Conceptual Framework

The conceptual framework that I adapted in this thesis is a synthesis of ideas stemming from theories found in SNM and LBDA. At the heart of the framework is the MLP, consisting of three entities: the socio-technical niche, regime, and landscape. As discussed above, the regime should exist as a stable configuration of socio-technical practices that govern the actions of stakeholders who work in organisations that are a part of it. In this thesis the regime equates to a public agricultural research and extension system and the socio-technical practices that it entails, with respect to plant breeding in particular. The niche, like the regime, can also be characterised by its socio-technical practices. Its practices are different from those of the regime, since niches are often set up to address perceived deficiencies in the functioning of the regime. Depending on the proclivities of the actors and organisations within the niche, and the voracity with which they critique the regime; the niche may be perceived by regime actors as an aggressive interloper or a moderate reforming influence. In this case, it remains to be seen.

The contrasting socio-technical practices of the niche and regime can lead to tensions between them when they try to interact or work with each other. These potential tensions between the niche and regime will have to be addressed and negotiated in order for there to be any

translations or institutionalisation of socio-technical practices between them. Several authors have made attempts to define the socio-technical practices of both niche and regime relevant to their case-studies (Smith, 2007:433, Geels, 2002, Schot, 1998, Rip and Kemp). As the literature on SNM has developed, the socio-technical components of the regime have come to be identified as: science, culture, technology, policy, industry, markets and user preferences (Schot and Geels, 2008). Each socio-technical component is an overlapping optic with which to view the salient features of the niche, regime and their interactions with each other. The list of socio-technical components is necessarily brief given its inclusion in a generalised model of the multi-level perspective in SNM (Ibid.:546). However, in order for it to be usefully applied to the subject matter of this thesis, these terms need to be revised and expanded upon.

My conceptual framework is based around the following socio-technical considerations:

 ‘Core Narratives’ – these are the guiding principles and rationales that actors within an organisation adapt to describe and justify their work to themselves and to others.

 ‘Scientific Praxis’ – the term ‘praxis’ I take to mean, ‘the practical application of theory’. Scientific praxis here refers to the selection, codification, and practical application of scientific theories within organisations and institutions. In this thesis it principally refers to the ways in which the crop improvement process is carried out, from plant breeding research to the extension of new varieties, and the justification of these activities through scientific concepts and other narratives.

 ‘Organisational Structure’ – refers to the management and organisational framework within which the various activities of an organisation take place. In this thesis I consider the broader institutional structures in which specific organisations are embedded, as well as the structures of the relevant organisations themselves. The structure of organisations and their management, while set up for one purpose, can result in institutional inertia and technological path dependencies when an

organisation is challenged with reform.

 ‘User Relations & Accountability’ – refers to the relationships that technology

developers have with the intended beneficiaries of their technologies. Traditionally in SNM the term ‘markets’ is adjoined to user relations rather than ‘accountability’. I have chosen to substitute ‘markets’ for ‘accountability’ since development projects and public sector plant breeding organisations are not directly held to account by market forces, unlike other industries. Instead non-market driven ‘accountability’ is split between funding agencies and end-users (farmers); although the strength and balance of this dynamic is itself variable.

 ‘Policy & Regulations’ – ‘Policy’ refers to inter and intra-organisational derived dictates that impose a new form of structure or activity on an organisation. Policies can range from being merely intentional statements to moderate or severe reforms, but it is the process of translation and application that changes them from the realm of intension into something more tangible. ‘Regulations’ consist of the rules that govern the creation, testing and dissemination of technologies, and also their use.

Regulations may also codify standards of practice and interactions between different stakeholders.

 ‘Knowledge Management’ – refers to the knowledge base of the niche and the regime and how it is managed. In particular this lens is used to consider what knowledge is sought after by different organisations; their capacity to learn; the degree to which different types and sources of knowledge are privileged over others; and the relative ease that knowledge can flow between stakeholders in that organisation.

These six socio-technical considerations form broad lenses with which to more closely investigate both the niche and regime. The differences that occur between them will help highlight potential opportunities and constraints to socio-technical translations between them.

However, labelled and listed in the manner above it might be thought that each category is demarcated and hence exists independent of the other socio-technical dimensions. Each dimension consists of dynamic and static elements that collectively characterise the regime or niche, and elements of one dimension may feature prominently in others – much like a Venn diagram (see Figure 3).

The concerns of LBDA, as generalised by Romijn et al. (2010) in their synthesis of LBDA with SNM approaches, can also be found in the guise of the socio-technical dimensions listed above.

Their representation of core LBDA theoretical considerations consisted of the following factors: project design and management practices; the management culture of the project implementing organisation; leadership characteristics of key stakeholders and managers;

principles of participation; and the broader project implementation context (Ibid.). Referring back to Table 5, one of the major points of departure between LBDA and SNM is that the unit of analysis of the former is the project whereas the latter is the niche. PCI has largely been experimented on within various development projects; it may therefore be useful to extend and modify the examples of good practice derived from SNM with those from LBDA.

Figure 3 - Socio-technical Dimensions for Contrasting Niche and Regime Processes

Source: Author

Adapted from: Smith (2007); Schot and Geels (2008)

Table 6 consists of an extension of the redefined socio-technical dimensions listed in Figure 3 to include best practice ‘probes’ to consider when investigating the socio-technical aspects of the niche and regime. The different socio-technical dimensions will be used to investigate the structure of both the niche and regime showing the similarities and differences between them.

This will in turn highlight some of the barriers and opportunities to greater farmer

participatory research or client-orientation in crop improvement research. Furthermore, it will aid me in assessing the project determined successes and potential for scaling-up and

institutionalising PCI in its current project oriented format, as well as what might be changed in order to create more lasting translations between the niche and regime.

Core Narratives

Scientific Praxis

Organisational Structure User Relations

&

Accountability Policy &

Regulations

Knowledge

Management

Table 6 - Socio-Technical Dimensions including Examples of ‘Best Practice’ Derived from SNM

Identification of core narratives that underlie project, PCI programme and regime practices.

Further identify perceptions of stakeholders with respect to farmers, scientists, donors and other related NGOs.

Identification of core narratives that underlie research and extension activities of regime. Source regime stakeholders’ narratives on ‘participatory research’.

Scientific Praxis

Project design: planning and technology choice and justification; relations to previous projects; resource mobilisation; incentive creation; capability building;

and planning for expansion and diversification.

Management practices: intra and

inter-organisational learning and knowledge management.

Methods & Evaluation and determining of project

‘successes’.

Determine:

 Activities of crop improvement and extension.

 Relationship of crop improvement activities to other socio-technical dimensions.

 Freedom to pursue alternative formats of crop improvement

Organisational Structure

Identification of:

 Stakeholders and organisational hierarchy in research network.

 Temporal evolution of research network (niche) and how it relates to different projects.

Identification of:

 Key stakeholders and organisational hierarchy in organisation/regime.

 Position of organisation in relation to other organisations in regime.

User Relations

&

Accountability

Principle of Participation: role and degree of inclusion of stakeholders endogenous and exogenous to the project within its activities.

Accountability: to whom; degree; and impact of accountability on project practices.

Principle of participation: role of farmers in research and extension system. Receptivity to working with other partners.

Accountability: to whom; degree; and impact of accountability on project practices.

Policy &

Regulations

How policies and regulations impact on socio-technical dimensions of the niche.

Learning: type of learning (1^st order/2^nd order/reflexive)

Leadership responsibilities/style of key stakeholders

Knowledge management: effective strategies, short lines of communication, minimal bureaucracy.

Learning: type of learning (1^st order/2^nd order/reflexive)

Leadership responsibilities/style of key stakeholders

Source: Author

I will further investigate the notion of socio-technical translations through considering the information derived from analysing the case-study by way of the socio-technical dimensions listed in Table 6. In this endeavour the general findings of Smith (2007:444), as summarised in Table 7, will provide a useful basis with which to challenge the findings of the PCI case study with a view to looking for different types of niche-regime ‘translation’.

Table 7 - Summary of Socio-technical Translation Issues as Applied to SNM Case studies

Analytical Focus Socio-technical translations Learning

Some niche practices are sufficiently flexible to be interpreted favourably against regime socio-technical criteria. This permits those practices to translate into regime settings.

Niches informed by sustainability problems in the regime. System-building pragmatists can help translations.

 1^st order lessons about

Practices that can be added onto regime configurations, or slot in easily, are favoured, i.e. articulated with existing regime.

Lack of deeper institutional embedding can fragment expectations amongst niche actors.

Tense relation between niche initiating idealists and pragmatic system builders. Regime adaptation permits wider practice of aspects of niche, but at cost of original vision.

 Technical configurations

 Niche expectations

 Social-network formation

Regime Tensions

Niches seek to represent regime tensions to their own advantage.

Different tensions – beyond niche control – provide occasions for diverse actors to (re)interpret the niche favourably

 How pressures are articulated

Niche-Regime Linkages

Niches and regimes develop different kinds of sustainabilities through both positive, synthetic interactions, and through contention,

antithetical interaction.

Niche lessons are interpreted from regime perspective and adapted accordingly.

Niche-regime engagement can lead to mutual adaptations, though regime more influential.