IN PROCESS-TECHNOLOGIES:
Third, the relative importance
within different innovation types, namely product, process and organization innovation, will
undergo a marked shift away from product innovation to the mastering of process innovations
and of organization innovations -
Product invention, if a country is also not the world´s low-cost producer, gives one very little
economic advantage. Technology has never been more important, but what matters more is
being the leader in process technologies and what matters less is being the leader in new
product technologies. (THUROW 1996:69)
This is not to deny that product innovation will continue to play an indispensable role for the
proliferation of the new, but the major ‘‘bottlenecks’’ especially for technologically highly
advanced regions will lie in the mastery of processing and organizing these product
innovations in order to gain sufficiently large ‘‘disequilibrium quasi-rents’’ for new products.
COMMUNICATION
AND
INFORMATION TECHNOLOGIES (CIT)
AS
‘‘FIFTH WAVE’’-LEADING
SECTOR: Fourth, the three megatrends just outlined lead almost necessarily to the fourth one,
112
namely to the characterization of CIT as the backbone of the ‘‘fifth’’ long innovation wave,
which is currently in its rapid diffusion phase. The characteristics of the fifth long innovation
wave make it almost imperative, to point, at the end of megatrend four, to an upcoming new
recombinative potential, namely to the one between, metaphorically speaking, information
and life. While bio-technology clearly lacks the dimensions of a leading sector within the
current ‘‘fifth wave’’, the ‘‘blending’’ of CIT-mediated knowledge and information societies
with ‘‘biological computers’’ as well as with a bio-technolology complex for food and health,
will carry all ingredients of a ‘‘sixth wave’’ whose pioneer stages are already well underway.
THE HIGH RECOMBINATION POTENTIAL ACROSS SPACE: Fifth, one of the essential features of
the upcoming CIT-age lies in the possibility to organize and recombine production and
service processes across space with virtually marginal costs, since the transfer units become
no longer ‘‘atoms’’, but ‘‘data’’. Thus, global production processes, interconnetced via the CIT
infrastructure, can be accomplished around the globe, integrating teams for production, design
or quality control from different geographical sites.
TRANSNATIONAL ENTERPRISES (TNE´S) AS CORE ACTORS IN THE GLOBAL MARKET ECONOMY:
Sixth, the emergence of global production processes will be accompanied by the rise of
Transnational Enterprises which will become the major global players and actors within a
highly interconnected world economy.
TRANSNATIONAL ORGANIZATIONS (TNO´S)
AS
CORE ACTORS FOR THE GLOBAL ‘‘PROTECTIVE
BELT’’: Seventh, with the increase of TNE´s will be accompanied, following the classical
Polanyi development pattern of national market expansion and national protective belts, by
TNO´s which will grow in size and importance, too, leading to a global protective belt with
respect to minimal standards in the area of social security, environmental quality, etc.
SKILL AND KNOWLEDGE BASES AS MAJOR SOURCE FOR COMPARATIVE ADVANTAGES: Eighth,
the core element for comparative regional advantages will move away from the current
production factors of capital labor or natural resources to ‘‘knowledge bases’’ and, more
generally, to the regional know-do potential which combines elements of knowledge
generation, knowledge utilization, innovation management and specially qualified and trained
labor.
LIFE-LONG EDUCATION AND TRAINING: Nineth, the sequential ordering of education ⇒ work
⇒ retirerement will be superseded gradually by a parallel organization of education ⇔ work
⇔ retirement phases. Thus, life-long education and training processes, in combination with
life-long phases of work and retirement, will become the major life-course pattern.
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NEW INSTITUTIONAL SETTINGS
FOR
LEARNING
AND
TRAINING: Tenth, in order to build up a
massive parallelism with respect to education, work and retirement, a new institutional setting
will become imperative, recombining elements of higher education with components of ‘‘on
the job training’’. In particular, new forms of globalized TNE or TNO training centers as well
as their new national counterparts will diffuse beyond their current infant status into a period
of self-sustained growth - and maturity.
These technology trends complete the round of ‘‘future projections’’ which, together with the trend
patterns on policy formation or on knowledge and information societies, complete the reference domain
for policy goals.
3.6.2. MEGA - TENDS FOR KNOWLEDGE AND
INFORMATION SOCIETIES, THEIR TECHNO-ECONOMIC
SETTINGS AND THEIR POLICY FORMATIONS:
THE IDENTIFICATION OF POLICY-RELEVANT
NIS III GOAL-DOMAINS
The next step is an immediate consequence of the previous chapter, since the ten technology/economy
megatrends have completed the megatrend series within the overall project, yielding, as can be seen in
Table 3.2, a comprehensive list of 40 megatrends for the NIS III ensemble. (See Table 3.2, next page) The
special utilization context of Table 3.2 lies in its immediate policy relevance, namely in its function as
reference frame for the shaping of policy programs. Six points require special attention.
First, the right hand policy column in Table 3.2 summarizes propertries which NIS-policy
programs of a contemporary or future oriented variety should exhibit in order to minimize
non-intended or un-intended consequences. Thus, the policy programs should fulfill at least
114
one of the ten criteria specified in Table 3.2, although a recombination of criteria like general,
structural, long-term oriented, feedback implementation, recombinative is clearly preferred.
115
Table 3.2: Forty Mega-Trends Re-Iterated
KNOWLEDGE DIMENSIONS
Transdisciplinarity
Second-Order Programs
Transdisciplinary ‘‘Tasks’’
INFORMATION DIMENSIONS
TECHNOLOGY/
POLICY
ECONOMY
PROGRAMS
Transdisciplinary Research
Semi-Intelligent
General Programs
Infrastructure
Goods
‘‘Unity between Discovery
Semi-Intelligent
Indirect/Structural
and Application’’
Services
Programs
Temporality of Research
CIT as Fifth Wave
Coupled Programs
Networks
Leading Sector
Science-Society-Inter-
Increasing Interconnectivity
penetration (G-Level)
between Science, Media and
Sixth Wave Leading
Interest Groups (P-Level)
Sector
‘‘Catching up’’-Processes by
Heterogeneity of Production
Bio-Technology as
Distribution-Oriented
Programs
Leadership in Process
Feedback-Implemen-
‘‘Soft Disciplines’’
Places
Technologies
tation
‘‘Hyper-Programs’’
Growing Importance of
TNE´s as Core-
Regional Innovation Systems
Market Actors
Internet Support System
CIT-Meditated, Asynchronous
TNO´s as Core-
Second Order
(G-Level)
Networking
Actors for the
Programing
‘‘Protective Belt’’
‘‘Recombinative Internet
Increased Accessibilities of
Skill & Knowledge
Recombinative Pro-
Push’’ (G - G)
Knowledge Bases (P - G)
Bases as Major
grams
Source for Comparative Advantages
Programing the Genetic
Semi-Intelligent Machines
Code
as P - G ‘‘Observers’’
Self-Assembling Programs
‘‘Globalization’’ of
Life-long Education
and Traning
New Institutional
‘‘Bits, not of Atoms’’
Settings for Learning
and Training
116
Transnational/
Regional Programs
Long-term Programs
Second, with respect to the diffusion of Mode I and Mode II policies, a conjecture on a
differentiation along spatial levels can be brought forward. Mode II policy programs will be
produced and will diffuse primarily within a GIS or, to a somewhat lesser extent, at the NIS
levels, whereas Mode I policies will retain their important position at the RIS level. Moreover,
elements of Mode I and Mode II policies.
Third, any of the thirty other trend patterns can be used as a special NIS III policy domain,
either for science policies, for technology policies or for self referential policies applied to the
state system itself. Thus, the material goals for Mode II policies in National Innovation
Sytems should be aimed at policy targets like -
Table 3.3: Potential Policy Goal Domains
POLICY PROGRAMS FOR THE SCIENCE SYSTEM
Increasing
Transdisciplinarity
Constructing a Modern
Infrastructure
Initiatives Programs Directed towards
Second-Order Programs
Programs for Complex Application
Domains, Operating in
‘‘Unity between Discovery
and Application’’
Funded Research Programs for
Transdisciplinary ‘‘Tasks’’
Providing Regulations and Infrastructures for
Temporally Limited Research Networks
117
Table 3.3: Potential Policy Goal Domains (Continued)
POLICY PROGRAMS FOR THE ECONOMIC SYSTEM
Policy Programs for Funding New
Semi-Intelligent
Goods
Policy Programs for the Recombination towards New
Semi-Intelligent
Services
Here, nine megatrends, three for the future shape of knowledge societies, three for information
societies and, finally, three for the economy and technology section, have been selected from
Table 3.2 and have been transformed into material policy goals. (See Table 3.3, above) In this
manner, the entire megatrend list can be transformed into an appropriate reference set for the
formulation of STS policy goals.
Fourth, the fourty trend patterns cover, by necessity, all four epigenetic dimensions since the
‘‘differentia specifica’’ between knowledge and information societies has been identified with
respect to their epigenetic status, producing, as will be recalled, the P-P and the P-G
dimension as information oriented and the G-G as well as the G-P dimension as knowledge
centered.
Fifth, the thirty trend patterns in Table 3.2, except for the right hand policy column, should be
measurable and observable, at least in principle, via the existing NIS data bases. Even a quick
glance at Table 3.2 reveals that at least some of the development patterns cannot be measured
with the help of the ASIT questionnaire or with other statistical material for that matter.
However, Table 3.2 serves as a useful reference frame for the recapitulation and modification
of the ASIT-Survey since it will become one of the overall goals to create at least provisional
figures and numbers for each of the thirty trend domains.
Sixth, since the right hand side of Table 3.2 is devoted to the output side of the state apparatus
only, a final group of megatrends could be constructed for the withinput organization of the
state sector which becomes of paramount importance for the framing and shaping of ‘‘second
118
order policy programs’’. Here, only some preliminary hints, again ten in number, will be
provided on the future within states of the public sector as well as on its interactions with
clients and the public which should be characterized by a highly developed CIT-infrastructure
a gradual substitution from hierarchies to heterarchies
a very lean organizational structure for small single domain core domains
recombinative, temporal work groups for complex tasks
increasing the network densities between spatial levels (liocal, regional, national, global)
semi-intelligent services both at all potential input interfaces and at all output interfaces
mediation as new service domain
coupled service packages
shortened state-client cycles
feedback linkages via increased participation or evaluation
These ten trend patterns, athough just presented in their major headings, add up to the fourty
developmental features summarized in Table 3.2. Thus, for the proliferation of STS policies,
including second order üolicies for the state system itself, a profound plattform has been
established which can and should be used by policy units as target framework.
At this point, the major ingredients for ‘‘catalytic policy management’’ and ‘‘catalytic regimes’’ have
come to an end.
3.7. CATALYTIC MANAGEMENT A FINAL CONJECTURE
The previous requirements can be integrated, finally, into a conjecture on the relative success of the six
epigenetic policy principles just outlined.
119
CATALYTIC MANAGEMENT -A CONJECTURE: An epigenetic policy mix, relying on the six main
requirements just outlined, will be accompanied, with higher probability, by a period of
catalytic regimes. In other words, the requirements 3.1 to 3.6 can be seen as the main
instruments which constitute a ‘‘catalyrtic policy management’’ and which support a catalytic
regime.
The major theoretical justification for the above conjecture comes, from three different points.
First, the homogeneity of the epigenetic and self-organization framework must be emphasized
which has been extended in a coherent manner from theory, to history to complex modeling
and, finally, to policy formation.
Second, a strong argument can be made that the two model sketches on ‘‘micro-creativity’’
and on ‘‘creative regions’’, developed in Volume I, are best supported by the policy mix 3.1 to
3.6. Why? Simply because both the creativity model and the policy formations are, upon
closer inspection, entangled in positive feedback loops. Once a marked creative upsurge
within a regional area occurs, downsized, Mode II policies will support and increase the
creativity potential.
Third, a quick review of international success stories in science and policy domains indicates
that successful programs exhibit at least one of the epigenetic policy requirements, specified
above. (See also the contributions in ROSENBERG/LANDAU/MOWERY 1992)
Thus, it will become one of the most urgent research tasks whether successful policy regimes of the past
and present time are fulfilling the requirement for catalytic management and are exhibiting the main
features of epigenetic policy formation - or not.
With the above conjecture on the relative successes of epigenetic policy making, the theoretical part on
policy analysis can be finished. What follows next, is a series of suggestions for policy programs for
Austria which correspond very closely to the policy architectures outlined so far.
120
SECTION II:
BASIC SCIENCE AND TECHNOLOGY
PROGRAMS FOR
THE AUSTRIAN INNOVATION SYSTEM
121
1. BASIC STS - POLICY RECOMMENDATIONS
WITHIN THE EPIGENETIC FRAMEWORK
After an intensive round of novel theoretical policy features for enhancing the distribution power and the
ensemble power at the national level, the final section will be devoted to appropriate Austria-specific
policy suggestions which have the potential for counterbalancing Austria´s uniformely low position
within the distribution/ensemble power (D/E-) phase diagram. Moreover, it should come as no surprise
that the analysis of concrete reforms and policy measures will reflect, above all, the basic epigenetic
architectures and the overall theoretical policy frameworks developed in the course of the NIS project.
Asked very directly and in an (almost) trivial manner, what are the fitting policy strategies which may
lead the Austrian Innovation System along an upward path, as depicted in Diagram 1.1?
Diagram 1.1: Necessary Basic Trajectory for the Austrian Innovation System
Ensemble Power
high
low
Distribution Power
low
high
122
The answers to this question will consist of a comprehensive list of potential policy programs which, in a
more comprehensive and systematic manner than previous attempts (AIGINGER et al. 1992, BECHER
1993, BECKER et al. 1988, GRANDE/HÄUSLER 1994, HÖLL 1989, SCHROEDER 1990, TICHY
1992, 1994), will be directed towards a reconfiguration of the entire architectures of the Austrian
Innovation System. Due to the three major domains for policy programs, namely
Science
Technology
State
the subsequent set of policy recommendations will be referred to as potential STS-policies as well.
Moreover, the entire section has been conceptualized under two fundamental constraints, the first one
under the heading of the ‘‘Münchhausen-trilemma’’ of Austrian STS policies more empirical in nature,
the second one under the title of ‘‘radical constructivist ethics’’ more heuristic in character.
With respect to the so-called ‘‘Münchhausen-trilemma’’, the following ‘‘initial condition’’ for Austrian
STS policies is assumed.
The task distribution for STS policies in Austria can be described by
the following trilemmatic configuration:
Lifting the Austrian Innovation System
‘‘MÜNCHHAUSEN
TRILEMMA’’
AUSTRIAN
STYLE
from its current position in the D/E phase diagram
of low distribution power/low ensemble power to a
location of high distribution power/high ensemble power
across and within all four major NIS dimensions (first trilemma part)
without a massive increase and without a large scale mobilization
of financial flows from the state (second trilemma part)
and without assuming a centralized coordination effort
by policy units and by funding agencies (third trilemma part)
The reasons for assuming the second trilemma conditions come mainly from the mega-trend section in the
areas of state transformations where a significant financial R&D expansion by the state, due to the in-built
dynamics of existing state expenditures as well as due to severe budgetary constraints, is considered as an
extremely unlikely event. For the third trilemma component, a clear reference can be made to the
‘‘metamorphosis’’ in state policies from Mode I to Mode II type programs in which centralized
‘‘masterplans’’ for a large number of policy and funding actors, like the mission-oriented coordination
mechanisms suggested in HUTSCHENREITER et al. 1996, become a highly improbable occurrence, too.
123
With respect to the fundamental ‘‘heuristic device’’ in shaping policies, an ethical imperative, strongly
suggested by systemic researchers like Heinz von Foerster (1985/1995), Ernst von Glasersfeld (1987),
Humberto R. Maturana and Francisco J. Varela (1987) and others, can be put forward which advocates
the following principle.
ETHICAL IMPERATIVE FOR STSPOLICIES
Optimizing each subsystem of a National Innovation System
independently will not in general lead to a system optimum, or more
strongly, improvement of a particular subsystem may actually worsen
the overall system. A is better off when B is better off.9
Thus, the subsequent policy recommendations will be primarily aimed at generating new NISconfigurations in which potential improvements in one area are achieved through simultaneous
improvements in other domains as well. ‘‘Zero sum’’ settings with gains in one particular NIS-segment at
the expense in other NIS-sectors like a ‘‘zero sum restructuring’’ between universities and research
institutes will be deliberately avoided.
1. CATALYTIC POLICY MANAGEMENT AUSTRIAN STYLE COGNITIVE BACKGROUND REQUIREMENTS
Before going into a detailed enumeration of policy recommendations, a preliminary adaptation procedure
has to be undertaken which will yield a common cognitive background for a distributed type of
coordination of STS-policies. Within the previous section, a variety of general requirements has been
built up and has been defined under the heading of ‘‘catalytic policy management’’. Recapitulating the
general thrust of the policy lines, ‘‘catalytic policy management’’ summarizes a continuous proliferation
of policy programs which rely on the self-organization capacities of National Innovation Systems and
which support and are accompanied by a positively sloped path in the distribution/ensemble power phase
space of Diagram 1.1. For the Austrian situation, a catalytic policy management is confronted with the
following task configuration.
9
For more details, see FOERSTER 1995:471pp.
124
NECESSARY
NIS-PERFORMANCE
FOR AUSTRIA
CATALYTIC POLICY
MANAGEMENT
FOR AUSTRIA
The Austrian NIS-trajectory should be characterized by a
sustainable as well as quality of life securing upward path
from its current position in the D/E phase diagram
of low distribution power/low ensemble power to a
location of high distribution power/high ensemble power
across and within all four major NIS dimensions.
The policy output should consist of a flow of programs,
supporting sustainable and quality of life based upward
paths of the Austrian Innovation System, once again measured
by the NIS performance indicators for the NIS-distribution power
and for the NIS-ensemble power.
A ‘‘catalytic policy management’’ can be organized, ideally speaking, in two extreme forms.
In a centralized mode, a comprehensive set of policy programs is being synthesized to an
integrated class of policies by different NIS actors, acting according to an overall STS
‘‘masterplan’’. This type of centralized coordination corresponds, for example, to the recent
Green Paper by the EU and to the currently proposed ‘‘mission oriented’’ technology program
for Austria.
Within a distributed mode of operation however, policy programs are implemented by a large
group of NIS actors independently from each other. In order to guarantee a catalytic effect,
NIS actors are coordinated in an implicit fashion via a common ‘‘background knowledge’’
which guarantees the necessary coherence and consistency between independently executed
STS program lines.
For the Austrian situation, the following policy organization is strongly recommended.
AUSTRIAN POLICY
ORGANIZATION
FOR STS-DOMAINS
Catalytic policy management should be implemented in Austria,
due to a long history of policy fragmentation and a relatively low
centralized regulation culture, in a ‘‘distributive mode’’ only, i.e., via
NIS policy actors, operating independently from each other
and being integrated by a common ‘‘background knowledge’’ only.
125
Thus, the present policy section, will discuss a variety of urgent requirements and policy tasks for a
catalytic regime Austrian style in closer detail. The first important separation to be introduced refers to the
above distinction between cognitive background requirements for STS policies on the one hand and
concrete policy programs on the other hand. More specifically, the next pages are devoted to the contents
of necessary ‘‘cognitive background assumptions’’ which are needed for a successful ‘‘decentralized’’
policy management with catalytic effects. Having completed the specification of seven main background
requirements, the concluding passages in Section III will then be devoted to concrete policy
recommendations across and within the four principal NIS dimensions.
1.1. CRITICAL CONSTRAINTS IN GOAL DOMAINS
The first essential catalytic pre-requirement demands a shift from STS-policies which are devoted to
scientific institutes, firms and state units alone to STS-policies which are operating under two critical
societal constraints. More concretely, the goal specification should change from a narrow science economy - state context into a wider environment in which domains outside the three large scale systems
of economy, science and state become of crucial importance, too. (On this point, see especially
AICHHOLZER/SCHIENSTOCK 1994) In order to demonstrate the plausibility of the first demand, a
quick review of the science and technology programs, discussed in closer detail in Part I of Volume VI,
will become necessary. (See Table 1.1, below)
Table 1.1: Two Contexts for Science and Technology Programs
INTERNATIONAL
PROGRAMS
NARROW CONTEXTS
WIDE CONTEXTS
EU - Green Paper
EU - White Paper
OECD Program on
Technology, Productivity
and Job-Creation
WU-Program on Marketing
NATIONAL
PROGRAMS
TIP-Technology Recommendations
for Austria
IHS STS-Policy
Suggestions
126
From Table 1.1 it becomes already visible that at least some of the current national as well as international
programs in the field of innovation, science and technology are explicitly conceived in a wider societal
context. With respect to the IHS approach, two critical constraints will be imposed, namely, first, a
sustainability demand and second, a quality of life condition. Stated very generally, Austrian STS-policies
should be framed in a way that, while improving the current Austrian IS position in the D/E phase
diagram, both demands, the one for sustainability and the one for a non-negative quality of life
development, have to be satisfied simultaneously.
In a more systematic manner which clearly goes beyond the intentions and the scope of the present policy
framework, the following four conditions can be specified which, taken together, characterize a
sustainable evolution not only of the economy, but of the society as a whole.
NIS-SUSTAINABILITY:
A NIS developmental pattern is said to be sustainable, iff in the very long run
each of the following four conditions holds:
A core set of socio-economic performance indicators remains well above
‘‘critical thresholds’’. (SOCIETAL THRESHOLD-CONDITION) 10
Environmental performance indicators stay above ‘‘critical threshold’’ values.
(ENVIRONMENTAL THRESHOLD-CONDITION)
With respect to the environmental stocks and to the environmental quality
as well as with respect to the socio-economic states, a pre-requirement of
fairness can be imposed: For any future generation G, the ‘‘veil of ignorance’’status (RAWLS 1971/1996) has to be justifiable in principle.
(INTERGENERATIONAL FAIRNESS-CONDITION)
The specific NIS-configuration can be generalized to a GIS-ensemble (Global
Innovation System) in which the sustainability conditions 1 - 3 hold for the
global level, too. (GLOBAL GENERALIZABILITY-CONDITION)
It would ‘‘transcend’’ the purpose of the present section to present a detailed account for each of the four
sustainability conditions. It must be sufficient to point out that the fourth condition alone is sufficient to
qualify the current states of development clearly as non-sustainable, a conclusion which has already been
reached by the EU White Paper.
The ‘‘quality of life’’ constraint can be specified in a rigorous manner, too, relying, on the one hand, on
basic societal domains in the field of political participation, education, basic human rights, information,
housing, health, recreation possibilities, overall life satisfaction, etc. and specifying, for each of these
societal fields, both essential performance indicators and ‘‘critical threshold values’’, defining minimal
10
For a numerical specification of necessary societal threshold- indicator systems which during the eighties have been
summarized under the heading of ‘‘basic needs’’, see MÜLLER 1986.
127
standards for each of these performance indicators. In this manner, vital societal concerns can be
integrated and, even more importantly, specified in quantitative terms which can serve as a necessary
additional societal constraint on the development of the Austrian Innovation System.
The important cognitive background achievement which has been reached at this point lies in the
availability of societal goal domains in which NIS-performances within the core areas of science,
economy and the state are to be evaluated with the help of additional criteria ranging from the state of the
environment to the basic living and working conditions.
1.2. REQUIREMENT FOR STATE-CENTERED
INNOVATION POLICIES
The second catalytic background-requirement for policy making in the Austrian case demands a
significant emphasis of policy programs which, in a mode of self-application, are to be implemented
within the state sector itself. Such ‘‘self-referential’’ state policies become of paramount importance for
the Austrian Innovation System for at least six major reasons.
First, the state apparatus has played, especially from a long-term historical development
perspective, a decisive role in the Austrian course of industrialization from the early 19th
century onwards. (See, for example, HANSCH 1994) Moreover, the period between 1945 and
roughly 1986 can be characterized by a triadic pattern, consisting, almost in equal proportion,
of a private, domestically owned sector, of a group of foreign companies and, finally, of a
large nationalized industry, combined with a state owned banking segment. Over the last ten
years, this triadic configuration has been almost totally vanished and has been transformed
into the conventional dual private sector ensemble, one part with predominantly domestic
ownership, the second part with foreign capital. Thus, a new situation for industrial policies
or, especially important, for STS policies has arisen in which many of the implicit
mechanisms of coordination and disturbance are no longer in operation. 11
Second, a traditional basis for STS policies has been provided by a powerful corporatist
structure in Austria which, under the name of ‘‘social partnership’’, has acted as an unusually
strong
coordinative
institution
with
a
heavy
top-down
structure.
11
On this point, see also several articles in SIEDER/STEINERT/TALOS 1995. Moreover, an interesting sub-division has been made within
this books, dividing the period from 1945 to 1980 under the headings of ‘‘reconstruction’’ and ‘‘golden age’’ and characterizing the
development since with the labels ‘‘crisis’’, ‘‘division’’ and ‘‘reorganization’’.
128
(AICHHOLZER/MARTINSEN/MELCHIOR 1994) In recent years, ‘‘bottom up’’
reconfigurations within the members of the corporatist ensemble as well as an increasing
number of ‘‘exit’’ options on part of the constituencies, combined with the overall trend
patterns in policy regulation outlined in a detailed manner in the previous section12, have led to
a relative decline in the policy shaping capacities and, moreover, to an urgent need for either
very active reconfigurations or, alternatively, for a ‘‘withering away’’ of a corporatist model to
the more frequent ‘‘lobbying’’ organization of special interests. (PRISCHING 1996) It can
well be assumed that, for the time being, both the capacity for corporatist problem solutions in
the STS field as well as the speed of the policy proliferation is seriously hampered, leaving,
thus, an open space for substitutive STS programs on part of the state apparatus.
Third, Galbraith´s dictum of private wealth and public poverty has acquired a corollary in the
age of the current CIT´wave, namely highly developed CIT settings in private spheres and
relatively underdeveloped CIT ensembles in public domains. Even a quick glance at the
current CIT infrastructures as well as at the ‘‘interfaces’’ in vital state-client domains like
finance, information services, internal security or social security reveals an even astonishing
degree of ‘‘relative backwardness’’ of public infrastructures at the national and at the regional
levels. Combined with a still very traditional configuration with respect to the coordination
between national and regional or local policy units, NIS polices in the Austrian case must be
oriented towards rapid catching up processes of the public hardware and software
infrastructures within and across regional levels. Moreover, the state apparatus could act as a
potentially powerful demand segment for CIT software adaptations and software maintenance
across spatial levels.
Fourth, as has been shown in the first section, the state sector will have to undergo a profound
transformation from the traditional power state to a novel form of semi-intelligent service
state which implies, as has been indicated via a short list of megatrends on the state sector,
profound changes for policy implementation and for feedback as well as the feedforward
processes. Thus, STS policies must be directed also towards a transformation of its
historically embedded forms of internal and external communication flows and decision
making procedures into a CIT-conducive environment, increasing its service capacities and
providing a large number of new services by abandoning, in turn, its 18th century based power
and control pre-history.
Fifth, an additional complexification for national STS policies comes from the recent
phenomenon of the full Austrian membership in the EU which requires, aside from a
considerable financial contributions for STS-concerns at the EU-level, a new ordering and
priority setting on part of the Austrian policy units at a new upper level, too. Moreover, the
12
To give just a single, but highly significant example. One of the traditional policy domains of the Austrian model of
‘‘Sozialpartnerschaft’’ was the regulation of prices which has been accomplished for decades in a surprisingly successful manner. This form
of direct and special policy programming mhas been abolished in November 1992 and has been transformed into a general and indirect policy
task of shaping competition policies. For more details, see PRISCHING 1993.
129
emergence of confederate structures at the EU-level implies, by necessity, a net loss of
national STS-competencies and of the national STS-intervention potential.
Sixth, the public and private ‘‘expectations’’ and ‘‘attitudes’’ towards the state turn out to be,
when compared with other countries (HALLER 1996), unusually strong and powerful,
conceiving the state as a prime mover for processes of societal re-distribution, for generating
more equality and for guaranteeing employment opportunities for all. Thus, the state
apparatus will continue to be confronted with a high private demand for an active role in the
shaping and, especially important, in the implementation of STS policies in the present and in
the near future.
These six arguments, presented so far, point to the important self-reflexive or self-referential character of
Austrian STS policies since an analogous problem to the traditional paradox of ‘‘educating the educators’’
has arisen in the field of Austrian policy making, too.
1.3. ADDITIONAL DISTRIBUTIVE REQUIREMENTS
A third requirement which acquires special importance in the case of Austria lies in a strong reliance on
distributive forms of coordination where, following the definition for ‘‘distributive coordination’’
provided at the beginning of the present section, a comparatively large number of policy units is supposed
to act independently from each other. Thus, given the often recognized fact of the heterogeneous character
of the Austrian STS-policy making (FELDERER/CAMPBELL 1994, GLATZ 1991/1992, MARTINSEN
1991, MARTINSEN/MELCHIOR 1994, MARTINSEN 1995, TICHY 1992), the plea for ‘‘distributive
coordination’’ does not presuppose a ‘‘centralized effort’’, integrating and uniting the existing diversity
into a ‘‘new harmony’’ with respect to policy formation. What is required, though, is a common
background understanding and a common basis or ‘‘menu’’ of STS goals and instruments which can be
implemented efficiently in an independent manner. In particular, three important points should be
mentioned aside from the independence condition and the ‘‘common background knowledge’’
requirement.
First, independent policy proliferation implies, as its corollary, freedom of mutual restrictions,
barriers or blockades. Thus, ‘‘distributed coordination’’ must lead in some selected areas with
a long and unsuccessful history of the co-involvement of different NIS policy actors to a
decrease in the interlinkage policy structures and to an increased autonomy for specific NIS
policy units.
130
Second, aside from the ‘‘policy business as usual’’, a more active codification role would be
required by policy actors through an intensification of ‘‘codified’’ policy programs for each of
the four NIS dimensions. Thus, despite the distributed mode of coordination, the degree of
program codifications for the NIS ensemble should be increased.
Third, a roughly common empirical knowledge basis must be established with respect to
existing bottlenecks and barriers inherent in the Austrian Innovation System. Here, the current
project may serve as an important foundation, simply due to the fact that a new system of
indicators has been developed for the Austrian knowledge and information society, its
existing networking capacities and the inherent barriers or limitations.
The three pre-requirements, outlined so far, are by no means sufficient for the implementation of a
catalytic coordination mode ‘‘Austrian style’’. Four additional vital ingredients must be specified within
the next chapters.
1.4. MODE II - STS - POLICIES
As a fourth condition, an explicit shift should be undertaken from traditional Mode I ways of policy
programs which relied strongly on attributes like direct, single purpose, control, etc. to Mode II policy
programs with attributes like indirect/structural, feedback-implementation or participlation. (A detailed
list of the current change in emphasis from traditional Mode I policy formation to a recent Mode II policy
mode can be found in Volume VI). This shift in emphasis implies, inter alia, that policy formation relies
to a far stronger degree than previous policies on the self-organizing adaptation potential of large scale
socio-economic systems, especially, but not exclusively of the scientific system, of the economic system
and of the state system. Like in the case of Mode I and Mode II knowledge production, both polcy groups
should not be considered to be as parts of a ‘‘zero sum ensemble’’, but rather of a co-existing nature,
where, nevertheless, Mode II policies will gain in relative importance within the years and decades ahead.
Table 1.2 provides, then, a summary with paradigmatic examples for each of the main Mode II policy
segments. (See Table 1.2, next page) The rich repertoire in Table 1.2, if taken together, offers new
pathways both for policy formations and for policy implementation or evaluations.
131
Table 1.2: Mode II Policies - Paradigmatic Examples
MODE II POLICY PROGRAM
PARADIGMATIC EXAMPLES
General Programs
Evaluation measures affecting a large share of
NIS actors in the science system
Indirect/Structural Programs
Indirect taxation regulations for innovation
and R&D expenditures, especially for increasing
the R&D personnel, for networking activities, etc.
Coupled Programs
Policy programs, integrating technology, employment and regional targets
Distribution-Oriented Programs
Networking policies between economy and
science, economy, science and households, etc.
with explicit ‘‘diffusion goals’’
Feedback Implementation
Ex post evaluation of research projects and
research programs
Ex ante integration of ‘‘outside actors’’ in the
formation of special high tech programs
Second Order Programs
Policy programs toward a substantial restructuring of the state apparatus itself
Recombinative Programing
Policy programs opening up new niches through
the reconfiguration of existing domains like
CIT, health institutions and private households,
creating a vast potential for new ‘‘on line
health services’’
International/Regional Programs
Policy programs with Mode II elements which
are applicable at local and community levels, too
Long Term Programs
General NIS programs with the long-term goals
of moving the Austrian IS beyond the OECDaverages
132
1.5. PRIORITY SETTING FOR
DOWNSIZED STS - POLICIES
As a fifth cognitive background feature, STS-policies in Austria should be of a ‘‘downsized’’ nature,
aiming not so much at the ‘‘creation of the new’’ and the construction of high technology niches but to a
significantly greater extent, at removing old and empirically observable barriers, restrictions and
bottlenecks for the development of new niches. Three important areas for ‘‘downsized policies’’ in the
Austrian case lie in the rapid imitation and adaptation of successful policy programs from abroad, especially, but
not exclusively, in the domain of ‘‘distribution oriented’’ programs
a permanent removal of existing barriers and restrictions with respect to networking potentials
changes in regulations, facilitating the creation of new ‘‘hybrid’’ NIS actors in the interface
between the economic and the scientific system
In this manner, three major pathways for ‘‘downsized’’ policy formations have been identified which will
become of prime importance within the next chapters. Likewise, the low profile and the weak position of
the Austrian Innovation System within the distribution/ensemble phase diagram must lead to a
‘‘downsized’’ priority setting in which -
policy programs must be aimed at enhancing the ensemble capacities and the distribution
power simultaneously, i.e. distribution oriented policy elements should lead to an increase in
the number of NIS actors and, conversely, ensemble enhancing policy measures should
provide sufficient incentives for incresing the distrubtion and linkage capacities as well.
Due to the equal importance of increasing both the distribution and the ensemble power, Austrian IS
policy programs must become, almost by necessity, coupled in character, combining ensemble features
like intra-systemic population densities, quality control and autonomy with distribution characteristics
like connectivity, incentives for cooperations, etc.
133
1.6. FORMAL EPIGENETIC GOAL ORIENTATION
Shifting to the goal areas for distributed NIS policies, two formal goal sets have been introduced within
Volume VI, one for the NIS distribution power and one for the NIS-ensemble power which provide, in a
strictly formal manner, a goal orientation for any type of distributed and downsized NIS policy.
Once again, Table 1.3 will provide a list of paradigmatic examples for each of the formal NIS target areas
which, if shared by a sufficiently large number of NIS policy actors, can provide an implicit form of
necessary coordination and coherence.
With Table 1.3, another vital ingredient for the policy implementation process within the Austrian IS has
been provided. What follows next, is a final set of essential background targets for NIS policies, coming
from the present and future shape of knowledge and information societies, the new technology-economy
settings as well as, the transformations of the state apparatus and, correspondingly, the reconfiguration of
policy programs.
1.7. MATERIAL GOAL ORIENTATION TOWARDS
‘‘CORE MEGATRENDS’’ FOR AUSTRIA
Finally, a material reference domain has been identified within the present volume, where in Section I
‘‘core megatrends’’ within a NIS ensemble and ‘‘mega-trend’’ NIS policies have been enlisted. Thus, a
comprehensive class of ‘‘core megatrends’’ is already currently available which, however, should be
enlarged with respect to other essential societal large scale systems like arts and culture or the household
sector so that roughly 100 distinctive societal ‘‘megatrends’’ should be available. What is still needed at
this stage, lies in three different requirements which have to be fulfilled for a successful ‘‘megatrendtargeting’’, too.
134
Table 1.3: Formal Targets and Paradigmatic Examples
DISTRIBUTION POWER
FORMAL TARGETS
Increase the Linkage Density for NIS-Actors
Networking programs between the
science system and the economy or between
the state apparatus, science and the economy
for complex societal tasks
Introduction of qualification criteria for
scientific personnel especially at universities,
placing special emphasis on active
networking participation at the European
level
Mobility programs, especially
between state and economy and science and
economy
Institutionalization of cross-evaluations
between science and state or between
economy and science with a strong emphasis
on distribution-oriented criteria
Increase the Linkage Attractivity
Increase the Permeability of Linkages
Increase the DP-Efficiency
ENSEMBLE POWER
FORMAL TARGETS
Increase the Number of NIS-Elements
Program initiatives for the founding of
new firms especially in CIT niches and
CIT-recombined niches
Functional differentiation within the NIS
ensemble, separating the political spheres more
explicitly from scientific NIS actors
Quality improving programs like the
adaptation of TQM for the scientific system
itself
Institutionalization of cross-evaluations
between science and state or between
economy and science with a strong emphasis
on ensemble-oriented criteria
Increase the Autonomy of NIS-Units
Increase the Fitness of NIS-Actors
Increase the EP-Efficiency
135
First, the list of core megatrends should be specified in a way that it is directly related to the
existing NIS databases.
Second, more explicit theory guidance is needed in order to transform the core megatrends
into an ensemble with more theoretical coherence. Thus, recombining current international
expertise on technology forecasting and scenario-techniques within a Delphi-design should
produce a more reliable set of core mega-trends.
Third, a final transformation task lies in a permanent revision of the megatrend set, producing
a continuously modified core class of NIS-S developmental patterns which results, basically,
from advances with respect to the measurement domains and with respect to the ‘‘theory
frameworks’’. Quite obvious, such a permanent core-megatrend revision clearly transcends
the current scope of Austrian ‘‘trend reserach’’. (For a summary of the present ‘‘state of the
Austrian art’’, see HAERPFER/WEINZIERL 1996)
In this manner, the background stage for policy implementations has been completed which, especially in
the case of the required ‘‘distributed policy coordination’’, becomes of vital importance.
136
2. POLICY RECOMMENDATIONS FOR
ENHANCING THE DISTRIBUTION POWER
WITHIN THE AUSTRIAN INNOVATION SYSTEM
The subsequent policy options are designed explicitly for the Austrian context and are couched within the
set of cognitive background assumptions which have been put forward in the preceding pages. In doing
so, all major suggestions for reforms will be categorized under one or more of the four main dimensions
for distribution oriented policy programs. Moreover, the resulting policy schemes fulfill an essential
quality which, with very few international exceptions, is lacking in most of the national innovation and
technology programs, namely a theory based policy agenda in which processes of societal evolution, of
systemic self-organization and of intra-systemic adaptations occupy a central position.
2.1. POLICY RECOMMENDATIONS ACROSS
THE FOUR NIS DIMENSIONS
Before dealing with concrete policy issues, the main performance requirements of the Austrian Innovation
systems should be recapitulated, once again. In short, the Austrian Innovation System is to exhibit with
respect to its distribution power a significant shift between gross domestic R&D expenditures financed by government to
R&D expenditures financed by the private sector, especially by industry
a drastic increase in the domestic share of the technology balance of payments
137
an increased importance of technology transfer activities both for universities and, especially
important, for reseach institutes
a higher share of economic and business oriented R&D programs of total government R&D
expenditures
a massive increase in the output of internal and external co-publications
In order to achieve these required NIS distribution performances, the following two pathways for
‘‘downsized’’ policy programs across the four dimensions should be chosen, namely,
institutional learning from abroad
barrier removing activities for inter-systemic network buildings
Moreover, both strategies have been advocated already within the ‘‘downsized policy chapter’’ for
‘‘catalytic’’ NIS policy formations.
The first route for a distributive ‘‘drift’’ in policy programs comes via the implementation of
successful distribution power oriented policies across or within the four NIS dimensions from
the international NIS-environment. As typical examples for distributive imitation, the
following two adaptations can be presented.
A gradual transformation of Cooperative Research Institutes in Austria into the basic
target model of the German Fraunhofer Institutes which, if successful, would alter the
networking P - P dimension, the ‘‘encoding’’ dimension P - G, the knowledge bases G G and, finally, the ‘‘decoding’’ dimension G - P.
Transforming the funding schemes especially by the Austrian FFF and ITF according to
the target domain of the British ‘‘LINK-design’’ or the German ‘‘Verbundforschung’’
(again with consequences within all four NIS dimensions)
The second path for distribution driven programs comes through the implementation of
‘‘barrier removing’’ or ‘‘networking’’ programs which, once again, exhibit ramifications and
consequences within all four NIS dimensions. To use, once again, two concrete examples for
‘‘downsized policies’’ of a genuine national variety, the following two policy programs can be
mentioned.
138
A gradual increase of marketing initiatives both with respect to training and
qualification and with respect to the output performances of NIS actors fulfills, given
the survey results on restrictions and ‘‘bottlenecks’’, the national ‘‘barrier requirement’’
and must lead, if implemented at a massive scale, to a significant reconfiguration of the
networking dimension, the publication line, the knowledge bases as well as the
utilization dimension.
Transforming the funding procedures by changing, within major funding agencies, from
single actor application to non-trivial network applications, including high quality
international participation, must generate, in due course, substantial changes and
consequences within all four NIS dimensions.
It can be seen very easily that an adoption of successful outside examples or the implementation of barrier
removing distribution policies fulfills the criteria of both ‘‘downsized’’ programs as well as the criterion
of Mode II policies, due to the indirect and structural character of the programs and, moreover, due to the
distribution-centered strengthening of the networking capacities of the Austrian Innovation System. Thus,
formal distribution power oriented goals like increasing the number of linkages for NIS-actors or
increasing the linkage attractivity can be supported via imitation or barrier removing programs from
outside in a sufficiently strong manner.
2.2. POLICY RECOMMENDATIONS FOR
SINGLE NIS DIMENSIONS
Table 2.1 (next page) summarizes, then, the general headings for classes of recommended policy
programs for the NIS-distribution power. With Table 2.1, a fourfold list for selected potential policy
agenda has been put forward which will be discussed within the subsequent pages.
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Table 2.1:
Selected Program Headlines for the Four Epigenetic Dimensions
(Distribution Power)
INCREASING THE INTER- SYSTEMIC NETWORK DENSITIES
Identifying Under-Utilized Network Capacities and Synergies
within the Economic System via Three ‘‘Technology Audits’’
Round Table Policies for Austrian High Tech-Niches in the Future
VLS-Institutes (Virtual Large Scale Institutes)
IMPROVING THE KNOW-
P
⇔
P
⇑
Ü
⇓
LEDGE UTILIZATION POTENTIAL:
Establishing a Network
for University Extension
Institutes
G
G
Recombining CIT and Knowledge
Search into the Creation of
New Science Service Units
in the Field of ‘‘Knowledge Navigation’’
both for the Economic System
and the State Apparatus
RE-CONFIGURING THE AUSTRIAN KNOWLEDGE BASES
Self-Organizing Internet ‘‘Platforms’’ for Paradigmatic
Applications and Transfers (Science-Economy)
Self-Organizing Internet ‘‘Platforms’’ for
⇔
140
NEW QUALITY
OFFENSIVES:
Establishing Transfer
Sections in Austrian
Science Journals
Shifting the
Proportion of Single
Authors to Co-Publications and the Ratio
between Intra-Disciplinary and Inter- or
Transdisciplinary
Contributions
2.3. POLICY RECOMMENDATIONS
FOR THE NETWORKING DIMENSION:
INCREASING THE INTER - SYSTEMIC NETWORK LINKAGES
With respect to the first epigenetic dimension, a comparatively large number of policy suggestions can be
put forward. For a better overview, the ‘‘downsized’’ policy suggestions will be separated according to
their main application domains into economic, science and state-centered programs.
NETWORKING INITIATIVES FOR THE ECONOMIC SYSTEM
Initiating three ‘‘Technology Audits’’ for Austria only roughly similar to the OECD-Audit for
Hungary13 on - the Austrian CIT cluster and its global niche potential, examining both the firm
networks and the scientific institutes within the CIT-domain
- the Austrian complex of environmental industries and services, especially with
respect
to the creation of sustainable and semi-intelligent niches
- traditional sectors (agriculture, textiles, heavy industry, etc.), once again from
a global niche perspective.
Sectoral or cluster based ‘‘round table-policies’’ on future development patterns - organized in
the manner of the Dutch ‘‘Scenario-Rounds’’ (DONKERSLOOT 1995)
Adaptation of an ‘‘Austro-Delphi study’’ with severe modifications from the Japanese and
German predecessors
‘‘Best practice-propagation’’ within the economic system (extending the current one day
programs on ‘‘best practices’’ into a differentiated set of programs, including one week or one
month transfer and ‘‘on the exchange learning’’-programs)
NETWORKING INITIATIVES FOR THE SCIENCE SYSTEM
13
For the Austrian participation withion the OECD Technology Audit, see MÜLLER 1994.
141
For the science system, a variety of networking policies can be formulated which increase and which, in
all probability, should generate positive effects within the remaining three NIS dimensions, too.
Generating a small number of VLS-institues (virtual large scale-institutes) which are
organized by a common auto-catalytic network of the basic ‘‘hypercycle format’’. (See, for a
general orientation, EIGEN/SCHUSTER 1979) Here, a small number of existing institutes
creates a functionally separated and CIT-connected VLS-enesmble where a single small unit,
acting as a lean management and coordinating center, is active in project acquisition and
project marketing and sets up flexible and temporary project teams within the VLS-network.
Establishing four VLS-units within the ‘‘Ludwig Boltzmann Institutes’’, transforming them
into inter-linked conglomerates for medical research, for applied social research, for historical
research and, if necessary, for solid state physics. Moreover, these four conglomerates should
develop strong mission statements for ‘‘Mode II research’’, organizing a variety of
international reserach projects at the conglomerate level.
Transforming the fragmented scientific expertise on science policy into a VLS network for
science policy research, modeled, in its task distribution, after the University of Sussex based
SPRU. Especially due to the smallness of the Austrian Innovation System, a ‘‘downsized’’
and ‘‘network-shaped’’ SPRU-unit in Austria, aside from a trivial networking effect, should
lead to an enriched literature on science policy, should enhance the available Austrian
knowledge bases and should allow intra-scientific ‘‘enabling processes’’ with respect to
knowledge utilization.
Establishing two medium sized VLS-networks on specific research domains within the STS
(Science - Technology - Society) framework, namely first on knowledge production, transferorganization and innovation management and second, on new CIT-based transfer-media with
lean ‘‘head quarters’’ in Vienna14 and in Linz or, alternatively, in Graz. 15
Workshops, conferences and seminars both by research institutes and universities on
‘‘innovation management’’, ‘‘science marketing’’, ‘‘transdisciplinary research management’’,
etc.
Diffusing the expertise of transfer projects via the organization of workshops on ’’best transfer
practice’’ with respect to the implementation of transfer research.
14
The basic model for the Vienna based institute is the Dutch MERIT which has been founded mainly as research institute in 1988 and
which at its current state employs roughly 35 scientists and is organized around eight major research topics. For more details, see
KUHLMANN 1994.
15
For the Linz or Graz based institute, a recombination of electronic media, hyper-text and visual communication with the requirements and
necessities of information exchange within and between science and economy is seen as the primary future oriented‘‘mission’’.
142
Re-organization of Austrian institutes in other countries into ‘‘distribution driven’’ institutions
for international cooperation. For example, the mainly historically oriented Institute for
Eastern Europe and South Eastern Europe with its branches and ‘‘extension institutes’’ in the
Eastern parts of Europe could act as multiple purpose organizations for the social sciences in
general, including, quite naturally, the historical sciences, in the domains of international
networking, mutual knowledge transfers and the diffusion of new technologies.
NETWORKING INITIATIVES FOR THE STATE SYSTEM
Third, networking initiatives at the state-level itself can be exmplified with the help of the subsequent
program suggestions.
Network applications for state funded research by undertaking a gradual shift from
individual/institute applications to network applications.
Stepping up the research participation by state apparatus by defining ‘‘sustainable’’ transfer
interfaces in state funded research projects. In doing so over a longer time horizon, a
sufficiently strong scientific expertise within state units could be guaranteed.
Shifting towards Mode II projetcs which are, from their cognitive content, complex and
transdisciplinary in nature and which, with respect to their policy implcations, are
concentrating on long-term, coupled, indirect or general policy aspects. In short, a focus on
few, relatively large scale projects is needed which incorporate, a priori, an explicit transfer of
knowledge and know-how or, alternatively, of ‘‘know-do’’.
‘‘Insourcing’’ of science units’’ for short term expertise on a permanent basis.
Founding of an inter-ministry agency which initiates, coordinates and evaluates state funded
research projects by all federal ministries
NETWORKING INITIATIVES FOR INTERMEDIATE INSTITUTIONS
Finally, networks can be strengthened in the area of intermediate institutions, too, by focusing on areas
like the following.
Opening up of new ‘‘downstream’’ application domains for the FFF or the ITF, concentrating
on initiating or intensifying client-producer interfaces, shortening time to market processes
and on marketing and distribution in general.
143
Adopting propagation oriented features of the Finnish TEKES, the Swedish NUTEK or the
Dutch STW-system into the application and evaluation practices of the FFF.
Establishing separate FWF funds for ‘‘transfer sciences’’, ranging from topics like monitoring
transfer processes to new forms of ‘‘mediation’’ and, finally, to new communication media for
transfers.
Clear ‘‘distribution driven’’ mission statements for all ‘‘extension institutes’’ of Austrian
universities. Moreover, extension instituts should organize themselves into an ‘‘extension
network’’, organizing and co-ordinating workshops and conferences on TQM, fund-raising
schemes and the like at the network-level, too.
SME-Openings at the Austrian ‘‘An-INSTITUTES’’, especially the Christian Doppler
Laboratories (CDL) through the offering of additional participation possibilities for regional
or cluster-based SME-networks and SME-cooperations.
In sum, the examples enlisted above demonstrate a high networking potential which, at the present time,
is under-utilized and which, thorugh distribution oriented policies might gain considerably in its intraand, above all, in its intersystemic linkage densities.
FOR THE PUBLICATION DIMENSION:
NEW QUALITY OFFENSIVES
The second major NIS policy dimension must be concentrated on the ‘‘encoding processes’’ and on the
proliferation of a relatively stronger ‘‘distribution driven’’ program output. In order to achieve this major
objective, the following policy programs can and should be initiated.
QUALITY INITIATIVES FOR SCIENCE AND ECONOMY
144
Addition of ‘‘transfer sections’’ in Austrian science journals. In doing so, an important
platform for distribution oriented research can be created which can be applied, with equal
force, to all scientific disciplines.
Intensifying the implicit evaluation expertise in areas like product-, process- and
organizational innovations into a more explicit and ‘‘encoded’’ format which facilitates
successful learning and imitation processes
Founding of a high quality Austrian journal on ‘‘transdisciplinary reserach’’ which, almost
naturally, has to contain a large section on successful transdisciplinary research projects in
Austria and abroad
Increasing the co-publications between science and economy especially in complex Mode II
domains
Intensifying the ‘‘codification process’’ for R&D in firms by setting up internet based
communication channels towards the science system both for exploration, confirmation and
for documentation
QUALITY INITIATIVES FOR THE STATE SYSTEM
For intensifying the state - science and the state - economy interlinkages, several programs can be
proposed which, taken together, could exert powerful networking capacities.
Increasing the number of inter-ministry project reports on complex societal issues in areas like
environment, technology acceptance, health, housing and living conditions, etc.
Proliferation of a bi-annual report on the state of the Austrian Innovation System,
concentrating on key issues with respect to the overall Austrian IS performance, the building
up of new transfer capacities and hybrid NIS actors, the implementation of new distribution
driven or ensemble oriented programs, the financial flows for R&D with respect to the
European Union, etc.
Compulsory implementation of ex ante assessments and of ex post evaluations of state
legislation in particular and policy programs in general. A vital ingredient for enhancing the
state-science interface within the ‘‘encoding’’ dimension lies in the institutionalization of
compulsory forms of assessments which, in turn, must lead to a substantial increase in
publication activities within a hitherto relatively weak science-state interface, namely in the
field of ex post program evaluations and, even more importantly, of ex ante program
assessments, including new legislature. As a basic rule, proposed by Bernd Marin (MARIn
145
1994), 0.1% of the expected costs both of policy programs and of state legislation should be
devoted on ex ante research on societal ramifications as well as on non- or un-intended
program consequences.
Increasing co-publications between NIS actors from the science system and the state,
especially in areas like policy research, implementation reserach or organization theory.
The above policy recommendations must be considered as a list of paradigmatic examples only, leaving
ample room for similar ‘‘distribution oriented’’ codification processes within and between the three major
large scale NIS systems.
FOR THE KNOWLEDGE - BASE DIMENSION:
RE-CONFIGURING THE AUSTRIAN
KNOWLEDGE TRANSFER POOLS
Under the spcial heading of increasing the transfer knowledge base, a comparatively large number of
programs can be advocated. Here, four major action-lines will be outlined.
Self-organizing Internet - Platform of paradigmatic applied research projects (IPP) across
disciplines: Preferably organized as WWW hyper text, the major contents of successful
application studies as well as the main steps for successful imitation should become available
to the Austrian scientific community.
Self-organizing Internet based Platform on transdisciplinary research (IPT). In a similar
manner, a self-organizing internet dialogue can be set in motion with the explicit goal of
proliferating a relatively large and, especially important, a fairly up to date summary of
ongoing or recently finished research cooperations of transdisciplinary nature both in Austria
and worldwide.
146
New Types of Communication and Codes for Improving the Intra-Scientific Discourse as well
as the Science-Public Communication. Another vital component in establishing a
‘‘distributive drift’’ within the Austrian Innovation System lies in the availability of programs
and, above all, of new embedded code systems which have the main task of facilitating
communication processes between scientific disciplines or between science and extrascientific domains. As an extremely interesting example from the First Republic, two major
research endeavors can be identified which could produce major contribution in this area.
First, the encyclopedia-program of the Vienna Circle (MÜLLER 1989) can be
mentioned which, in the course of roughly fifteen years turned out to be very successful
in constructing a common data-language as well as a common methodological
foundation across scientific disciplines.
Second, special efforts have been devoted, under the guidance of Otto Neurath
(MÜLLER 1991) to establish new forms of ‘‘pictorial codes’’ which, under the name of
ISOTYPE have become a new type of ‘‘embedded code system’’ for the purpose of
knowledge transfer.
In a similar manner, CIT based policy programs should be implemented which are devoted to
the building up of intra-scientific interfaces across disciplines as well as the science - public
communication, including areas like schooling, education and training.
Organizing an integrated knowledge base for state-funded transfer projects. Another
ingredient in the re-shaping and re-organizing of the overall knowledge bases lies in the
availability of codified results which have been produced in the course of state-funded
projects. Here, a service unit, responsible for summaries as well as for the digital format of the
entire project contents, should be created by enlarging the existing data and project archives
like FODOK, WISDOM, etc.
In pursuing action lines along the general G - G directions specified above, probably very rewarding
linkage effects with respect to the transferability and with respect to the exchangability of elements of the
Austrian knowledge bases could be guaranteed. Moreover, policy actions, aimed directly at a
‘‘distribution driven’’ change in the G - G dimension have the comparative advantage of being innovative
themselves.
147
FOR THE UTILIZATION DIMENSION:
IMPROVING THE KNOWLEDGE IMPACT POTENTIAL
In a final round of policy suggestions, network initiatives are proposed for a large number of NIS actors,
distributed over the entire ‘‘triade’’ of science, economy and state.
Networking initiatives for the Austrian university extension institutes especially at the EUlevel
Networking programs for the Austrian ‘‘Wissenschaftsläden’’ with similar institutions abroad
Combined network initiatives, especially for projects at the EU-level, for STS-institutes and
university extension institutes with respect to problems of university planning, knowledge
transfers and research utilizations
Installation of significantly more STS (Science - Technology - Society) programs, of curricula
in bibliometrics, infometrics and scientometric and of the new branch of NIS-informatics at
universities both for students and, even more important, for managers and R&D employees.
Integrating NIS and STS courses within all major curricula of scientific disciplines
Installation of transfer services in ‘‘knowledge and technology navigation’’ within universities
and research institutes
Establishing networks of ‘‘knowledge and technology navigation service units’’ for particular
scientific and technological domains
With these recommendations for policy and action lines, the distribution perspective within the Austrian
Innovation System can be concluded. What follows next, lies in a similar series of policy suggestions for
the complementary and, in the Austrian case, equally necessary aspect of National Innovation System,
namely for the ensemble power.
148
3. POLICY RECOMMENDATIONS FOR
ENHANCING THE ENSEMBLE POWER
WITHIN THE AUSTRIAN INNOVATION SYSTEM
With respect to the ensemble power, the general policy orientations remain unchanged which consist in an
overall increase of the low ensemble power position of the Austrian IS to the level of OECD or the EU
averages and beyond ...
3.1. POLICY RECOMMENDATIONS ACROSS
THE FOUR NIS DIMENSIONS
Before shifting to concrete policy issues within the ensemble power dimension, the target performance
requirements of the Austrian Innovation Systems should be recapitulated, once again, for the ensemble
power domain, too. In short, within the Austrian IS the following trajectories should be realized within a
medium and long term time perspective of five to fifteen years, namely a significant increase in total R&D expenditures as % of GDP from the current level to the
EU-average of roughly 2%
a drastic increase of R&D personnel from its current value of 2.5 per 1000 into a range
between four and five per 1000
a substantial downsizing of the share of R&D activities by universities (cutting, in the long
run, the current position of 32% by half to the EU average of 16%)
a reduction of the share of ‘‘general university funds’’ (GUF) in the long run by half (from
current 64.a% close to the EU-average of 29.7%)
149
a substantial shift in the balance between public and private university funding, reducing the
current 97.4% public share
a significant ‘‘upsizing’’ of the share of R&D activities by research institutes from its present
position of 9% to the EU-average of roughly 18 - 19%
upsizing the share of of R&D expenditures of the government as % of GDP from the present
level of 0.56% to roughly 0.75%
a drastic increase in the publication output in all of the sciences per one billion GDP from the
current 18.2 publications to more than 30
maintenance of the high publication output per ‘‘one person year’’
In order to achieve these required highly ambitious and, at least in a medium time horizon, unreachable
NIS ensemble performances, the following two roads for ‘‘downsized’’ policy programs across the four
epigenetic dimensions, namely,
institutional ensemble learning from abroad
new instruments for formal ensemble power oriented target domains
seem appropriate.
The first policy set is accomplished via the implementation of successful ensemble power
oriented policies from the international NIS-environment. As ‘‘paradigmatic examples’’, the
following areas can be mentioned in which, basically, the number as well as the quality of
Austrian IS-actors can be increased.
Adaptation of the Norwegian BUNT-Model (Business Development Using New
Technologies) into an Austro-BUNT (BAYER 1994:76) An Austro-BUNT initiative
will and must lead, due to its focus on strategy identification and strategy
implementation, to an upgrading of ensemble features like the ‘‘fitness of NIS actors’’,
the evaluation competencies (including self-evaluations) or, at least in an indirect
manner, the autonomy of NIS units. Moreover, the ramifications of an Austro-BUNT
are not restricted to the networking dimension alone but affect the remaining NIS
dimensions as well.
Supporting the ongoing changes at large scale institutes to become Austrian ‘‘Science
Centers’’ (NSC´s), acting, like the Berlin based Science Center for the social sciences
150
(WZB), as ‘‘catalysts’’ in a variety of core domains in the social, natural, technical or
medical sciences. Again, due to the relative smallness of the Austrian IS, a successful
transformation of a single large scale institute within a large science complex like the
social sciences, simply has to exert massive quality effects across the four NIS
ensemble dimensions.
The second way for comprehensive NIS policy programs is achieved through the
implementation of Austrian-specific initiatives which fulfill the formal targets for ‘‘ensemble
oriented policy making’’ across the four NIS dimensions. Again, two paradigmatic examples
may help to clarify the content of overall NIS ensemble-centered policies.
Linking the net gains from current ‘‘privatization and outsourcing processes’’ with
respect to state industries and other state activities to a new ensemble power initiative
for the Austrian Innovation System. Here, a new funding agency, especially designed
for university institutes and, above all, for the research segment, should be mobilized
which must be organized in a lean fashion and which should have the following primary
objectives, namely improving the CIT-based infrastructure in the Austrian Innovation System,
especially in its research capacities
establishing a ‘‘supra-critical’’ mass of coherent ‘‘large scale facilities’’ in Austria
across all major scientific domains
acting as a service and, above all, as financing unit for the founding of hybrid
institutes, for starting science based firms, etc.
initiating and financing ‘‘spin-off programs’’ especially at the regional level
Due to its high technology focus, this new fund could be integrated into the existing
FFF structures which can be considered as sufficiently lean and efficiently organized
already.
Initiating evaluation processes for scientific institutes as well as for intermediate
institutes at a regular five year basis. Such an evaluative ‘‘monitoring’’ will lead to
changes across the four NIS dimensions by changing the number of NIS-actors,
producing, as the evaluation processes go along, a diversified evaluation literature,
151
effecting, consequently, a considerable enlargement of the Austrian evaluation
knowledge bases and, finally, an increased evaluative utilization potential.
Again, both comprehensive pathways to ensemble oriented enhancement programs, on the one hand the
imitation initiatives from the international NIS-environment and, on the other hand, the implementations
of evaluation programs fulfill the formal requirements for the ensemble power dimension and must be
qualified, moreover, as typically ‘‘downsized’’ policy initiatives.
3.2. POLICY RECOMMENDATIONS FOR
SINGLE NIS DIMENSIONS
Not surprisingly, the major policy measures in the general field of ‘‘increasing the ensemble power’’ do
not come from an increased allocation of financial flows, but, on the one hand, from a relative reallocation from the university contributions to the non-university segment and, on the other hand, from
low or zero cost programs, facilitating the founding of new NIS actors. Here, the following policy
programs should be implemented within a medium and long term of five to fifteen years. (For a
preliminary summary of major program headings, distributed across the four NIS dimensions, see Table
3.1, next page.)
FOR THE NETWORKING DIMENSION:
INCREASING THE INTRA-SYSTEMIC ACTOR DENSITIES
152
With respect to the intra-systemic population density of the NIS-actor networks, a clear imperative,
directly linked to the empirical results in Volume IV, can be put forward, namely a rapid construction of a
highly developed infrastructure of non-university research institutes which, at the same time, exhibit a
high degree of autonomy and of quality standards. In order to reach these target domains, the policy
initiatives will be separated according to the four formal goal domains for successful ‘‘ensemble
oriented’’ policy programs.
153
Table 3.1:
Selected Program Headlines for the Four NIS Dimensions
(Ensemble Power)
INCREASING THE INTRA- SYSTEMIC NETWORK DENSITIES
Low Cost Initiatives for an Intra-Scientific ‘‘Gründerzeit’’
Clear Functional Differentiations between Science Management and
Political Domains, Including Political Parties
Evaluation Proces for the Selection of a Small Number of ‘‘Science
Centers’’
in Major Disciplines
Institutionalized Evaluation Processes for Major Intermediate NIS-Actors
IMPROVING THE KNOW-
P
⇔
P
⇑
Ü
⇓
LEDGE UTILIZATION POTENTIAL:
Establishing a CIT
Infrastructure for
NIS-Actors
G
G
Journals
Recombining Marketing
and Research for the
Creation of New Fund-Raising
Posts at Large Scale Research Institutes (LRI´s)
and Self-Supporting Networks for Small
PublicaScale Research Institutes (SRI´s)
RE-CONFIGURING THE AUSTRIAN KNOWLEDGE BASES
Self-Organizing Internet ‘‘Platforms’’ for the Austrian
Knowledge Bases across Disciplines
Self-Organizing Internet ‘‘Platforms’’ for the Austrian
Access to the Global Knowledge Bases
⇔
154
NEW QUALITY
OFFENSIVES:
Establishing an International Review Process
in
Science
Shifting the
Proportion of National
Authors to International Authors
‘‘Downstream’’
tion Support for
Emerging ‘‘Strongholds’’ in the Austria
Science Production
INCREASING
THE
NUMBER
OF
NIS-UNITS: Here, a small list of paradigmatic examples will be provided
which are financed through the proposed FFF ‘‘privatization fund’’.
Massive organizational and infra-structural support for the cluster of technology-oriented
research institutes either by facilitating the founding of new hybrid types of Mode II institutes
with a high degree of local networking potential in high technology niches of CIT-engineering
or in biotechnology
‘‘Critical mass’’ of EU-defined large scale facilities (LSF) in the natural sciences, the
technical sciences, medicine and in the social sciences which, taken together, fit into the
cognitive and institutional Austrian NIS III landscapes
‘‘Barrier removing’’ measures with respect to university regulations, fostering the founding of
new hybrid institutes
Changing indirect tax regulation for firms in favor of three areas, namely the building up of
new or additional R&D capacities, for R&D contributions to universities or research institites
and to open training programs.
Separation of the Austrian Academy of Sciences into a comparatively large number of nearly
autonomous NIS actors. In particular, scientific service and infrastructure units associated
with the Academy should be separated form a science-oriented compound. More concretely,
the task domain for the first complex, organizationally linked to the Academy, should
continue, wherever justifiable, the work on editing historical sources, on data and indicator
compilations or on archeological fieldworks. For the second unit, a massive ‘‘insourcing’’ of
international expertise has to be initiated whereby relevant scientific Mode II domains like
those identified in the proposed ‘‘Austro-Delphi-Report’’, become organized via highly
competent international networks, with Academy institutes acting, wherever possible, as coreactors.
INCREASING THE AUTONOMY OF NIS-UNITS: Under this heading, a rich reform agenda, especially designed
for both the university cluster and the set of research institutes must be set in motion through which,
ideally speaking, three types of NIS-actors, namely universities, research institutes and the state
apparatus, reach a comparatively better position than their current status.
Relative reduction, organized via the ’’freezing’’ or via a very incremental decline, of state
expenditures to the GUF (General University Funds) sector from full funding to base-line
fundings, accompanied by increasing the financial autonomy especially of university
155
institutes. The base-line support should lie in the range of approximately two thirds of the
total budget levels and should be implemented within a ten year interval.
Increasing the autonomy of the institute level of universities with respect to initializing ‘‘selfsupportive’’ training programs, seminars and workshops and with respect to the utilization of
research funds for the hiring of new personnel, the acquisition of CIT and other science
infrastructures, etc.
Implementation of short and medium term fund raising schemes within universities to
compensate for the losses resulting from the reduction to base line funding.
Clear functional dfferentiation between the state apparatus and the political system on the one
hand and the management of research institutes on the other hand. Here, a period of
segregation of traditional links as well as the construction of new ‘‘science-state’’ interfaces
has to be accomplished in a short term manner.
Transforming Austria´s so-called ‘‘federal institutes’’ along two major dimensions. First, by
‘‘insourcing’’, i.e. by re-shaping them into non-scientific ‘‘service units’’ within the state and,
second, by ‘‘privatization’’, i.e., by a rapid re-organization into autonomous research units
with a significantly reduced base-line funding only.
Medium financial planning horizons for internationally well-embedded and renowned large
scale research institutes (‘‘Blue list institutes’’ across all scientific disciplines)
INCREASING THE FITNESS OF NIS-ACTORS: A third policy line for ensemble oriented programs lies in the
implementation of quality enhancing measures. Here, a small list of potential programs in this important
domain has bee set up.
Selection of a small number of Science Centers (NSC’s) out of the existing pool of institutes
in each of the following domains Natural Sciences
Technical Sciences
Medicine
Social Sciences
Inter- and Transdisciplinary Research
NSC’s should act as powerful cognitive ‘‘catalysts’’ by concentrating on -
156
establishing local innovative research traditions for globally distributed ‘‘hot fields’’ in
science and technology
Mode II research with a high international diffusion potential
International knowledge and, more generally, ‘‘know do’’ transfers
Improving the research infrastructure, especially with respect to CIT equipments.
Increasing the scientific capacities and the relative importance of the Austrian NIS data
infrastructures both with respect to ÖSTAT and with respect to scientific data archives.
INCREASING
THE
EP-EFFICIENCY: Among the general efficiency enhancing measures in the networking
dimension, the most important one lies in the institutionalization of evaluations, preferably in a five year
rhythm, in the following domains.
Funding agencies (five year evaluation of the FFF, FWF, ITF, Research Fund by the National
Bank, etc.)
Government programs in R&D, ex post, ex ante and within their implementation phase.
Obligatory evaluation of the proposed ‘‘National Science Centers’’ (NSC’s) after five years
and, if necessary, re-arranging of the NSC-listing.
Organizational evaluation at the level of disciplines, of single universities, of groups of
research institutes within a technology cluster, etc.
These examples should be sufficient to demonstrate the extended implementation potential for policy
programs along the institutional and the network dimension within the NIS-ensemble power.
FOR THE PUBLICATION DIMENSION:
NEW QUALITY OFFENSIVES FOR ENCODED OUTPUTS
157
A second group of ensemble oriented policy measures has to be concerned with fostering both the
‘‘encoding intensities’’ as well as the ‘‘encoding qualities’’. As paradigmatic examples, the follwing set of
policy proposals can be identified.
Quality improving publication initiatives for the economic system like the introduction of new
awards for transfer projects and for successful transfer implementations.
Quality improving publication initiatives for the science system, above all through increasing
local innovative problem solutions to global scientific problem domains. The major
justification for this demand comes through the new ‘‘theory of scientific micro- and macrocreativity’’ in Volume I where one of the decisive steps for the emergence and the
continuation of a highly creative scientific regional network has been identified in the
proliferation of ‘‘local’’ cognitive solutions to globally discussed problem domains. Thus, in
Volume I an explanation sketch could be provided on the comparatively large number of
recombinative local solutions produced within the Viennese network during the years of the
First Republic in areas like mathematics, methodology of the science system en bloc,
economics, social sciences, psychology and psychiatry (via the propagation of psychoanalysis), etc. Consequently, new zero cost or low cost policy programs should be initiated at
the level of research funds and with respect to evaluation processes, giving high priority to
‘‘local innovations’’ for ‘‘global scientific problems’’ and, finally, at the level of awards which
should be aimed twoards first, the proliferation of new ‘‘local’’ solutions which constitute ‘‘local research
programs’’ with a potential for ‘‘global resonances’’
second, wherever possible, the linking between the new solutions with the extremely
interesting knowledge bases during the 1920´s and 1930´s.16
Moreover, the existing award system (START, ‘‘Ludwig Wittgenstein Award’’, etc.) should
be enhanced and slightly re-organized by placing special emphasis on the local coherence of
cognitive fields. Why? Simply in order to reach, once again, an old balance between ‘‘local
historicity and global developments’’ (NOWOTNY 1990:138) in which, like in the 1920`s
and early 1930`s, Austria´s cognitive contributions, will become
16
It is obvious that for new global reserach domains like bio-technology or electronic equipment no effective links, aside from general
methodological devices, can be provided. But in many areas, including the extremely important new cognitive science domains, connections
to the classical Austrian knowledge bases prior to 1933/38 can and should be established.
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part of a wider international movement of ideas, innovations, and institutional strategies that
had their outposts also elsewhere, but to which the Austrian case (will) add highly specific and
unique features. (IBID:139p.)
Quality management for Austrian scientific journals especially through a thorough evaluation
of the international impact in the reviwe process and, whereever necessary, through a
modification in the review practices.
Publication of an annual report on the status of the Austrian Science and Research System, by
focusing, on development patterns in scientific performance indicators (distribution power/ensemble power)
local domain indicators within all four NIS-science dimensions
The quality improving effect of such a comprehensive science report is rather obvious since a
regular ‘‘state of the art’’ report can serve as an intra-governmental and intra-scientific
reference point and may initiate, thus, a vital ‘‘feedback element’’ for initiating
communication processes and for a successfully orchestrated ‘‘distributed’’ STS policy
formation.
Quality improving publication initiatives for the state system, above all through the
introduction of the full range of quality control methods.
Quality improving publication initiatives for intermediate institutions, again by an
intensification of quality control methods as well as by increasing their current client
interfaces with CIT based ‘‘on line services’’, with CIT based services for project applications
and networking partnerships, etc.
Shifting of review processes from ex ante evaluation to ex post evaluation especially for the
FWF and the Research Fund of the Austrian National Bank. With this step, an enormous
quality potential could become activated, since a non-trivial and highly consequential ex post
evaluation will generate, by necessity, a rapid improvement in the final reports and a much
more densely interlinked report structure. In particular, ex post evaluations on the degree of
novelty, on the degree of correspondence between initial project proposals and final product
or on the degree of ‘‘Anschlußfähigkeit’’ with the established knowledge bases could become
vital elements for the initialization of catalytic ‘‘encoding’’ processes in the Austrian science
system.
159
FOR THE KNOWLEDGE BASE DIMENSION:
RE-CONFIGURING THE AUSTRIAN KNOWLEDGE POOLS
Meanwhile, a seventh domain for potential STS policies can be opened up, after reviewing the four
distribution centered epigenetic dimensions and the networking as well as the publication dimension
within the ensemble power domains. More specifically, the reconfiguration potential for the current
Austrian knowledge bases can be exemplified with the help of the following examples.
Self-Organizing Internet Platform of the Austrian knowledge bases across disciplines (IPA).
Within this domain, a variety of new initiatives should be set in motion, ranging from a
straightforward medium of communication to award systems for innovative and significant
contributions within a single discipline, within disciplinary compounds and the like.
Self-Organizing Internet Platform for the Austrian access to the global knowledge bases.
(IPG) In contrast with the previous initiative, a CIT-based platform should be established
which serves as an exchange forum for ongoing international research and publications which
contain innovative elements and which could be of potential interest for local modifications
and adaptations. Again, an award system for transferring and adopting advances in the global
scientific arena to the local or national context could and should be initiated.
Meanwhile, the final dimension within the current review program for the current STS intervention
potential has been reached which is concentrated on increasing the utilization of the impact of the existing
knowledge bases.
160
FOR THE UTILIZATION DIMENSION:
IMPROVING THE KNOWLEDGE IMPACT POTENTIAL
Finally, a concluding list of policy examples demonstrates the possibility for intervention along the
utilization or ‘‘decoding’’ dimension, too, both for the science system and for the economic domain.
Improving the CIT-infrastructure for connectivity and data transport capacities
Founding of more privately organized institutes and organizations close to the universities for
‘‘knowledge marketing’’
Establishing new ‘‘hybrid’’ Mode II transfer centers for high technology niches in CIT and in
the biotechnology complex
Self-supporting transfer-networks by groups of small scale research institutes (SRI´s)
Self-financing schemes for recruiting new personnel for ‘‘knowledge utilization’’ and project
marekting for large scale research institutes (LRI´s)
In this manner, a rich menu for the general directions in potential STS policy programs has been built up
which may serve as an important cognitive reference point in the shaping and organizing of a ‘‘catalytic
policy regime’’ Austrian style.
161
PART III:
FINAL OUTLOOKS:
MONITORING,
AND SELF-REFLEXIVITY IN THE
ANALYSIS OF
NATIONAL INNOVATION SYSTEMS
162
0. INTRODUCTORY REMARKS
The final section is motivated both by a current demand for an increased scientific sensitivity for extrascientific concerns and for a higher degree of ‘‘self-reflexivity’’ within the science domain (BECK 1986,
LASH/SZERSZYNSKI/WYNNE 1996). More specifically, these current issues can be translated into the
NIS analyses in a manifold of ways. At the outset, the quest for more self-reflexivity can be justified, at
least in the case of the study of innovation and diffusion processes, in two different ways.
First, a study of National Innovation Systems, advocating local innovative solutions or
‘‘innovative spurts’’ should exhibit, in order to demonstrate the feasibility and reachability of
the demands imposed on the Austrian science-technology landscapes, a local innovative
solution by itself. In this sense, the new epigenetic IHS approach must be viewed as a
fulfillment of the self-reflexivity demand since a new framework, strongly connected to the
Austrian tradition in evolutionary social theory, in innovation research, in cognitive science
and in general scientific methodology, has been proposed in its theoretical, methodological,
historical, policy-oriented as well as in its complex model-building ramifications.
Second, the ‘‘context of potential utilization’’ has been adressed in a rigorously new manner.
Thus, the empirically observed barriers and restrictions inherent in the Austrian innovation
networks and the ‘‘incompatilities’’ between important NIS actors especially within the state
segment have been taken into account explicitly. In this sense, the policy programs and the
self-organization policy directives, advocated throughout the present volume, should be seen
as conscious attempt to go beyond the conventional demands for ‘‘unification’’ and
‘‘centralization’’ Die Komplexität der vorgeschlagenen Strategien ... macht es vor allem notwendig, daß eine
strategische
technologiepolitische
Koordinierungskompetenz
im
österreichischen
Technologiepolitiksystem existiert (BAYER et al. 1994:43) -
Consequently, a new STS-management has been proposed which, in view of the existing
constraints and inmformal incompatabilities, aims, nevertheless, at distributed ways of a
‘‘catalytic’’ policy coordination.
More generally, increased self-reflexivity in NIS reserach can and should be placed within an appropriate
cognitive-organizational setting which guarantees, on the one hand, a permanent monitoring of the
Austrian Innovation System and, on the other hand, a continuous ‘‘feedback process’’ between policy
programs, the evaluation of their effects and impacts, the propagation of new STS-policy analyses and the
163
shaping of new policy measures. In this sense, three final considerations will be devoted to the problem of
moving future NIS-analyses in Austria even closer to a permanent self-reflexive research process with
both an immediate policy relevance and an empirically as well as theoretically more sophisticated and
advanced basis.
1. SELF-REFLEXIVITY PRELIMINARY REQUIREMENTS
At the outset, some suggestions are put forward which highlight several of the ‘‘utilizations’’ for selfreflexive research practices in the social sciences in general and in the field of innovation and technology
diffusion in particular. The following six contexts describe different semantic fields of self-reflexivity
which can be captured in Table 1.1.
Table 1.1: Domains for Scientific Self-Reflexivity
SELF-REFLEXIVITY AT THE LEVEL OF SELECTION CRITERIA:
Self-reflexivity as increased ‘‘awareness’’ for the ‘‘context of discovery’’
Self-reflexivity as increased ‘‘awareness’’ for the ‘‘context of justification’’
Self-reflexivity as increased ‘‘awareness’’ for the ‘‘context of application’’
SELF-REFLEXIVITY WITH RESPECT TO PROGRAMS:
Self-reflexivity as ‘‘second order research’’
Self-reflexivity as ‘‘self-referentiality’’
Self-reflexivity as ‘‘self-application’’
Self-reflexivity as ‘‘self-reproduction’’
164
The core notion for the first self-reflexivity domain, namely ‘‘increased awareness’’ can be given a
straightforward meaning, since it can be tied to the availability of a theoretical frameworks which serves
as an essential selection basis for the choice of topics, methods, theory frameworks, problem domains etc. (‘‘context of
discovery’’)
the fulfillment of testing, measurement and justification standards, etc. (‘‘context of
justification’’)
the utilization and implementation of results (‘‘context of application’’)
Thus, ‘‘increased awareness’’ can be tied to the existence of a set of theoretically embedded selection
procedures for the three major scientific operation spaces, namely the contexts of discovery, justification
and, finally, utilization.
Moreover, the second domain of ‘‘self-reflexivity’’ applies to the level of scientific program production
and can be differentiated in the following manner:
‘‘Second order research’’ has been introduced, quite generally, as any scientific program
which contains at least some non-trivial elements of self-reflexivity, self-application or selfreproduction.
‘‘Self-referentiality’’ has been achieved whenever a scientific program exhibits non-trivial
references between its domain of discourse and the program itself. Thus, a theory of scientific
creativity, if undertaken in a self-referential manner, must demonstrate weak connections to its
own program features. Consequently, a theory of scientific creativity which exhibits no or
almost no creative elements and components by itself, must be classified as a heteroreferential program whereas a program on scientific creativity, demonstrating elements of the
creativity framework by itself, should be qualified as self-referential.
‘‘Self-application’’ occurs whenever a scientific program contains suficient instructions
which, if followed by a competent scientist, will lead to a successful exemplification of the
program in question. Thus, a theory of scientific creativity with ‘‘self-application’’ elements
must exhibit strong connections to its program design and must follow, above all, in its mode
of constitution the basic steps of the creativity program itself. Ideally, the steps of the
application on creativity theories must be undertaken in a way which follows the general
requirements for achieving scientific creativity.
‘‘Self-reproduction’’, as the most advanced and most elaborated self-reflexive program
feature, contains all relevant ingredients for the self-construction of a program which,
basically, follows its own rules or ‘‘grammar’’. Here, a self-reproducing program of scientific
creativity will lead, if placed into an appropriate embedded environment, to a new creativity
program, relying, above all, on the internal program operations alone.
165
In this manner, a large number of potential ‘‘self-reflexivity features’’ has been summarized which will
become, as will be remembered from the megatrends on knowledge and information societies, a
prominent element of scientific program proliferation, and, thus, of the knowledge bases, in the near and
distant future.
The subsequent chapters will be devoted, then, to two questions. First, what are the necessary institutional
pre-requirements and infrastructures for organizing ‘‘second order research’’ in an efficient manner,
especially within the field of National Innovation Systems? And second, which ‘‘self-reflexive’’ features
have already been implemented and achieved within the present project itself? In answering these two
questions, another round of investigations will be completed which brings the present analysis to a logical
conclusion ...
2. NECESSARY COGNITIVE
INFRA - STRUCTURES
FOR MONITORING AND SELF - REFLEXIVITY
For ‘‘organized self-reflexivity’’ in NIS-domains, three major components become of equal importance,
namely
an appropriate research data-infrastructure
a locally embedded and locally propagated Mode II theory and model pool
for global scientific problem domains
new organizational interfaces with respect to the ‘‘structural couplings’’
between the state apparatus and the science system
In closer detail, these three areas need, in order to approach the target of ‘‘organized self-reflexivity’’, the
following set of requirments and pre-conditions.
166
2.1. CONSTRUCTING THE NECESSARY
DATA INFRASTRUCTURE
The first essential point for a successful implementation of self-reflexive NIS investigations in general or
STS policy research in particular17 lies in the provision of an appropriate data infrastructure for the
monitoring, i.e. the observation, measurement and the evaluation, of structural changes and boundary
shifts within the Austrian Innovation System. Important ingredients of the required infra-structural
organization have been highlighted within the EU Green Paper already and will be enlarged here with
several Austria specific components.
SUFFICIENTLY POWERFUL NIS-DATA BASES: The most essential infra-structural requirement
comes from the creation of a diversified national data basis, comprising at least three different
groups of data.
First, survey and panel data from the NIS or, alternatively, from the STS-field should be
made available to both national as well as international NIS reserachers. As a NISpolicy agenda of high strategic relevance, the installation of APIT, the Austrian Panel
for Innovation and Transfer, is strongly recommended and should become one of the
core-components of the Austrian NIS data basis.
Second, available bibliometrical and scientometrical data on reserach and research
diffusion should be integrated into the NIS data bases, too. Moreover, the field of
bibliometrics and scientometrics must be regarded, for the Austrian case, as a highly
under-developed research topic since a very small number of studies has been
undertaken which has effectively utilized the meanwhile huge SCI-data bases. (For a
rare exception, see FELDERER/CAMPBELL 1995)
Third, the infrastructure for data interfaces must be established between national NIS
data and the existing national data bases on employment, investment, trade statistics,
education, demographic data and the like.
17
For clarification, abbreviations like NIS or, alternatively STS-analysis are used in an equivalent manner since both cases - National
Innovation Systems on the one hand and ‘‘Science - Technology - Society’’ on the other hand, refer to societal ensembles under the special
perspective of innovation, technology and diffusion processes. The term STS policy or STS policy research refers, however, to a special subsegment within NIS or STS analyses, namely to studies of science-, technology- or second order policies.
167
Here, ÖSTAT, through its already existing data-base services, should become of core
relevance in becoming the NIS-actor ‘‘of last data resort’’ for national, international as well as
for the provision of integrated NIS data services.
NEWSLETTERS AND NEWS-NETWORKS FOR BOTH STS-DOMAINS (Science-Technology-Society
as well as Science- Technology- Second Order Policies): Establishing of an internet based
STS News-Network, comprising STS-institutes, R&D departments of firms as well as the
science section of ÖSTAT, the Austrian Patent Office and other NIS III actors with the main
‘‘mission’’ of exchanging and transmitting ongoing NIS-research activities
interesting international papers, conferences, research projects within the STS-domains
INTERNATIONAL DATA-TRANSFER: A third infra-structural condition, necessary for a
continuous ‘‘self-reflexive’’ research process in STS- or NIS-fields, lies in a well-functioning
interface to interational data sources, both at the level of national organizations abroad and on
the level of international organizations. Again, the science section of ÖSTAT should become
a core actor and should be upgraded, therefore, in its current personnel as well as in its
internal position of the science section within ÖSTAT. (Transformation into an autonomous
ÖSTAT-Department for Science, Technology and Innovation)
With these three low-cost options (except for the substantial increase in ÖSTAT resources on science,
technology and innovation), the necessary data-infrastructure could be built up which, moreover, would
allow for an increased participation of Austrian STS or NIS research within ongoing EU or OECD
activities.
2.2. AVAILABILITY OF LOCAL THEORY POOLS
FOR GLOBAL PROBLEM AREAS WITHIN SCIENCE
The second group of necessary conditions for a successful organization of ‘‘self reflexive’’ NIS research
comes through the availability of a local theory and model pool which contains globally distributed and
discussed Mode II elements. The main reason for stressing the local components and local Mode II
problem solutions is linked to the framework for micro- and macro-creativity which has been proposed in
168
Volume I . Only a clearly recognizable local reserach profile will be able to generate a sufficiently
powerful cognitive network, necessary for a continuous flow of new adaptations, modifications and
recombinations. Finally, the principal argument for Mode II components has to do with the fact that
‘‘organized self-reflexivity’’ is a genuine feature of Mode II knowledge production and should proceed,
therefore, in an explicit Mode II fashion.
More specifically, the set of necessary cognitive pre-requirements for ‘‘organized self-reflexivity’’ can be
circumscribed in the following way.
LOCAL RESEARCH TRADITIONS: A sine qua non lies clearly in the existence of local Mode II
research traditions which may become active elements within a local area network. In this
sense, the new epigenetic IHS approach to the analysis of National Innovation Systems may
be considered as one of the potential ‘‘network nodes’’ which should and must be
accompanied by alternative local NIS-research traditions as well.
INTERNATIONAL TRANSFER: A second cognitive pre-condition, necessary for a continuous
‘‘self-reflexive’’ research process in NIS-fields, comes through a permanent two way transfer
with the international NIS-environment. Here, the IHS offers an almost ideal position for
transfers from abroad, due to the advanced training and education program within the IHS
which allows an intensive organization of seminars and workshops .
SELF-REFERENTIAL PROBLEM SOLUTIONS: A third pre-condition lies in a concentration of NIS
research on self-referential problem domains like studying the evolution of evolution,
functions of functions, models of models, programs of programs, recombinations of
recombinations, the recursion of recursion ... and the like. In doing so, a new compartment
within the Mode II pool should emerge which will, in all probability, increase the potential for
transdisciplinary applications in a systematic manner.
SELF-APPLICATIONS WITHIN THE AVAILABLE LOCAL POOL OF THEORIES AND MODELS: A final
reserach trajectory which must exhibit at least some ‘‘paradigmatic examples’’ lies in the
domain of self-applications. Here, Volume V has pointed out already the general
specification framework for a successful implementation of complex modeling on the
diffusion of complex modeling ...
The four points just outlined complete the necessary cognitive plattforms, necessary for organizing ‘‘selfreflexivity’’ in NIS research.
169
2.3. CHANGING THE INTER-SYSTEMIC
CONNECTIONS OF THE SCIENCE SYSTEM
A third set of pre-conditions refers to changes in the ‘‘interfaces’’ between science and its wider socioeconomic environment, especially the political and public domains. Here, only two major transformations
will be mentioned in an explicit fashion.
PERMANENT CROSS-EVALUATIONS: A primary ‘‘necessity’’ for organizing ‘‘self reflexive NIS
research’’ lies in the institutionalization of a permanent cross-evaluation process whereby the programs on part of the NIS policy actors undergo constant evaluation processes by
the scientific system and
the scientific performances within all four epigenetic dimensions as well as the
utilization potential of the ‘‘knowledge Base’’ for societal concerns are subject to a
permanent evaluation process on part of the NIS policy actors.
In doing so, a process of mutual ‘‘learning’’, transfers and adaptations can be set in motion
which, in the end, must lead to a powerful ‘‘drift’’ for rapid distribution and diffusion of both
societal concerns and issues within science and for new science-based policy options within
the extra-scientific realms ...
INSTITUTIONALIZING POLICY FEEDBACKS: A second institutional requirement lies in the
implementation of successful ‘‘feedback loops’’ which enhance the mutual impact by
especially from the data and evaluation bases to the policy realm.
Taken all three domains together, the necessary ‘‘cognitive infrastructures’’ as well as the appropriate
institutional settings for ‘‘organized self-reflexivity’’ in NIS research have been identified. Moreover,
institutionalizing ‘‘self-reflexivity’’ can be considered as a highly rewarding low cost option since the
necessary financial basis can be estimated, in its minimal form, with no more than six million ATS p.a.
where roughly one half of the total sum must be devoted to the area of data collection, NIS-measurements
and data organization (APIT, the Austrian Panel of Innovation and Transfer, scientometric and
bibliometric data, cluster-data, data with respect to the technology balance of payments, additional
positions within ÖSTAT, etc.) and the second part to evaluation projects for important NIS-segments. In
doing so, an internationally innovation with respect to the cognitive pool for NIS analyses as well as with
170
respect to the formation of STS policies could be achieved which, moreover, has a high diffusion
potential for other regions or nations.
3. SELF-REFLEXIVITY IN NIS - RESEARCH:
A CONCLUDING VIEW ON THE
OVERALL IHS - PROJECT
The final chapter of the final analytical volume - Volume VII contains only appendix materials, ranging
from data-bases to different types of questionnaires - will recapitulate twelve prominent features of ‘‘selfreflexivity’’ which have been achieved within the present overall project despite a partially lacking and
insufficient cognitive infra-structure.
First, a ‘‘transdisciplinary’’ or, alternatively, a ‘‘meta-theoretical’’ framework has been built
up which is epigenetic in character and which can be applied, mutatis mutandis, to biological
domains, to socio-economic realms or to socio-biological fields.
Second, a universal concept of ‘‘innovations’’ has been put forward which, once again,
becomes applicable to innovations within the genetic code, within ecological domains, within
socio-economic fields - and beyond ...
Third, a general theory-network for ‘‘embedded code-systems’’ (ECS) has been achieved
which, like in the previous two cases, can be applied to the genetic code and to numerous
code-systems which have emerged in the course of human development.
Fourth, a general theory of recombinations has been proposed which focuses on a small
number of ‘‘recombinative operators’’ and which, once again, can be utilitzed in biological as
well as in a large number of socio-economic domains.
Fifth, a general theory of scientific micro-creativity as well as macro-creativity has been
developed which, as one of its highly self-reflexive features, has been instantly applied to
itself.
Sixth, a generalized framework for ‘‘actions’’ and ‘‘operations’’ has been achieved through
which action spaces for highly heterogenoeus domains of discourse can be integrated into a
consistent ‘‘systemic ensemble’’.
171
Seventh, a variety of general methodological problem areas have been discussed in a way
which supports and corroborates the transdisciplinary frameworks established in the present
volumes. Moreover, a historical development sketch of the very long run offers an additional
epigenetic basis for future reserach, by focusing on the co-evolution of genotype - phenotype
interactions.
Eighth, a new set of complex, dynamic models has been built up through which processes of
innovation and diffusion can be studied within transdisciplinary modeling frameworks.
Nineth, one of the complex model specifications, namely the model families of the ‘‘Kuhn
clock variety’’, has been formulated in such a way that the model families can be directly
applied to itself.
Tenth, the realm of potential applications for the overall NIS-project has been taken into
account in a novel theoretical fashion of ‘‘self-organization policies’’ so that one of the
features of self-reflexivity, namley the availability of a theory-driven ‘‘context of
application’’, has been fulfilled.
Eleventh, a large number of policy recommendations has been suggested which, at least in the
areas devoted explicitly to the realm of scientific institutions, can be applied directly to the
scientific environment in which the current NIS-project has been conducted.
Twelveth, a final section has been explicitly devoted to the problem of reaching an
institutionalized and, thus, a permanent status of self-reflexive socio-economic research in the
analysis of processes of innovation and technology diffusion.
In this manner, a highly self-reflexive research endevour, devoted to the analysis of National Innovation
Systems, has come to its logical point of return since ..., approaching NIS-domains from a very broad
and, above all, from a meta-theoretical perspective, the introductory steps (in)evitably should be devoted
to two areas:
First, a series of heuristic devices should turn out to be useful for the specification and the
design of socio-economic systems in general and of evolutionary socio-economic systems in
particular.
Second, a special classification problem with respect to systemic states or systemic
components must be discussed which, under the heading of Evolutionary Stable
Classifications (ESC), will lead to a specification requirement of long-term invariance.
With these two steps, the two preliminary research tasks in the creation of a proper design for
evolutionary systems and, consequently, of National Innovation Systems, have been put forward as
research agenda ...
172
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