National Research Activities and Sustainable Development A survey and assessment of national research initiatives in support of sustainable development

Synthesis Report

ABOUT THE JRC-IPTS The Joint Research Centre (JRC) is a Directorate General of the European Commission, staffed with approximately 2,100 people, coming in the vast majority from the 15 Member States of the European Union. The Brussels Support Services (including the office of the Director General and the Science Strategy Directorate) and seven Institutes located in five different countries compose the main organisational structure of the JRC (http//:www.jrc.org). The mission of the JRC is to provide customer-driven scientific and technical support for the conception, implementation and monitoring of EU policies. The Institute for Prospective Technological Studies (IPTS) is one of the seven Institutes making up the JRC. It was established in Seville, Spain, in September 1994. The mission of IPTS is to provide prospective techno-economic analyses in support of the European policy-making process. IPTS prime objectives are to monitor and analyse science and technology developments, their cross-sectoral impact, and their inter-relationship with the socio-economic context and their implications for future policy development. IPTS operates international networks, pools the expertise of high level advisors, and presents information in a timely and synthetic fashion to policy makers (http//:www.jrc.es). Although particular emphasis is placed on key Science and Technology fields, especially those that have a driving role and even the potential to reshape our society, important efforts are devoted to improving the understanding of the complex interactions between technology, economy and society. Indeed, the impact of technology on society and, conversely, the way technological development is driven by societal changes, are highly relevant themes within the European decision-making context. The inter-disciplinary prospective approach adopted by the Institute is intended to provide European decision-makers with a deeper understanding of the emerging science and technology issues, and it complements the activities undertaken by other institutes of the Joint Research Centre. The IPTS approach is to collect information about technological developments and their application in Europe and the world, analyse this information and transmit it in an accessible form to European decision-makers. This is implemented in the following sectors of activity: Technologies for Sustainable Development, Life Sciences / Information and Communication Technologies, -Technology, Employment, Competitiveness and Society -, Futures project In order to implement its mission, the Institute develops appropriate contacts, awareness and skills to anticipate and follow the agenda of the policy decision-makers. IPTS Staff is a mix of highly experienced engineers, scientists (life-, social- material- etc.) and economists. Cross-disciplinary experience is a necessary asset. The IPTS success is also based on its networking capabilities and the quality of its networks as enabling sources of relevant information. In fact, in addition to its own resources, IPTS makes use of external Advisory Groups and operates a number of formal or informal networks. The most important is a Network of European Institutes (the European Science and Technology Observatory) working in similar areas. These networking activities enable IPTS to draw on a large pool of available expertise, while allowing a continuous process of external peer-review of the in-house activities.

ABOUT ESTO The European Science and Technology Observatory (ESTO) is a network of organisations operating as a virtual institute under the European Commission's Joint Research Centre's (JRC's) Institute for Prospective Technological Studies (IPTS) - leadership and funding. The European Commission JRC-IPTS formally constituted, following a brief pilot period, the European Science and Technology Observatory (ESTO) in 1997. After a call for tender, the second formal contract for ESTO started on May 1st 2001 for a period of 5 years. Today, ESTO is presently composed of a core of twenty European institutions, all with experience in the field of scientific and technological foresight, forecasting or assessment at the national level. These nineteen organisations have a formal obligation towards the IPTS and are the nucleus of a far larger network. Membership is being continuously reviewed and expanded with a view to match the evolving needs of the IPTS and to incorporate new competent organisations from both inside and outside of the EU. This includes the objective to broaden the operation of the ESTO network to include relevant partners from EU Candidate Countries. In line with the objective of supporting the JRC-IPTS work, ESTO aims at detecting, at an early stage, scientific or technological breakthroughs, trends and events of potential socio-economic importance, which may require action at a European decision-making level. The ESTO core-competence therefore resides in prospective analysis and advice on S&T changes relevant to EU society, economy and policy. The main customers for these activities is the JRC-IPTS, and through it, the European policy-makers, in particular within the European Commission and Parliament. ESTO also recognises and addresses the role of a much wider community, such as policy-making circles in the Member States and decision-makers in both non-governmental organisations and industry. ESTO members, therefore, share the responsibility of supplying IPTS with up-to-date and high quality scientific and technological information drawn from all over the world, facilitated by the networks broad presence and linkages, including access to relevant knowledge within the JRC Institutes. Currently, ESTO is engaged in the following main activities: A series of Specific Studies, These studies, usually consist in comparing the situation, practices and/or experiences in various member states, and can be of a different nature a) Anticipation/Prospective analysis, intended to act as a trigger for in-depth studies of European foresight nature, aiming at the identification and description of trends rather than static situations; b) Direct support of policies in preparation (ex-ante analysis); and c) Direct support of policies in action (ex-post analysis, anticipating future developments). Implementation of Fast-Track actions to provide quick responses to specific S&T assessment queries. On the other hand, they can precede or complement the above mentioned Specific Studies. To produce input to Monitoring Prospective S&T Activities that serves as a basis of experience and information for all other tasks. ESTO develops a Alert/Early Warning function by means of Technology Watch/Thematic Platforms activities. These actions are putting ESTO and JRC-IPTS in the position to be able to provide rapid responses to specific requests from European decision-makers. Support the production of "The IPTS Report", a monthly journal targeted at European policy-makers and containing articles on science and technology developments, either not yet on the policy-makers agenda, but likely to emerge there sooner or later. Contacts: esto-secretary@jrc.es

For more information: http//esto.jrc.es

National Research Activities and Sustainable Development A survey and assessment of national research initiatives in support of sustainable development
Synthesis Report
Prepared by:

Katy Whitelegg and Matthias Weber (ARC Seibersdorf research GmbH, Austria)

June 2002

IPTS Technical Report Series, EUR 20389 EN National Research Activities and Sustainable Development: A survey and assessment of national research initiatives in support of sustainable development Editor: Authors: Fabio Leone (DG JRC-IPTS) Katy Whitelegg, Matthias Weber (ARC Seibersdorf research, Austria)

Contributors: Gisela Bosch, Fritz Hinterberger (SERI, Austria); Sara Verbeiren (VITO, Belgium); Toke Hanstrup Christensen, Michael S. Jrgensen (Technical University of Denmark, Denmark); Reinhard Coenen, Bettina-Johanna Krings (ITAS, Germany); Suhita Osrio Peters (CEIFA ambiente, Portugal); Mark Boden, Steven Glynn (PREST, UK); Jim Skea, Malcolm Eames (PSI, UK); Paul Weaver (University of Durham, UK); Leo Jansen (Delft University of Technology, the Netherlands) Reviewers: Luis Delgado, Laura Lonza Ricci, Laura Tapias Fraga (DG JRC-IPTS), Malcom Eames (DEFRA, UK), Sverker Hogberg (EPA, Sweden), Renate Loskill (BMBF, Germany), Martine Vanderstraeten (OSTC, Belgium)

Seville, Spain, 2002 Published by: EUROPEAN COMMISSION Joint Research Centre IPTS- Institute for Prospective Technological Studies W.T.C. Isla de la Cartuja s/n E-41092 Seville, Spain http:\\www.jrc.es ECSC-EEC-EAEC, Brussels . Luxembourg, 2002 The orientation and contents of this report cannot be taken as indicating the position of the European Commission or its services. The European Commission retains the copyright of this publication. Reproduction is authorised, except for commercial purposes, if the source is mentioned. Neither the European Commission nor any person acting on behalf of the Commission is responsible for the use that might be made of the information in this report. Printed in Spain

ESTO FINAL REPORT

1. 2. EXECUTIVE SUMMARY ......................................................................................................................... 6 INTRODUCTION ..................................................................................................................................... 11 2.1 2.2 2.3 3. RESEARCH IN SUPPORT OF SUSTAINABLE DEVELOPMENT........................................................................ 11 THE EUROPEAN DIMENSION .................................................................................................................... 12 OBJECTIVES ............................................................................................................................................. 13

PROJECT APPROACH AND DEVELOPMENT OF ASSESSMENT CRITERIA........................... 13 3.1 CRITERIA FOR PROGRAMME ASSESSMENT............................................................................................... 14 3.1.1 Defining Research for Sustainable Development.......................................................................... 14 3.1.2 Integration: thematic assessment .................................................................................................. 15 3.1.3 Integration: process-orientated criteria........................................................................................ 16

4.

IDENTIFICATION AND ASSESSMENT OF RESEARCH PROGRAMMES .................................. 17 4.1 PROGRAMME IDENTIFICATION AND CATEGORISATION ............................................................................. 17 4.1.1 Overview ....................................................................................................................................... 17 4.1.2 Categorising research programmes types in support of SD.......................................................... 25 4.2 PROGRAMME ASSESSMENT AND BEST PRACTICE IDENTIFICATION ............................................................ 27 4.2.1 Time frame .................................................................................................................................... 27 4.2.2 Scope ............................................................................................................................................. 28 4.2.3 Inter-disciplinarity ........................................................................................................................ 28 4.2.4 Stakeholder involvement ............................................................................................................... 29 4.2.5 Transfer of knowledge................................................................................................................... 30 4.2.6 Programme design and implementation........................................................................................ 31 4.3 ASSESSING RESEARCH FOR SD IN CONTEXT............................................................................................. 31 4.3.1 Sustainable Development and Research Strategies....................................................................... 32 4.3.2 Influence of national research funding systems ............................................................................ 36

5.

DISCUSSION............................................................................................................................................. 38 5.1 5.2 PROGRAMME DESIGN AND ORGANISATION .............................................................................................. 38 INTEGRATION OF THE THREE PILLARS ...................................................................................................... 39 CHALLENGES FOR EU-POLICY ................................................................................................................. 41 FURTHER RESEARCH QUESTIONS ............................................................................................................. 43 NATIONAL PROGRAMMES OVERVIEW TABLES ........................................................................................ 44 PROJECT GUIDELINES .............................................................................................................................. 56

6.

CONCLUSIONS........................................................................................................................................ 40 6.1 6.2

7.

ANNEX....................................................................................................................................................... 44 7.1 7.2

To download the full country reports, please click on the following link: ftp://ftp.jrc.es/pub/EURdoc/20389-Annexes.pdf

1. Executive summary
Background to study Increased pressure, both on European Union Member States and on the European Commission to deliver ways of implementing sustainable development (SD), has intensified the debate on the role research activities can play in supporting this process. Over the last decade, member states have designed an increasing number of national research programmes that specifically address different aspects of SD. The research activities have aimed at underpinning national measures to move towards a more sustainable society. Although on one level the thematic issues considered by the research programmes are similar from country to country, the research strategies and the individual aims of the programmes often reveal specific national features. These features largely depend on the research and SD policy context. A cross-country comparison of research programmes in support of SD provides can provide an overview of the types of programmes and the organisational context of research activities in this area. It can analyse and highlight the role assigned to research programmes in supporting national SD strategies and it can point to ways in which national programmes can support the recently defined EU SD strategy. This report addresses the following questions: What can be considered best practice in the organisation of programmes targeted towards SD on the national level? What can be learned from experiences in other countries, and what practices can be transferred from one national context to another? And How can national research programmes contribute to supporting SD strategies on the national and on the EU level?

The study on Identifying and Assessing National Research Activities on Sustainable Development (SD) was set up through the ESTO network1 following the workshop Setting Concepts in motion: Sustainable Development and R&D policies held in Bonn in February 2001. The report aims to provide a basis for future discussion on the role and the organisation of research for SD in support of national and EU SD policies and strategies through looking at the state of the art of national research initiatives. It aims to identify the national, publicly funded research programmes and assess the way in which each research programme addresses SD. About the study The study mapped the key national actors involved in SD and identified and assessed the national research programmes in support of SD in selected thematic areas in seven European countries: Austria, Belgium, Germany, the Netherlands, Portugal, Sweden and the UK. It focused on two different types of programmes. Firstly, it looked at those national programmes specifically defined as targeted towards sustainable development. Secondly, it examined programmes that focused on three of the key threats to SD identified at the Gothenburg Council2: threats to public health, loss of bio-diversity and transport congestion. Addressing
ESTO is the European Science and Technology Observatory network, a networks of research organisations in Europe, set up by the JRCIPTS. Communication from the Commission COM(2001)264 A sustainable Europe for a better world: A European Union Strategy for Sustainable Development. The Commissions proposal to the Gothenburg European Council, 15.5.2001
2 2 1

both of these categories of programmes allowed an insight into the role of research activities in supporting national and EU SD strategies. The programmes were assessed as to how they approach the concept of SD in research activities. The project took as its starting point an analysis of the methods used in the programmes to ensure the integration of the three pillars of SD (environmental, social and economic). It looked at the concepts and mechanisms that are used in programme design and identified good practice examples on the national level. Programme design in support of SD: The project concluded that there are different ways of organising research activities in support of SD on a national level. There are a number of key issues that influence the thematic and the organisational set-up of the national programmes. These included: the national research context and the barriers to implementing SD research the existence of a national SD strategy and its relationship to other policy areas, including research policy, and the existence of umbrella or framework programmes and strategies.

These issues affect the ability of national programmes to address multi- and trans-disciplinary research that form the basis of research programmes in support of SD. Best practice can be interpreted in general organisational terms as well as in terms of specific individual thematic areas. In organisational terms, there are mechanisms and structures that can be analysed and used as a basis for the transfer of best practice. The main issues are: goal setting for SD research umbrella programme design for SD and the co-ordination of sectoral and discipline-based research with cross-cutting issues overcoming organisational and institutional barriers to implementing cross-cutting research mechanisms for actor involvement project selection criteria building research communities and research networks

On a thematic level the study identified areas where there were commonalities between national programmes. These were mainly in the areas of targeted national SD research programmes and covered issues such as those focusing on sustainable consumption, economic sustainability, and sustainable technologies. More problematic was examining the direct link between the individual EU SD threats and national research activities in support of SD. Many of the most innovative SD programmes on the national level can not be assigned to addressing a single EU threat but integrate issues that combined more than one threat into a single programme. This does not mean to say that the EU SD threats are not being addressed on the national level but that implementing integrated approaches to addressing SD in the national, regional and local context is regarded by national policy as more important than focusing on specific thematic threats. Finally, this report draws on the analysis of the national programmes and looks at developing ideas for increasing the support for SD strategies on the EU level. It highlights at the links
7

between national research activities and EU SD policy and asks how the EU can support national level research activities that contribute to addressing the EU key threats to SD. Due to the projects focus on mapping and analysing the state of the art of national research activities, only preliminary indications for future areas of action on an EU level can be provided. Dependence of programmes on the national context The analysis reveals a wide variety of strategies and approaches that influence how research in support of SD is organised. Major differences exist in the design and implementation of SD research programmes across the seven countries. Countries such as Belgium, Germany and the Netherlands have highly structured umbrella programmes. Other countries such as the UK and Sweden have a greater number of individually defined programmes concentrating on specific topics. In countries such as Portugal and Austria, research funding tends to be of a more generic nature. The situation in each country can partly be traced back to the national research and innovation systems in which they are embedded. The programme setting is also connected to the prominence given to the SD strategies on the national policy agenda. The effect this has on the organisation of SD programmes can be seen in the specific national characteristics that are employed to overcome barriers to designing and implementing inter- and trans-disciplinary research activities. National SD programmes and umbrella programmes The 102 programmes and sub-programmes analysed in this study address a wide variety of topics. The targeted programmes address topics with: a thematic focus such as sustainable consumption, nutrition or health a spatial focus on either regional, urban or eco-system based a technological/innovation focus or a more general sustainable economics focus.

These programmes generally focused on the integration of environmental, social and economic issues although often not all issues are integrated at the same time and not always in one programme. Considerable differences can be observed in the use of SD criteria for defining programmes, sub-programmes and assessing projects. Although targeted programme funding often represents a small proportion of the overall national research budget, the targeted programmes are considered important in giving new impulses to research areas and in building up new research communities that are able to deal with the challenges of SD research issues. The sectoral programmes are more varied and proved that the focus on individual threats is a less common approach taken by research programmes in support of SD. This is apart from the key threat transport congestion where each country has a specific programme that focuses on the relationship between mobility and transport congestion. The project concluded that many research activities on the sectoral issues are supported through other funding mechanisms (non-programme based mechanisms such as institutional funding) and that in general they tended to be less aimed at addressing SD but on improving the understanding of the relationship between human activities and the environment.
8

The countries that have highly structured umbrella programmes demonstrated the most innovative ways of organising research for SD. These programmes have attempt to do more than merely extend the knowledge base on the issue concerned. They encourage the establishment of new ways of performing and using research activities to influence long term societal change. The umbrella programmes often find innovative ways of overcoming institutional and organisational barriers to organising inter- and trans-disciplinary research activities. This includes being able to define a concept for the umbrella research programme that allows individual programmes and projects to be integrated. In certain countries, such as Germany and the Netherlands, the organisation of research programmes in support of SD is guided by an underlying concept or framework that defines the role research should play in supporting SD. This framework forms the basis on which individual thematic sub-programmes and projects are developed and guides the definition of research activities. In the German case, the programme focuses on the elaboration of development concepts with the involvement of research and field actors. The Dutch focus is on innovation as a social process and the need to develop tools to achieve trend breaks in consumption and production patterns.

Supporting national and EU SD policies and strategies SD research activities play different roles in each of the countries involved in the study. Regarding the role of national activities in support national SD policy, the project identifies a variety of strategies from policy-orientated research activities to more action-based programmes. The innovative SD programmes can be seen in those countries where there is both a commitment to achieving SD and there is a strategy that sets out the role research should play in implementing this strategy. Here, the research activities for SD are less itemised and the SD research policies are better integrated into general policy making. In those countries that have defined the role research should play in SD, there have been attempts made to identify how to deliver SD at the local level, reflecting a broader spatial and temporal understanding of SD. Such SD research strategies try to bridge the gap between the description of the challenges to implementing SD, which is a relatively well-developed field and the application of the theories on regional and local levels, an area which is still relatively weak. When considering the targeted programmes, the direct links between the EU SD strategy and the national research programmes are less easy to identify. Firstly, there are fewer direct links to the individual EU threats due to the national, regional or local focus of the national research programmes. Secondly, in several countries a substantial part of research funding in support of SD is implemented through non-programmes funded research such as institutional funding rather than through programmes. By merely looking at the programme finding it is not possible to assess the contribution of national research activities to the EU SD strategy.

The role of the EU For the reasons mentioned above, is not easy to point out major thematic gaps between research carried out at the national level and the threats defined by the EU. What this report aims for is to highlight opportunities for actions based on the commonalities between national programmes. For example, co-operation between research programmes on EU level could follow through an exchange of experience, or along thematic lines identified in the targeted programmes. This could include programmes that focus on areas such as sustainable consumption, sustainable technologies, sustainable food production, sustainable transport or sustainable regional development. It is also possible to look at ways of learning from best practice examples in organisational terms. This includes concepts and mechanisms that address the organisation of trans- and multi-disciplinary research programmes. There is also scope for learning from national integrated targeted programmes for developing programmes on the EU level. Acknowledgements This synthesis report draws entirely on the work of the participating partners Gisela Bosch, Fritz Hinterberger (SERI, Austria); Sara Verbeiren (VITO, Belgium); Toke Hanstrup Christensen, Michael S. Jrgensen (Technical University of Denmark, Denmark); Reinhard Coenen, Bettina-Johanna Krings (ITAS, Germany); Suhita Osrio Peters (CEIFA ambiente, Portugal); Mark Boden, Steven Glynn (PREST, UK); Jim Skea, Malcolm Eames (PSI, UK); Paul Weaver (University of Durham, UK); Leo Jansen (Delft University of Technology, the Netherlands). In addition the authors would like to thank Fabio Leone, Luis Delgado and Laura Lonza Ricci for their oversight of the work and comments on earlier versions of this report. However, the emphasis, interpretations and conclusions in this synthesis are those of the present authors and do not necessarily reflect those of colleagues or the sponsoring bodies.

10

2.
2.1

Introduction
Research in support of Sustainable Development

Over the last decade there has been a considerable increase in research activities that claim to address sustainable development. The aim of supporting SD through research has established itself in the majority of countries in the European Union. Many countries have now begun to ask the question what kind of role research should play in implementing sustainable development. Research activities that support SD aim to increase the knowledge base on a variety of issues that have been accepted as essential to implementing SD. They focus on issues such as improving the understanding of the relationship between the eco-system and the socioeconomic system, the development of SD indicators, tools or monitoring systems to support the process of change towards SD. More recently, they have begun to include more practical steps towards implementing SD, initiate change processes and to look at influencing long term change towards SD. While pursuing similar aims, individual countries have developed considerably different approaches concerning the focus, the organisation and the implementation of research activities in support of SD. There is no single concept or theory for defining the role of research activities for SD. In the strictest sense, research in support of sustainable development can be defined as research activities that take all three pillars (environmental, social and economic) of SD into consideration. Research for SD is therefore often considered to be problem-based research that includes a wide range of disciplines and actors in order to develop solutions to crosscutting societal problems. This definition would, however, exclude a proportion of research activities that are currently referred to as research for SD but do not address all three pillars of SD. It is also debatable whether each individual programme or project should fulfil this criteria to be considered research for SD. In many cases, discipline-based research is integrated into a larger framework that draws on different research disciplines and questions together. The debate on the correct level and combination of criteria to define SD in research programmes is still ongoing. For instance, opinion is divided on whether research programmes on the development of new technologies have to include a socio-economic aspect to be considered research supporting SD if they are part of a larger framework programme that allows for the integration of socio-economic goals. The organisation of research for SD and the level at which SD is defined (whether at the individual programme level or the framework level) is just one question being posed. Other questions currently being debated relate to the challenges posed by the interdisciplinary nature of research for SD. Much of the research that has been recently developed to address SD does attempt to include at least two if not three of the pillars of SD. In many cases, this involves a rethinking of both the design and the implementation of research programmes. There are a number of barriers to be overcome including the current nature of research structures that tend to be organised along disciplinary lines. A further important issue being debated is the development of design criteria for SD programmes and projects. There are a number of criteria (e.g. trans-disciplinarity, interdisciplinarity, precautionary principle etc.) used by the national programmes to assess whether a project can be considered research for SD.
11

There is a wide range of available national experiences that can be drawn on to improve our understanding of how to organise research for SD. Not all examples can be transferred but concepts and methods can be adapted to fit other national contexts.

2.2

The European Dimension

The European Commission has recently been a main driver in pursuing the debate on research for SD and the role and the contribution of research in implementing sustainable development. This is taking place within the context of the discussion of the potential role for research in implementing the EUs new strategy for SD and through developing new mechanisms aimed at the co-ordination of research activities in support of SD on an EU level. A series of conferences have been organised on these issues including a workshop in Bonn in February 2001, and more recently a workshop held in Brussels, November 2001. These have further pursued the aim of defining research in support of SD and in particular to developing solutions to the six key threats3 to sustainable development laid out in the European Commission communication to the European Council in Gothenburg4. The study on Identifying And Assessing National Research Activities On Sustainable Development (SD) was set up through the ESTO network5 following the workshop Setting Concepts in motion: Sustainable Development and R&D policies in Bonn in February 2001. The workshop identified two key areas to pursue: firstly, to increase the understanding of the role R&D activities can play in implementing sustainable development and secondly, to develop a basis for greater co-operation and co-ordination of research activities in support of SD on a European level. Especially this latter aspect has attracted a lot of attention in the context of the debates on the European Research Area (ERA). In fact, improved co-operation and co-ordination of research in Europe is an essential objective of the ERA, and several SDrelated problems require trans-national co-operation in research and policy. For example, increased co-ordination would facilitate the exchange of best practice examples and allow gaps in research activities in support of SD to be identified and addressed. Several mechanisms are already being developed as part of the Sixth Framework Programme proposals that aim to enable a better co-ordination of national and European research activities. The analysis of national research programmes in support of SD has been regarded necessary in order to have a clearer idea of the differences and obstacles with respect to future cooperation and co-ordination in Europe. Moreover, experiences and practices at the national level could be instructive for designing new approaches to organising research at European level. Each of the seven countries covered in this project is still in the process of adjusting to the new challenges of SD and adapting the research and policy processes accordingly.

The key threats to SD in Europe identified in Gothenburg are Global warming, Threats to public health, Poverty and social exclusion, Ageing of the population, Loss of bio-diversity and Transport congestion. 4 Communication from the Commission COM(2001)264 A sustainable Europe for a better world: A European Union Strategy for Sustainable Development. The Commissions proposal to the Gothenburg European Council, 15.5.2001 5 ESTO is the European Science and Technology Observatory network, a networks of research organisations in Europe, set up by the JRCIPTS.

12

2.3

Objectives

This study was set up to improve the understanding of the role of research in support of SD and the co-operation of national research programmes in this area. It looks at the following issues: 1. The identification of programmes on the national level to provide an overview of research activities in order to take the discussion forward on co-ordination and co-operation. To look at how they are organised in terms of umbrella programmes or more focused programmes and what their thematic focus is. 2. The assessment of the integration of the three pillars of sustainable development (environmental, social and economic) in national research programmes and the identification of good practices.

3. Project approach and development of assessment criteria

The study analyses national research programmes in support of SD in selected thematic areas in seven European countries: Austria, Belgium, Germany, the Netherlands, Portugal, Sweden and the UK. The study focuses on programmes specifically targeted towards sustainable development and programmes addressing three key threats to SD: threats to public health, loss of bio-diversity and transport. The research was organised into three work packages: WP1 mapping the key actors involved in research in support of sustainable development WP2 identifying the national research programmes in the areas mentioned above (targeted programmes and three types of sectoral programmes) WP3 assessing the research programmes ability to address the three pillars of sustainable development. The third work package included the development of a set of framework guidelines for the assessment of the research programmes. The assessment focused on the extent to which the programmes are able to integrate different aspects (environmental, economic and social) of sustainable development. This assessment contained a two step process looking at the programmes thematically through examining the issues under consideration and in process terms through looking at the framework of the way in which the programmes are organised to ensure integration. In order to ensure coherent results across the seven countries, a set of common guidelines was formulated for the three work packages (see appendices). Following these guidelines, the main work packages were researched simultaneously, initially through desk research to identify an initial list of programmes and individuals to be contacted and then through interviews with programme managers and discussions with other individuals involved in research activities in support of SD. The focus of the study is primarily on publicly funded programmes that are currently in operation. However, significant changes in programme design and development in relation to previous programmes are also taken into account. The Belgian and the Dutch programmes have both been influenced by previous SD programmes. Equally, the study also includes programmes that are currently in the development phase.
13

The seven individual country reports contain an outline of the context of research for SD, an overview of the programmes identified and an analysis of the assessment of the integration of the three pillars. In addition, the reports contain an annex comprised of the individual templates for each of the programmes with detailed information on the content, the size and budget, the reasons for setting up the programme, the content of the programme and any subprogrammes, the organisational aspects and the specific assessment questions on integrating the three pillars of SD into the programmes. This report sets out the main findings of the study. It synthesises and draws on the seven country reports to provide an overview of the way in which research in support of SD is organised. This report summarises the main conclusions and uses country examples to illustrate the conclusions either in term of organisational practices or of individual thematic programmes. The report is divided into two main parts. The first part describes the assessment criteria that were developed. The second part presents the analysis of the research collected during the country studies first through analysing the programmes and identifying good practice and secondly the research context and ways of organising research for SD. 3.1 Criteria for Programme Assessment

The study required the development of two sets of guidelines. The first guidelines are the set of criteria used for defining research for SD. These allowed the national programmes to be identified. The second set of guidelines involved the development of a methodology for assessing the extent to which the programmes addressed sustainability and furthermore how they integrated the three pillars of sustainable development.
3.1.1 Defining Research for Sustainable Development

The definition of research in support of sustainable development used in this study is based on both a bottom-up process of selecting national programmes that themselves claim to be orientated towards addressing sustainable development and, in addition, selecting programmes that address three of the six key threats to SD (threats to public health, transport congestion and loss of bio-diversity) laid out in the Commissions Communication to the Gothenburg Council6. Looking at these two separate categories of research programmes allows us to analyse the different approaches that can be taken to organising research in support of SD. Examining the targeted programmes reveals how programmes are structured that are specifically developed to address sustainable development. Addressing the programmes that focus on the key threats allows us to look at the organisation of research activities in areas that have been defined as key threats to sustainable development but where many of the programmes are not specifically focused on SD. The assessment phase that examined the integration of the three pillars into research programmes also required the development of a set of guidelines. This was divided into a two stage process looking at the programmes both in terms of thematic content and in process terms. The first step of the assessment process was based on examining the thematic content of the programmes and the extent to which environmental, economic and social issues are addressed within one programme. This was used to gain an overview of the types of issues that are being
6

See footnote 2

14

addressed within one programme. The second step of the assessment process was based on process orientated criteria and examined how individual programmes deal with issues such as inter-disciplinarity, trans-disciplinarity and stakeholder involvement.
3.1.2 Integration: thematic assessment

The thematic assessment of the integration of the three pillars of SD into research programmes used a detailed list of issues (see Table 1) as a check list that broke down the three pillars into concrete issues. Using this list, it was possible to assess whether a programme is capable of addressing issues contained in more than one of the pillars or whether the programme focuses on issues contained in a single pillar. Table 1: Issues For the Sustainability Appraisal of National Policy Initiatives
Environment
Renewable Resources (forests and Public Health
biomass, agricultural soils and areas, fish stocks, fresh water resources such as surface waters, groundwater and fossil waters, as well as biodiversity and genetic resources - use rate should not exceed the rate of their regeneration)

Social

Economic
Human Capital Formation and Employment

Non-renewable Resources (maintain

the use range of non-renewable resources, such as fossil energy resources, minerals and metals)

Education

Innovation (increasing the ability of EU firms and institutions to generate and utilise new knowledge, to introduce and diffuse new saleable products and services, as well as, improve existing ones) International Performance Market Structure (general framework for economic activity, conditioning the behaviour of economic agents and their performances) Economic and Social Cohesion Market Mechanisms (creating the normative and regulatory conditions for the improvement of market efficiency; facilitating the movement and efficient allocation of production factors; favouring fair and free competition both within the Union and with economies outside the Union) Income Growth (to generate and selffinance a balanced and stable increase of wealth, with a permanent attention to the maintenance of free and open market competition) Price Level and Stability

Regeneration Capacity of the atmosphere

Liveable Communities

Carrying Capacity of Water and Soils Equality of Opportunity and Entitlement Waste production Risks with Potentially Catastrophic Consequences Culture International Co-operation

Landscape (landscapes of individual

character and beauty and the cultural heritage should be protected)

Environmental Health Environmental Information and Management Systems

Based on: IAstar Report "A Methodology for Appraising the Sustainability Implications of EC initiatives - The Integration of Economic, Societal and Environmental Aspects" ESTO-Project

The list of issues used as a breakdown of the three pillars builds on the results of a previous ESTO project, IA STAR A Methodology for Appraising the Sustainability Implications of EC initiatives. The results of this project proved to be a useful starting point for developing an assessment of research programmes as the project developed a breakdown of what is meant by sustainable development in the three different areas. It can be used in developing an appraisal mechanism for assessing commission policy initiatives.

15

The check list was designed to be used as a guideline for assessing the scope of the content of the programmes and as a basis for assessing the extent to which they address more than one pillar. This provides an overview of how the programmes in support of sustainable development integrate different aspects of sustainability. The check list should therefore not be seen as a full-scale method for screening and evaluating programmes.
3.1.3 Integration: process-orientated criteria

The second step for the assessment was based on process orientated criteria. The list of criteria used in this section has been drawn up on the basis of recent discussions on the changing requirements that research in support of sustainable development demands. A set of questions was designed to examine the way in which selected criteria for achieving sustainable development are integrated into the design, the organisation and the implementation of research programmes. The following criteria were included in the analysis: The time perspectives included in the programmes: To what extent and through which methods different time frames are included into one programme. How are short, medium and long term goals of SD integrated? The scope of the programme: To what extent and how do the programmes consider different levels (local, regional and global) within a single research programme? Inter-disciplinarity in research programmes: To what extent and how are different research disciplines integrated into programmes? Trans-disciplinarity in research programmes. To what extent and how is non-academic expertise built into the programmes? What range of stakeholders is involved in designing and in implementing the programmes? Transfer of knowledge: how are the results of the programmes transferred between researchers or research groups, between researchers and policy makers and between research and praxis? System renewal: to what extent do the programmes focused on incremental improvements or promot system renewal?

The programmes that were identified in WP1 were analysed according to these two sets of guidelines detailed above. The results are described in the next chapter.

16

4. Identification and Assessment of Research Programmes

This chapter contains the synthesis of the seven country reports. It both describes the main types of programmes that were identified as part of the mapping exercise and analyses the way in which these programmes integrate the three pillars of sustainable development. 4.1 Programme identification and categorisation

This section provides an overview of the programmes that were identified during the study. It is based on 69 detailed templates that describe the individual national programmes aims, contents, sub-programmes, an analysis of the threats to SD concentrated on the funding bodies, time frame and budgets, the links to other key players and programmes, and the assessment criteria of the programmes. The targeted programmes and the programmes addressing the sectoral threats are considered separately.
4.1.1 Overview

A total of 69 research programmes7 in seven countries were identified as part of the project. The total number of programmes is shown in Table 2 with a short explanation as to the organisation of SD programmes in the individual countries. In a number of countries (Belgium, Germany8, the Netherlands and Sweden) the sub-programme level was included in the analysis as, although the umbrella programmes provided information on the framework and the outline of the programmes, the programme level seems not to be the appropriate level for a detailed assessment of the programmes. Table 2: Overview of National Research Programmes Identified per Country
Country Austria Belgium Germany The Netherlands Portugal Sweden UK No. of Programmes
5 9 5 6 2 7 35

Comments and no. of Sub-programmes

National, ministry funded, targeted and sectoral research programmes 3 national SD targeted umbrella programmes which include 13 thematic and horizontal sub-programmes, 6 regional programmes Also described are 3 of the funding priorities and 3 of the funding measures in the targeted SD programme Research on the Environment Also described are the 5 sub-programmes of the targeted SD programme Economics, Ecology and Technology Programme Also outlined are the 8 structural fund programmes relevant to the study, but that are not national research programmes 7 funding bodies implementing 65 separate programmes relevant to the study National, ministry and research council funded programmes

7 8

This number does not include the 65 sub-programmes included as part of the Swedish report In Germany, the decision was taken to focus on the programmes that were specifically targeted towards sustainable development. This included both SD targeted programmes and a certain type of sectoral programmes that looked at the relationship between a specific area and sustainable development. The decision was taken for two reasons. Firstly, it was important to dedicate more time to the German targeted programmes as the new mechanisms they employ were of particular interest to the project. Secondly, the sectoral programmes, especially in the area of environmental research on the key threat loss of bio-biodiversity, were too numerous to be included. This approach was adopted by the Dutch partners who also considered it more important to concentrate on an in depth analysis of the targeted programmes.

17

4.1.1.1

Targeted SD programmes

There is no single method or concept for organising and implementing research in support of sustainable development. The targeted programmes revealed a diversity of strategic, thematic and organisational approaches. The approaches depends to a great extent on the strategies behind pursuing research activities for SD in the individual countries. In Germany, Belgium and in the Netherlands targeted programmes are well defined and coordinated into a limited number of framework programmes. As the Dutch report commented, the programmes are top-down, policy- or problem driven, strategic, thematic and highly structured. They each have an underlying strategy defining the role research should play in supporting SD. Each country then has a series of sub-programmes that address different aspects of SD but are co-ordinated to deliver one programme objective. This allows the individual funding priorities and sub-programmes within the framework to be developed along with the programme and to be set for a shorter period of time. The situation in other countries involved in the study is different. In Sweden, the research councils and research foundations each have responsibility for their own areas of research. The research landscape (i.e. the responsibilities for programme design and implementation) is more distributed than is the case in Belgium, Germany or the Netherlands. Within research councils there are thematic groupings of programmes that address different aspects of SD. The UK is similarly distributed and individual departments and research councils design and implement research programmes on SD in their own areas of authority. Table 3 presents a simplified overview of the main national programme strategies behind research for SD. Table 3: Overview of Programme strategies for SD
Country Austria Belgium Germany The Netherlands Portugal Sweden UK Programme strategy for SD
broad SD programmes, technological development or landscape research top-down defined programme aimed at supporting policy making through scientific support Innovative and highly structured programmes with concrete goal to move the implementation of SD forward highly organised, top-down designed programmes focusing mainly on system renewal through technological solutions Few programmes, but interesting projects with varied funding sources Focused SD programmes developed by three separate funding bodies responsible for different areas Focused SD programmes developed by a range of different bodies

18

The targeted programmes are described in Table 4 below. Table 4: Overview of Targeted SD Programmes
Country Austria Programme
Austrian Landscape Research Austrian Programme on Technology for Sustainable Development PFEIL 05 Programme for Research and Development in Agriculture, Forestry, Environment and Water Management

Belgium9

Scientific Support Plan for a Sustainable Development Policy 1 (Sustainable management of the North Sea, Global Change and Sustainable Development, Antarctica 4, Sustainable Mobility, Norms for Food Products, Telsat 4, Levers for a Sustainable Development Policy and Supporting actions) Scientific Support Plan for a Sustainable Development Policy 2 (Sustainable Modes of Production and Consumption, Global Change, Eco Systems and Bio-diversity, Supporting Actions and Mixed Actions) Scientific Support to an Integration of Notions of Quality and Security of the Production Environments, Processes and Goods in a Context of Sustainable Development

Germany10

Research on the Environment Research on Sustainable Economic Management, Regional Sustainability, Research on Global Change, Socio-Ecological Research)

The Netherlands

Economy, Ecology and Technology (EET) Dutch Initiative for Sustainable Development (NIDO) HABIFORM (Expertise Network Multiple Use of Space)

Sweden

Urban and Regional Planing Infrasystems for Sustainable Cities The Sustainable City Economics for Sustainable Development Sustainable Forestry in Southern Sweden Sustainable Food Production Sustainable Coastal Zone Sustainable Management of the Mountain Region Paths to Sustainable Development Behaviour, Organisations, Structures (Ways Ahead) Innovation Systems Supporting a Sustainable Growth

UK

11

Environmental Strategy Research Programme Towards a Sustainable Urban Environment EPSRC Infrastructure and Environment Programme Environment Agency Sustainable Development R&D Programme Sustainable Development Commission Sustainable Technologies Initiative LINK Programme

The sub-programmes of the Belgium and German umbrella SD programmes have been included in this list. The sub-programme lines of other individual programmes have not been included. 10 See previous footnote

19

The list of targeted programmes in Table 4 can be broadly grouped into 6 categories. This helps to gain a better overview of the types of research activities that are being implemented on the national level to support SD. The 6 categories of targeted programmes are: Programmes that focus on SD in a broad sense behaviour, organisation and structures Programmes that have a thematic focus such as sustainable consumption, nutrition, health Programmes that have a spatial focus either regional or urban, eco-system based Programmes that focus on sustainable technologies and innovation systems (sustainable growth) Programmes that focus more broadly on sustainable economic development Programmes that address global change and sustainable development

To illustrate the categories selected of the programmes are detailed below that are representative for each area and which are regarded as comparatively successful. Programmes on SD in a broader sense
The Dutch National Initiative for Sustainable Development (NIDO) The NIDO programme addresses systems-of-interest at different scales and hierarchical levels. It is a follow-up programme to the earlier Inter-Ministerial DTO/STD programme. NIDO is concerned with brining together actors and stakeholders in new innovation networks and with finding ways of influencing innovation and transformation processes around the innovative processes identified in the STD programme. Projects are selected on the basis of a broad range of sustainability criteria. These include the strength of the linking of the economic, ecological and social pillars, the brining together of demand and supply, the integration of the material and immaterial components of action/practice in consumption systems, the involvement of stakeholders and the possibility that the specific solutions might be generalised.

The Swedish Programme Paths to Sustainable Development Ways Ahead The aim of the Ways Ahead programme is to combine knowledge on environmental and natural resources with existing and new knowledge on what guides our everyday behaviour and actions. The programme addresses such questions as how are values, attitudes, habits, patterns of behaviour and strategies formed by individuals, households, groups and companies.

Programme that focus on sustainable consumption

The Belgian Programme Sustainable Production and Consumption Patterns This programme has been developed based on the experience of previous sub-programmes in the previous Belgian Scientific Support Plan. It looks at production and consumption from a sustainable development perspective. It looks at their impact on human beings (social and economic dimensions) and on the environment. The main aim is to study the behaviour of each actor and the instruments that influence them. This should lead to concrete recommendations for political measures on a variety of different levels.

11

Not all UK programmes identified in the country report as addressing SD have been included in this table to be able to compare the programmes across the seven countries

20

Programmes that have a spatial focus either regional or urban, eco-system based
The German funding measure Regional Approaches The Funding Measure Regional Approaches is part of the funding priority area Regional Sustainability. The measure is aimed at formulating management concepts with a strong regional focus that combines improving environmental protection, economic options and social living conditions within a region. The measure is a pilot programme that aims to initiate social process through the development of new models and new options for acting. The pilot projects are divided into three main topics: agriculture and regional marketing, regional material flow management and regional sustainability

Programmes that focus on sustainable technologies and innovation systems

The Dutch Economics, Ecology and Technology programme (EET) The EET programme aims at identifying and promoting technologies that will enable economic growth and environmental protection to be made compatible. The programme fosters co-operation between the key technology institutions and companies in the development of technologies (processes, products and business approaches) capable of achieving market breakthrough and of delivering quantum leaps in technical, financial and ecological performance. The areas covered are broad and include a variety of strategies (sustainable products, sustainable service concepts, sustainable energy, renewable materials, sustainable transport) that are developed from a systems approach that considers the future applications context and multiple design criteria.

Programmes that focus more broadly on sustainable economic development

The German Sub-Programme Sustainable Economic Management Sustainable Economic Management includes research on traditional, sectoral areas and research on cross-cutting issues. The sectoral areas include: agriculture and nutrition, forest and timber, housing, construction and ceramics, textile and leather, chemicals, metal production and processing and electronics and electrical engineering. The cross-cutting areas include framework conditions for innovations regarding sustainable economic management, operational instruments for sustainable economic management, sustainable consumption, strategies for product use an ecological fundaments, risk elimination The funding measure Framework for Innovations towards a Sustainable Economic Behaviour This funding measure aims to include the social dimension into technological development and to look at the framework in which innovation takes place. It addresses the development of strategies and policies for a sustainable economy . The programme covers a variety of sectors including the chemical and automobile.

21

Programmes that address global change and sustainable development

The Belgian Programme Global Change and Sustainable Development that aims to better understand the extent and patterns of global problems through looking at the relationship between the eco-systems and socio-economic systems. The German Funding Priority Research on Global Change that includes a number of thematic priorities including research on climate change, biodiversity, atmospheric research, water cycles research and peace and conflict research.

The emphasis of the targeted programmes is on assessing, analysing and initiating policies and processes that will contribute to implementing SD. The focus is mainly on systems (innovation systems, interaction between eco- and socio-economic systems, regional systems) and the behaviour of different actors within these systems. The programmes involve a high degree of interaction between different disciplines and involve a variety of stakeholders. The way in which this takes place will be assessed in the following chapter.

4.1.1.2

Sectoral programmes

The sectoral programmes were identified as addressing three of the key threats to SD: public health, transport congestion and loss of bio-diversity. This categorisation was based on the Commissions guidelines and the aim was to assess how research programmes in these areas attempt to integrate the three pillars of sustainable development. The programmes identified in these three areas are outlined in this section12.. The role of research in addressing transport congestion, as one of the key threats to SD, is relatively well defined. Most countries have targeted SD mobility programmes that focus on integrating environmental, social and economic aims. In the areas of public health and loss of bio-diversity the programmes identified are less homogenous. This is mainly due to the fact that those areas are often covered by non-programme funded research activities. The programmes in these categories were also found to deal with more specific issues e.g. marine bio-diversity and do not aspire to integrate all three pillars of SD. On the other hand many of the issues were found to have been included into a broader targeted SD programmes e.g. health as an issue in construction focused programmes. Programmes focusing on the key threat Transport Congestion Almost every country report identified programmes that specifically link the two issues of transport and SD such as the German Mobility and Transport programme and the Austrian MOVE programme. Table 5 lists the programmes identified that address the key threat transport congestion.

The research programmes described here can only represent the focus given to programme research funding at the national level in each country and cannot be viewed as an overall assessment of national research priorities in the selected areas. A further qualification regarding the sectoral programmes concerns the fact that in some areas there were a considerable number of programmes that not all programmes in the sectoral areas have been included within the scope of the project. The programmes addressing the threat loss of bio-diversity are especially prolific and have been selectively addressed here.

12

22

Table 5: Overview of Programmes focusing on the Key Threat Transport Congestion

Country Austria Belgium Germany The Netherlands Sweden UK Programme
MOVE: Mobility and Transport Technologies Intelligent Transport Systems and Services Sustainable Mobility Mobility and Transport Programme CONNEKT reinforcement of Dutch Knowledge infrastructure for traffic and transport VINNOVA Transport Programme13 LINK Future Integrated Transport Programme, Foresight Vehicle LINK Programme, Roads and Local Transport Programme

In addition to the policy and strategy based programmes aimed at developing the future of sustainable mobility, the programmes in this category covered a range of topics including the development and diffusion of new technology, the development of specific modes of transport such as public transport, freight or logistics and the integration of different modes of transport. The German Mobility and Transport programme states as its main goal the need to shape the future transport in a sustainable way including economic and social goals with the conservation of the environment. The Belgian focus is on providing a scientific basis for policy making in implementing SD. Technology-orientated programmes were particular evident in this category either in single programmes such as the Austrian Intelligent Transport System and Services programme or the UKs Foresight Vehicle Link Programme and LINK Future Integrated Transport (FIT) Programme or as part of a framework programme such as the Swedish VINNOVA subprogrammes. In this sector, many of the programmes focus on including private sector partners in the research programmes to develop implementable solutions and to encourage the uptake of new technologies. The Dutch programme CONNEKT focuses specifically on demonstration and test projects with public and private partners to underpin future options. Programmes Focusing on the key threat Threats to Public Health The sectoral programmes that focus on threats to public health are not as targeted on the links between public health and sustainability as was the case between mobility and sustainability. The programmes tend to concentrate on the links between two of the three pillars. In many cases the programmes focus on the links between the environment (threats to the environment) and public health issues. There are also two other areas on which programmes on threats to public health concentrate: food standards and health and safety at work. Table 6 lists the programmes identified in the area of threats to public health such as the Swedish programme The Healthy Building that examines the relationship between health and environmental aspects in buildings.
13 Including the sub-programmes Use of Energy in the Transport Sector, General Programmes in the Field of Transport, Public Transport, Logistics and Freight Transport, Transport Policy Publications, IT Transport and the Environment in a Sustainable Stockholm Region, Infrastructure for Sustainable Cities, Batteries and Fuel Cells for a Better Environment.

23

Table 6: Overview of Programmes Focusing on the Key Threat Public Health

Country Austria Belgium The Netherlands Sweden Programme
Fund Healthy Austria Norms for food products, Workers health care, Standardisation and technical regulations SKB the Centre for Soil Quality Management The healthy building, Health risk in relation to working environment, Public health, Swedish National Air Pollution and Health Effects Programme, Reproduction and Chemical Safety Food quality and safety programme (LINK), Food standards agency research programme, Eating food and Health Programme (LINK), Sustainable Development Commission, Research Studies on the Effects of Air Pollutants on Health, Initiative in Environment and Health, Health and Safety Executive research, MRC Social and Public Health Sciences Unit, Research Studies on the Effects of Air Pollutants on Health

UK

Programmes focusing on the key threat Loss of Bio-Diversity Due to the large number of programmes that address the threat loss of bio-diversity in the countries studied, they have not been listed in a table. Instead, the programmes have been categorised14. The following categories represent an initial overview: The first group of sustainable bio-diversity programmes relate the concept of SD to bio-diversity. They focus on looking at issues such as the influence of global change, the development of inventories, concepts and initiatives as well as the socio-cultural and economic aspects. The German funding priority area Bio-diversity and Biosphere Research falls into this category as does the planned Swedish programme Bio-diversity and Ecological and Sustainable Development. The programmes include initiatives to preserve and re-establish bio-diversity and the research on the significance and use of biodiversity in relation to sustainable development goals. Programmes that address a specific area of bio-diversity such as marine bio-diversity i.e. the UK programme on Marine and Freshwater Microbial Bio-diversity and the Swedish programme on Marine Bio-diversity Patterns and Processes or in the UK Bioremediation LINK Programme on the commercial application of bioscience for the clean-up of contaminated land, air and water or the Programme on Soil Bio-diversity. Emission-focused programmes that address bio-diversity through assessing either the impact of particular emissions on an eco-system or programmes that focus on emission reduction. The Netherlands programme ROB Reduction of other non CO2 - Global Warming Gases is such an example. The programme is aimed at research, reduction measures, new technologies and government/industry co-operation. Programmes that specifically address resource reduction. The UK Sustainable Technologies Initiative is such an example and supports non end-of-pipe technology, clean-up development and adoption of sustainable technologies. It focuses on use of raw materials, waste reduction, resource efficiency through process redesign or material substitution and recycling. The Swedish programme The Ecocyclic Pulp Mill focuses on

14

More information on the individual programmes themselves can be accessed in the country reports and the templates

24

the development of pulp and paper production with minimum use of non-renewable resources. The targeted and sectoral programmes have different thematic focuses. They can address different areas such as the policy level national, regional and local, product development and process innovation, and institutional and organisational change. They can also target different actors that are key to implementing the transition towards sustainable development through a variety of methods and approaches including stimulating change in individual, household, company, organisation and society level behaviour.
4.1.2 Categorising research programmes types in support of SD

The targeted and sectoral programmes can be allocated to one of five programme categories. The categorisation emphasise the different inroads and approaches for addressing the key issues in research programmes. The categories focus on different ways of providing solutions to the challenge of SD. The five types are: Integrative programmes Technology-orientated programmes Programmes in support of soft measures Programmes aimed at development of criteria and monitoring tools Relationship between human activity and the environment

The analysis reveals that in some countries individual programmes may fall in several of these categories. Integrative programmes The targeted SD programmes identified contain a variety of different approaches, methods and concepts for defining and implementing research for sustainable development. They reveal a trend towards developing new and different approaches to the design and organisation of research activities in support of sustainable development. These programmes concentrate on examining ways of engaging change in the complex relationship between society, the economy and the environment. The development of programmes targeted towards SD requires a restructuring of the way in which research is organised to include a wider range of disciplines and ensure the research engages a broader range of stakeholders in order to focus on a specific interaction. Programmes of this type tend to move beyond single issues such as, for example, a focus on resource reduction through the development of new environmentally friendly technologies, accepting that unless behavioural patterns changed resource reduction alone will not suffice towards contributing to a more sustainable way of life. Technology-orientated programmes The main focus of research programmes that are technology orientated is on the development of new technologies. The programmes focus on a variety of different mechanisms for achieving the development and diffusion of new technologies. The focus of such programmes is placed on finding technological solutions to reducing environmental burden without compromising economic growth.
25

Programmes in support of soft measures The programmes that focus on soft measures mainly include research on planning and management issues and examine the questions concerning the types of tools and mechanisms that can be implemented to facilitate change towards sustainable development. Such tools include tax instruments, life cycle analysis and voluntary instruments. Programmes aimed at development of criteria and monitoring tools This category is closely related to the previous category on soft measures as the development of criteria and monitoring tools for SD is critical for implementing change. It includes programmes that both develop criteria for defining what constitutes a sustainable solution and programmes that develop tools for monitoring progress. Relationship between human activity and the environment This fifth category is the largest category and includes those programmes that aim at a better understanding of the relationship between humans and the environment. These tend to be programmes that concentrate on the relationship between the environment and one of the other two pillars of SD. There are a number of different types of programmes that fit into this category - some with a more specific environmental focus and others that take a wider approach. It mainly comprises programmes that support the development of policies towards understanding and regulating the effects of human activities on the environment and on health. Many of the programmes that were identified as addressing the key threats to sustainable development in the areas loss of bio-diversity and public health fall into this category. Some also address issues such as water pollution, air pollution, soil, radioactive substances, and chemicals to name but a few, and generally put the environmental, or health aspect at the centre of the research funded. The annex at the end of the report lists each programme and corresponding category for the countries studied. This type of assessment is helpful in order to compare the thematic focus of the programmes with the type of category. The programmes that focus on SD are structurally a different type of programme compared to those orientated towards the sectoral threats. A large percentage of the targeted programmes are of the integrative type and had elements embedded into the programme design that ensured that they focused on SD. Other targeted programmes targeted towards SD were also found in the other categories not just the integrative type. For example, Dutch programmes that are targeted towards SD and innovation combine a mixture of technology-orientated approach and integrated programme approach reflecting the focus on innovation as a social process. Other countries such as Belgium combine sub-programmes of a more specific nature into a broader framework programme. The sectoral programmes, with the exception of the programmes on mobility and transport, tend not to have an integrative approach and also often do not have a particularly strong policy-orientated approach. They focus on the interaction between human activity and the environment in a specific area. This type of research programme is more narrowly focused and problem-orientated than the targeted SD research programmes.

26

The following section synthesises the programme assessment work package. It describes the ways in which the programmes address the three pillars. 4.2 Programme assessment and best practice identification

The targeted programmes in support of SD have to break down some of the organisational and institutional barriers inherent in research systems. They employ design and implementation methods that allow new research activities to take place often with actors who have the potential to understand and solve the problem. This section examines how. It mainly considers the programmes that are specifically targeted towards sustainable development as it is within these programmes that the more innovative design aspects can be found. According to the country studies, research on sectoral issues tended to concentrate on the relationship between two of the three pillars of sustainable development and, with a few exceptions in each country, largely follow more conventional funding and organisational methods. However, programmes from the transport sectoral programmes have been included in the analysis, as the relationship between transport and sustainable development is more developed than in the other areas. The issues considered are time frame, scope, inter-disciplinarity, stakeholder involvement transfer of knowledge, and aspects of programme design and implementation. This is by no means an exhaustive list but attempts to look at the operationalisation of key concepts for SD research programmes and draw out best practice examples from countries that have particular expertise in a certain area. Individual countries have concentrated on areas that they have identified as being relevant to the design of SD research programmes. Such examples include the Dutch focus on linking long term goal setting with short and medium initiatives and the more recent German focus on involving a wide variety of actors. This section looks briefly at the individual criteria.
4.2.1 Time frame

This question focused on looking at the way in which the programmes set objectives with respect to different time frames (combining short term and long term goals). Most programmes try and take both the long term and the short term perspective into account through trying to understand the structure and functioning of a specific problem on the one hand whilst attempting to seek solutions to short term acute problems on the other. Few programmes mention time frames specifically apart from acknowledging that the threats to SD will take decades to solve. The Dutch programmes are the only ones that have deliberately built in short term and long term measures into the design of the programmes. Concern for the long-term innovation front and for system renewal has been a specific feature of Dutch sustainability related research since 1991. This is related to their focus on transition processes. As the Dutch country report stated, In the late 1980s and early 1990s, there was an emphasis on indicator development. As part of this work, studies were made to estimate the scale of the challenge that sustainability poses for innovation. The findings of this study suggested that in order to secure economic growth, environmental protection and greater global equity, resource productivity would need to be improved by a factor of 10 to 20 on average over the period to 2050 (RMNO15 1991, 1992). This finding implied a clear need to integrate sustainable development into research policy and to reorient innovation efforts toward ambitious, long-term sustainability targets. The urgency of this was stressed by contrasting the scale of the resource productivity improvement challenge with usual resource
15

Dutch Council for Spatial, Environmental and Nature Research

27

productivity improvement rates and the typical cycle times of technology renewal and substitution. Work on long-term system renewal would need to start immediately in order to have any chance of developing and implementing new solutions in time for these to be effective. Often the programmes mention the need for the development of long-term perspectives to focus the strategic development of research policy in support of SD.
4.2.2 Scope

Global problems are addressed through focusing on national, regional or local problems. example is the Swedish programme that examines the effects of global warming on Swedish climate. Another example, are the Belgian programmes that aim to support implementation of European or international agreements through developing measures at national regional or local level.

An the the the

The German sectoral programmes MADAM and BIOLOG that focus on the key threat loss of bio-diversity and are part of the Bio-diversity and Biosphere Research funding integrate the relationship between the regional and the global level through implementing the global aims of the programme in a specific region. The MADAM programme focuses on Mangrove Dynamics and Management in Brazil. The aim behind the programme is to promote an understanding of the evolution and functionality of bio-diversity and to develop strategies for the sustainable utilisation of biological resources in a global context. The co-operation with Brazilian partners is also aimed at building local competencies in this field of expertise.

4.2.3

Inter-disciplinarity

Inter-disciplinarity is a prerequisite for problem solving research activities and the majority of the SD targeted programmes defined the inclusion of different disciplines as a core element of the research activities. Some programmes stated they will only fund inter-disciplinary projects whilst others aim to encourage the inclusion of a wide range of disciplines but do not make interdisciplinary a prerequisite. The UK does not place particular emphasis on inter-disciplinarity and the study found that whilst interdisciplinary work may be seen as essential in addressing the problems of sustainable development, it is not explicitly recognised in many of the programmes. It is only the EPSRC Infrastructure and Environment Programme that aims to establish research consortia based on strong, multidisciplinary partnerships of researchers. In Sweden, awareness for the need for increased inter-disciplinarity in research programmes has been rising. Although, so far, there is still a gap between the good intentions and the reality of including different disciplines. The inclusion of different disciplines happens on the level of the individual sub-programmes. Some of them specifically aim to include different disciplines such as the sub-programmes the Urban Environment and Sustainable Urban Development (interdisciplinary collaboration between fields in the humanities/social sciences and natural sciences technology) and the sub-programme Economics for Sustainable Development (includes perspectives from economic and ecological (SD) disciplines. Inter-disciplinarity is a central feature of German SD programmes. The bias of the integration depends on the funding priority under consideration. As the German Country Report commented In the funding priority Socio-Ecological Research the emphasis is even set on the analysis of the relationship between humans and their natural environment, i.e. the
28

social dimension is not treated on the same level as the ecological and economic dimension but is considered as the central aspect. There were also debates about the framework of the funding measure Regional Approaches of a Sustainable Development of the German programme Research on the Environment as to the necessity of including the social dimension in every project on principle. Some highly technology-orientated projects generated interesting results without including the social dimension. The discussion on this issue was centred around developing the correct criteria for selecting projects at the appropriate level. Although a set of criteria for assessing a projects contribution to sustainable development can be useful, they cannot be used independent of the context.

Figure 1 shows the structure of the Belgian SPSD II programme. It is an example of how an umbrella programme encourages the pursuit of single discipline research whilst designing methods for including this research into more general and social and economic based research. Research on environmental issues is supported through one part of the programme (in the white area). The results are built into other programmes that address the social and economic dimensions.

Figure 1: Structure of the Belgian SPSD II programme

ort pp Su

Su pp ort ing ac ti

on s

ns tio ac ing

DI ME NS IO N

Actio n

e ate er im ph Cl mos At

VI EN

L TA EN NM RO

EC ON OM IC

al er en G

s ue iss

Mixe d

an sp or t

gy er En

os Ec

te m ys

s
d Bio y rsit ive

Tr

Production

Mixed A

Actors

Consumption

Supporting actions

Socio-economic part: sustainable production and consumption patterns Environmental part: global change, ecosystems and biodiversity

4.2.4

Stakeholder involvement

The involvement of stakeholders in research programmes is an area which has been pursued in the Netherlands for the last decade but which other countries are only just beginning to integrate into research programmes. However, the German Programme Research on the Environment has made field partner participation one of its key aims.
29

Ag rif

SOCIAL DIMENSION

oo d

ctions

The most ambitious recent attempt to redesign the research processes to include a wider variety of stakeholder is the German targeted SD programme. The Research for the Environment programme has pursued the inclusion of field partners into research activities. New approaches have been developed with a methodological and thematic focus on the involvement of stakeholders as one of the two key elements of the programme. The experiences so far have shown that the development of concepts and methodology for this type of research is time consuming. It also requires increased input from researchers due to the inter-disciplinary nature of the research. Thirdly, the integration of field partners can be problematic as the research and funding infrastructure is not equipped to deal with their inclusion. The involvement of private sector participation in the design and implementation of projects is well established in the technology-orientated programmes and especially in the mobility programmes. The Dutch CONNEKT programme uses public private partnerships (PPP) as a way of bringing the development of knowledge and practical innovation in traffic and transport together. PPP is the basis on which the results should be obtained as the programme also aims to implement solutions. Although some of the Swedish and the UK programmes integrate actors on a programme by programme basis especially in the technology-based programmes their commitment is clearly not on the same level as can be observed in the German programmes. The exception in the UK is the EPSRC Infrastructure and Environment Programme. The Swedish Country Report commented that the involvement of stakeholders often seems to be more like an attached appendix of the programme than an integrated part of the research process. However, there are examples in Sweden of stakeholder involvement including Sustainable Coastal Zone Management and the VINNOVA, the innovation agency, programmes which include private sector actors. Some of the Portuguese projects that are funded as part of the EU Structural Fund Programme involve other actors as the projects are integrated in local or sectoral development initiatives. Interest groups and NGOs are often involved in the formulation of the question to be addressed.
4.2.5 Transfer of knowledge

The importance of the transfer of knowledge was particularly commented on in the country reports. The targeted programmes involve the development of new inter-disciplinary research processes. This type of research poses challenges that are different to those faced by disciplinary programmes. Setting up horizontal or support programmes can significantly assist the establishment and the development of such research. They can encourage the transfer of knowledge from one programme or project to another. They can also develop methods that allow an easier transfer of knowledge from one discipline to another or they can support the formation of new networks across traditional disciplinary boundaries. All these go beyond the individual programme and aim at the longer term development of research activities and communities. All the countries with structured umbrella programmes (Belgium, Germany and the Netherlands) have support and dissemination activities. The Belgian Scientific Support Plan employs a variety of methods to encourage the development of inter and transdisciplinarity. These include platforms where policy makers, scientists and social actors can meet on topics such as exploring scientific communication channels on indictors or biodiversity. In the Netherlands, some programmes have dedicated follow-up activities aimed at disseminating or applying the knowledge gained in the programme into the Dutch knowledge
30

infrastructure. The German programme has recognised that inter-disciplinary networks take time to establish and this is one of the aims of the Socio-Ecological Research programme. The Dutch programme HABIFORM aims to develop close co-operation between private sector actors, science, societal organisations and policy makers by building up innovation networks with new actors. A key element of the programme are the demonstration projects, debates and publications used to promote the idea of a multifunctional use of space. Pilot or dissemination projects and dissemination are a key part of the German and Dutch programmes. Many of the Dutch programmes are conceived in the form of case studies or joint programmes that involve co-financing by public or private sector. This is to ensure that the user community gets to know about the results. Large companies with branch organisations are preferred as research partners as they are able to disseminate the knowledge to their branch networks.
4.2.6 Programme design and implementation

The individual criteria on their own were not considered the main decisive factor in assessing the integrative nature of research in support of SD. Far more, the Country Reports considered best practice to be in the areas of the: design and structure of the framework of the programmes the goal setting criteria and long term aims of the programmes flexibility of the programme to integrate different issues use of a variety of inclusive approaches in combination with each other depending on the issue These are discussed in more detail in the section below. 4.3 Assessing research for SD in context

This section outlines the framework context and the development of strategies for research activities in support of SD at the national level. Research in support of SD is dependent on the framework conditions created by the interaction between the national research system and the national SD strategies. Although it is not possible to analyse the entire relationship between SD strategies and research policy and system in the individual countries, there are two issues that when providing the backdrop to a discussion on the programmes, are worth focusing on, the relationship between SD strategies and research policy (and between SD strategies and SD research policy in so as far as they exist) and the national research system and the influence of the funding structure on research activities for SD.

This allows us to build a more complete picture of the types of research activities in support of SD that are taking place.

31

4.3.1

Sustainable Development and Research Strategies

The extent of different organisational frameworks for research for SD range from the existence of a highly structured research strategy for SD to a lack of any formal programme structure targeted towards SD. Both Belgium and the Netherlands have explicit research strategies for SD. In other countries, notably Germany, research policy and SD strategy are not explicitly linked to one another although they pursue similar aims. In Germany, current research processes are being reorganised in order to fulfil what is believed to be the necessary framework conditions for research in support of SD. Other countries prefer to add thematic elements on to the existing system. Whereas the Belgium strategy focuses on advising policy makers on implementing European and international standards, the Dutch have developed their own methods for redefining sustainable innovation systems. One important relationship that influences the development of research strategies for sustainable development is the relationship between national strategies for sustainable development and research policies. There are increasingly frequent attempts to link these two policy domains. The advantage of this level of policy formulation is the ability to coordinate and implement strategy on an inter-departmental level. The country reports revealed that one of the most challenging issues was dealing with the inter-disciplinarity and integrative nature of SD. There are different examples of ensuring that different ministries, departments, research councils, funding bodies and research performers work together to address the complex issues sustainability poses. Three interesting, yet very different, examples of research strategies for SD are Belgium, the UK and Germany. Belgium has developed an integrative research strategy for SD that supports general policy making. The UK has made attempts, through the Sustainable Development Research Network of the Sustainable Development Unit, Department for Environment, Food and Rural Affairs (DEFRA),to co-ordinate research activities relevant to SD. Germany has taken a different approach and has emphasised the use of research programmes to develop innovative solutions for practical problems. Since 1996 and the introduction of the Scientific Support Plan for a SD policy, Belgium has used research on SD to directly support government policy. Two acts of legislation were introduced to cement the SD strategy and the SD research strategy into policy making. Belgium introduced an Act to co-ordinate sustainable development policy on the federal level in 1997. This involved creating an Interdepartmental Committee for Sustainable Development, a Federal Council for Sustainable Development and a Federal Plan for Sustainable Development. Furthermore, the 1999 Coalition agreement Towards the 21st Century16 declared sustainability one of the four main axes of new Government policy and a new Secretary of State was created for Energy and Sustainable Development. Recognising the importance of research in supporting SD policy making, the Office for Scientific, Technical and Cultural Affairs together with representatives of different departments of the Belgian federal government developed a Scientific Support Plan for a Sustainable Development Policy in 1996. The plan was revised in May 2000 and resulted in a second scientific support plan for sustainable development policy. This plan stated the aim of creating a more integrated approach both on the policy level on selected themes and on scientific methods used to implement research. Most of the programmes that address sustainable development in Belgium are part of this plan. They address topics such as poverty, consumption patterns, health, protection of the atmosphere, conservation of bio-diversity and the marine environment.
16

Federale Regering. Regeerakkoord "De brug naar de eenentwintigste eeuw" 7 July 1999.

32

In the Netherlands, general policy, sustainable development policy and research policy are all fused within the policy process. The 1989 Dutch National Environmental policy Plan To choose or to lose adopted SD as a micro-economic policy objective. The plan initiated supporting new research lines on SD that went above and beyond more traditional research on environmental themes. The Dutch policy towards SD is based on a co-operation model that requires a balance to be made between environmental, social and economic objectives. This requires a paradigm shift to a system where all three policy objectives can be met. This change will have to be policy and not market led. Most SD research in the Netherlands is focused on de-linking economic growth from environmental stress and achieving trend breaks in production and consumption patterns. The focus is on the development of tools in support of the transition process. The Sustainable Technology Development Programme (STD) was a deliberate attempt to link sustainability policy and technology policy. The recent developments in the German approach have taken a different route. Germany has also given SD a high priority in its research agenda but in a different way to the countries just described. The German approach has focused on the capacity of research activities to design solutions for SD. The initiator is the Federal Ministry for Education and Research (BMBF). In 1997 it introduced a cross-departmental research programme for sustainable development Research on the Environment. It was established to co-ordinate the activities of the Ministry of Education and Research (BMBF) with the Federal Ministry of the Environment, Federal Ministry of Consumer Protection, Nutrition and Agriculture (BMVEL). Through combining the activities of the various departments, the programme moved away from the promotion of individual research disciplines and sectors and towards promoting the creation of integrated programmes. The research activities developed as part of this programme adopted the new approach of combining research activities with concrete tasks in order to make a scientific contribution to the practical implementation of sustainable development. The UK has also begun to consider the difficulties of achieving sustainable development within a system where the responsibilities for funding and designing research on SD are dispersed and have begun to co-ordinate policy on sustainable development. The UK Sustainable Development Unit, part of the Department of Environment, Food and Rural Affairs is responsible for the UK sustainability strategy, the UKs annual sustainable development report and developing sustainable development indicators for the UK. There is, however, in comparison to Belgium, no explicit research strategy to complement this agenda as the responsibilities for setting the research agendas are distributed between various research councils and government departments. Recently, however, there have been attempts to find ways of linking SD strategy and research policy in the UK. The SD unit has created an SD research network to support research for SD in the UK and allow the unit better access to research results but also to identify the gaps in research in the UK (see box below). It has the role of a clearing house for SD research information.

33

The UK Sustainable Development Research Network The UK SDR-Network is a UK wide initiative, sponsored by the Department of Environment, Food and Rural Affairs (DEFRA) Sustainable Development Unit and co-ordinated by the Policy Studies Institute (PSI) in collaboration with the Centre for Sustainable Development (CfSD) at the University of Westminster and the Centre for the Study of Environmental Change and Sustainability (CECS) at the University of Edinburgh. The aim of the Network is to contribute to sustainable development in the UK by facilitating the better use of evidence and research in policy-making. Its specific aims include: Monitoring and mapping research relevant to the UK Sustainable Development Strategy Fostering a network of organisations with an interest in sustainable development research Facilitating the flow of information about current and planned activities; and Promoting sustainable development research activity by influencing funders and research organisations

In December 2001 the Network published a document entitled Towards a New Agenda for UK Sustainable Development Research. The document identified key issues: Priorities for research to underpin the implementation of UK sustainable development Barriers to high quality cross-cutting SD research in the UK Recommendations for funding bodies to overcome these barriers Measures to improve the use for research in SD policy formation and implementation

Furthermore, the Natural Environment Research Council, NERC, one of seven UK research councils has been given the role of taking a lead in cross-council co-ordination for research on sustainable development. Some countries involved in the study, including Germany, the Netherlands and Sweden have organisational structures that allow cross-cutting research activities to be designed and organised more easily. They either have permanent structures (research councils or programme management bodies) that can be thematically flexible and adaptable enough to manage SD programmes or, temporary structures that can be created to manage an individual programme. This also increases the ability to work with a variety of disciplines. The Swedish government has recently reorganised the research system and in January 2001 it established a new structure and new research councils for financing research funding. The aim was to strengthen the commitment to stimulating inter- and multidisciplinary research, intensify research activity in important research areas and improve the dissemination of information about research and research results. There are three funding bodies that support research on sustainable development: the Swedish Research Council for Environment, Agricultural Sciences and Spatial Planning (Formas), The Swedish Foundation for Strategic Environmental Research (MISTRA) and the Swedish Agency for Innovation Systems (VINNOVA). Each of these bodies supports a variety of programmes some focusing on more traditional, environmentally-focused research and others concentrating on programmes in support of SD e.g. the focus on sustainable cities in Formas. The Netherlands has established independent structures to develop and administer programmes in certain areas. These network structures are related to knowledge generation, enrichment, and application, the development of centres of expertise and/or multi-actor innovation. The networks both administer programmes and undertake research in their own right. The SKB, HABIFORM and CONNEKT programmes are developed in this way.

34

The development of umbrella programmes is one way of ensuring a structured approach to SD research activities. Those countries that have highly structured SD programmes have the most developed methods for integrating the three pillars. The methodological implementation of the three dimensions of sustainability is one of the main objectives of German Sustainability research. The structure of the German umbrella programme Research on the Environment, integrates a wide range of thematic priorities into one structured programme (Table 7). Table 7: Structure of German Programme: Research on the Environment
Funding Priority Economic Sustainability: Integrated Environmental Technology Funding Priority Regional Sustainability Funding Priority Research on Global Change Thematic priorities: Climate research Biodiversity Atmospheric research Water cycle research Peace and conflict research Funding Priority Socio-Ecological Research

Thematic priorities: Integrated environmental technology in different economic (industrial) sectors New product utilisation strategies (sustainable consumption)

Thematic priorities: Model projects for regional economic sustainability Sustainable consumption on the regional level Research on river basin management Water supply and waste water treatment Contaminated land

Thematic priorities: Sustainable consumption environment, nutrition, health Socio-ecological transformation within supply services Politics and strategies to address global problems on different policy levels Key technologies and socioecological transformation Socio-ecological transformation of regions

Corporate instruments for sustainable management General settings needed to foster sustainable innovation -

The Belgian Scientific Support Plan for a Sustainable Development Policy - SPSD II programme (2000-2006) The SPSD II Programme was developed to provide scientific support for the Federal Sustainable Development Report and the Federal Plan on Sustainable Development and to support Belgiums obligation to comply with European and international directives. The SPSD II Programme has four main themes: Sustainable modes of production and consumption: Contributing to instruments for decision making and government needs (energy, transport and agro-food) Global change, ecosystems and bio-diversity: Atmosphere and climate, ecosystems (terrestrial, marine and freshwater) and bio-diversity Supporting actions: Strengthening the plans coherence and on the improvement of decision making, the integration of research results, the elaboration and support of information systems/databases and the improvement of consultation and communication. Mixed actions: Better multidisciplinary research in order to provide balanced integration of the three main components (environment, economy, social) of sustainable development The first two themes are connected by the second two measures which aim to link the fields of research. They address modelling and monitoring and also include platforms and databases to inform the broader public of the research results. Researchers are required to think about the chemistry of sustainability and how social and economic elements can be integrated into the research project. They are required to integrate a wide range of concepts and methods that aim to increase the relevance of the project to supporting sustainable development such as the application of the precautionary principle, subsidiary principle, social equity and participation. 35

The Belgian programme design takes into account the need for focused single discipline research whilst the structure allows the thematic programmes to be linked with supporting actions and other more policy orientated programmes. These programmes include the integration of other disciplines and actors into the research process (see also figure 1). Strategies for SD and the relationship between SD strategy and S&T policy play a role in determining the types and the focus of the programmes. The next section looks in more detail at the role of funding structure in SD research.
4.3.2 Influence of national research funding systems

The primary unit of analysis for this project was the national research programme. It soon became apparent that the countries studied used a variety of different methods, in addition to programme funding, to fund research. Research activities in support of SD were found on a variety of different levels. This sections looks at some of these non-programme sources of funding that are important for supporting research activities on SD and that would have to be taken into consideration if looking at co-ordinating national research activities. The extent to which the programmes reveal the whole picture of research activities on SD depends to a large extent on the national research system. The seven countries revealed a variety of systems from those with highly structured research programmes such as Belgium, Germany, the Netherlands to those, like Austria, who prefer more generic methods of funding research. Even those countries that do have strong thematic programmes often channel large sections of their research budgets through non-programme means. There is only a certain extent to which it was possible to examine the national research system in detail in order to find out who performs and who allocates research in support of SD. The scope of the study could not include a comprehensive review of all sources of research funding in support of SD. There are certain areas that should be outlined as they are significant: institutional funding, trust funds and generic research funds.
4.3.2.1 Institutional funding, trust funds and generic research funds

The level of funding allocated to R&D through programmes differs considerably across the countries involved in the study. Germany, for example, allocates 42.8% of its research budget to programme funding and 44.8% to the basic funding of research organisations. Different types of SD research are performed through different funding mechanisms. The German country report suggested that much of the research on the sectoral threats outlined above (threats to public health, loss of bio-diversity and transport congestion) was funded by institutional methods. In Belgium, only 15% of the total R&D budget is allocated to programme funding. The rest is channelled through the general university fund (25%) or through institutional funding (17%) and international co-operation. However, sustainability is dealt with on the federal level through structured programmes. The situation in Sweden is similar, where the general university fund is the source of 47% of R&D funding. 28% of the funds are allocated through programme funding managed by government authorities, research councils or research foundations. Institutional funding also supports research activities targeted towards SD. In Germany, this is often in the form of institutes that have been specifically established to concentrate on aspects of sustainable development and that were identified during this study as being important research performers and policy advisors in the area of SD. Examples of such institutes include
36

the Wuppertal Institute, the Potsdam Institute for Climate Impact Research, the Institute for Technology Assessment and Systems Analysis Karlsruhe and the Baden-Wrttemberg Academy for Technology Assessment17. In Sweden, there are also a small number of institutes that play a strategic role in research for SD. These include, for example, the Gothenburg Environmental Science Centre, a co-operation between Chalmers University of Technology and Gothenburg University. Another non-programme source of funding that can be influential in providing resources for research activities in support of SD are trust funds. One such example Private trust funds play a role in supporting specific areas of research. The Joseph Rowntree Foundation, the largest social policy research and development charity in the UK, spends over 16 Meuro per annum on understanding the causes of social difficulties and ways of overcoming them. The programme Reconciling Environmental and Societal Concerns looks specifically at the interface between environmental and social concerns including issues such as learning from grass roots initiatives, effectiveness of local governance initiatives. In comparison, trusts in Germany are not involved in funding cross-cutting research activities.
4.3.2.2 Generic funding sources for SD research

In certain countries the research funding framework is affects the way research activities for SD are organised in a different way to that described above. Research policy is more focused on facilitating the emphasis the researchers themselves place on research activities than identifying programme lines. Austria and Portugal both present interesting cases as there are only a few designated R&D programmes yet on closer examination both countries reveal considerable research activity on SD. In both countries, the funding mechanisms do not set thematic priorities to research or if they do then they tend to be of a broad nature. Although the situation in Austria is currently changing and programme funding is becoming more common, the country still allocates the majority of its research budget through general funds and through contract research. Although Austria has a few well-known and successful research programmes, both targeted and sectoral, a high level of funding for sustainable development is supported through generic sources. The initiative for developing research activities in support of sustainable development is placed on the individual researcher or research institute. In Portugal, there are two areas of policy that influence the way in which research in support of SD is organised, the generic nature of research funding and the European Unions Third Community Support Framework (QCA) and its individual operational programmes. The generic nature of research funding means that there are few defined programmes. The bottom-up focus of the research budget is intended to encourage individual initiative and allow the researchers to decide where research resources should be allocated. There are currently only two thematic R&D programmes in Portugal that are both subprogrammes of the Operational Programme for Science, Technology and Innovation (POCTI) run by the Research Ministry (MCT), Improving the Sciences and Technologies of the Sea (PDCTM) and Space Research. The lack of a programme layer complicates an assessment of the activities in any one given area as the project level is the only unit of analysis. Although designed as development and not research programmes, other operational programmes also fund research activities. Especially the operational programmes for the economy (POE), for health (SADE XXI) and for transport (POAT) support research
17 These institutes are examples of individual institutes that focus on an aspect of SD. Some of the ones mentioned here are not funded by the federal level but are supported by the state level. This is a source of funding which was not looked at within the scope of this project.

37

activities in areas that address the key threats for SD. Some Portuguese researchers have made extensive use of these programmes to fund research and refer to the QCA as an important source and also influence of research funds. There are, however, no figures available on the exact amount of operational programme funding that is allocated to research activities. Only a thorough analysis of the project level would provide an accurate overview of the extent of SD activities currently being undertaken in Portugal.

5. Discussion
5.1 Programme design and organisation

Programme funding is overall proportionally less important than other sources of funding in all the countries involved in the study. However, the Country Reports revealed that despite this fact, the programmes play an important role in setting the SD research agenda. They are not only important in setting the thematic research agenda but can also play a significant role in encouraging new forms of research activities to become established. The programmes can encourage the development of new and cross-disciplinary research and knowledge networks centred around a particular issue. This is especially the case where the SD targeted programmes are structured into an umbrella or a framework programme as is the case in Belgium, the Netherlands and in Germany. Each of the umbrella programmes has a different focus and they follow very different strategies to organise research in support of SD. The Belgian programme focuses mainly on supporting the policy making process. The German and the Dutch programmes focus more on the need to use research to initiate change. The Dutch SD research strategy focuses on creating a paradigm shift towards SD in the Dutch innovation system. The German programmes also focus on research processes that address societal problem fields. Whilst also addressing the framework in which innovation occurs, the German programme has concentrated on adding a significant social element into their programmes. Umbrella SD programmes have a variety of benefits. They allow different research disciplines and actors to be involved at the appropriate point into a broader setting. This means that firstly, research activities are not divided into categories such as research that supports SD and research that is disciplinary based as umbrella programmes can integrate different types of research into one framework. As the Dutch report states the project selection criteria/mechanism is not so significant in ensuring conformity with the tenets of sustainable development since policy relevance, problem-orientation, inter-disciplinarity, engagement of actors and stakeholders, etc. are already taken care of in the programme design stage. Secondly, such programmes can encourage the environment in which research takes place to change. They can encourage the research systems ability to think and act across traditional disciplinary, methodological and institutional boundaries. This, it would appear, is equally important for the development of research for SD as ensuring individual research programmes meet specific SD criteria. The Dutch and the German programmes both focus on the formation of new research networks. This, does not, however, mean that the structure of an SD programme is unimportant. The targeted SD programmes identified within this study address a wide range of issues using different methods. Almost without exception though all SD targeted programmes were interdisciplinary if not trans-disciplinary. Many programmes focused on the need to include different disciplines to increase the understanding or develop improved solutions. Other programmes funded projects that did not place the emphasis on the end result or policy
38

recommendation but on the process taking place during the project itself. They developed models or illustration processes to illustrate how processes can be changed and behavioural patterns altered to further the aims of SD. This type of project, however, is more demanding and time consuming than single discipline research projects and requires further adjustment of the research funding system. 5.2 Integration of the three pillars

To a certain extent, looking at single criteria in individual projects did not capture the way in which programmes in support of sustainable development ensure that the programmes address environmental, social and economic aims. The structure , the context of the programme and the goals were more important than individual assessment criteria. Some criteria such as inter-disciplinarity have, however, been accepted as a key element of research for sustainable development. Inter-disciplinarity as a concept has been incorporated into most programme documents and in many countries the results can already be seen on the project level. In many of the solutionbased programmes this happens automatically. For example, many of the targeted programmes focus on a unit of space or a system of interest and not an individual sectoral issue. They focus on a town or a region. In this way, they do not limit the number of disciplines or expertise that can be drawn on to develop solutions. Other criteria have not been as universally implemented as inter-disciplinarity but were also often not considered significant. The inclusion of stakeholders was placed high on the agenda by some countries, especially Germany and the Netherlands, as a key element of SD research. But it depends on the context and the issues being addressed as to whether it is necessary in each individual programme. The Netherlands also considered the inclusion of different time scales into research programmes important. The study was able to look at the ways in which these issues are dealt with but the Country Reports showed that using a uniform set of criteria and applying it to individual programmes was not the most appropriate way of identifying research activities to support SD.

39

6. Conclusions
The study looked at the types of research programmes that exist, and how they defined and addressed research in support of SD. It mapped and categorised the various approaches to organising research in support of SD. This has shown that there are a variety of different strategies and structures for organising research activities. Some of the more innovative approaches to defining research for SD that the study identified are aimed at addressing the main barriers identified for designing and organising SD research activities. These include adapting the research system so that inter and trans-disciplinary research activities can be implemented. Key issues for SD Programme development: Research in support of SD requires a substantially different organisational structure from conventional research programmes. The targeted framework research programmes are able to do this. Differences in programme design and implementation in framework programmes. Each of the umbrella programmes has a different focus and they follow very different strategies to organise research in support of sustainable development. See the descriptions of the Belgium (p.28), Dutch (p. 26-27) and German programmes (p.34). Individual targeted SD programmes that are not part of an umbrella programme are less likely to encourage change beyond the results of the individual programme. Targeted programmes have developed significantly new research activities and are able to initiate change through these processes. This includes the measures used in the German programme Socio-Ecological Research to develop new research models and funding structures to ensure the promotion of SD. The Dutch programmes EET and NIDO also bring together various parties to find ways of influencing innovation processes. The targeted programmes have developed new concepts for addressing transdisciplinarity and inter-disciplinarity. This type of activity includes such initiatives as action research used in the German pilot programme Regional Approaches part of the Research on the Environment Programme Targeted framework programmes are able to create social capital. They are able to create new and inter-disciplinary groups of researchers that can address cross-cutting issues Other less integrative programmes are still relevant. Technology-centred research still represents an important contribution to SD, but from the study we would conclude that its leverage with respect to SD depends on whether it is part of a wider umbrella programme. Certain research needs may well be addressed outside these programmes, e.g. through institutional funding (like in Germany) or through generic research programmes (like in Austria).

40

Elements for further development: Programmes for sustainable development involve the development of new concepts, methods and mechanisms for designing, implementing and organising research. There are different stages of designing and implementing a research programme where concepts and methods from other countries could be used. Despite the fact that national contexts are varied, there are certain areas where learning from another country would be possible. A number of concepts emerged from the analysis of the programmes that appear to be useful when thinking about the exchange of good practice. The following examples are categories where best practice could be transferred to another national context. Defining sustainability criteria for programme design: Developing underlying concepts for SD framework programmes that encourage both change within the research system to address SD challenges and concepts that facilitate wider societal change through research processes. Developing goal setting concepts: Developing concepts that define which areas are to be addressed and what the targets look like. The Belgian, Dutch and German programmes can be taken as best practice in this case. Combining research with implementation: Ensuring that research activities are organised with a clear implementation strategy in mind. This often involves a high level of field actor involvement in the research process. Overcoming organisational and disciplinary boundaries to programme design and implementation: Identifying and Developing methods to facilitate and encourage different parts of the innovation system to work together in the design, organisation and implementation of research programmes Mechanisms for including a wide range of actors: Identifying and Developing concepts that allow research activities to involve field actors. Criteria for selecting and evaluating projects: Identifying and Developing criteria for selecting individual projects. Creating synergies and continuity within programmes and between programmes: Building research networks and activities that facilitate the collaboration of disciplines beyond the scope of the individual programme

6.1

Challenges for EU-policy

The current phase of developing new approaches for research programmes in support of SD offers a good opportunity to improve the co-ordination and co-operation of research in Europe in line with the objectives of ERA. The programmes from different countries analysed in this report underline, however, that this is an extremely challenging endeavour. There are already serious difficulties in co-ordinating research in support of SD within individual countries and even ministries. One way of looking at the role of the EU in supporting SD research activities would be through identifying thematic areas in the EU SD strategy that are currently not being covered
41

by member state research activities (gaps). The project looked into whether this would be an achievable aim and came to the conclusion that this idea would need significant further development. Firstly, it would involve a more extensive analysis of national research activities as many activities in the sectoral areas are not programme funded. In other words, in order to draw well justified conclusions regarding research gaps that can be addressed at the European level, it would first be necessary to conduct a comprehensive screening of national research activities, including non-programme based research. Secondly, it would be difficult to achieve a direct link between the EU SD strategy and the national programmes that would lead to the identification of concrete gaps. In many countries, the national programmes are focused on pursuing their own SD development strategies that address the EU threats in a different way that is not automatically comparable. Although these strategies also pursue similar aims to the EU SD strategy, they have been developed in the first instance to address SD on the national, regional and local level. Many SD targeted programmes do not address the individual threats through individual research programmes but focus on more than one threat. In many cases, issues concerning the lack of bio-diversity can be found at the root of programmes that address very different issues. A third reason for the need to further develop the idea of links between national and EU programmes is the fact that increasingly certain countries are using research activities to initiate change. The focus of such programmes is on the inclusion of field actors that have the ability to change processes. The main conclusion that can be drawn from the project concerning the role of the EU is the EUs capacity to facilitate the development of such programmes that focus on national and regional level SD problems. As the country studies showed, different countries employ different strategies and use different mechanisms. There is a considerable amount to be learnt from the experiences of those countries that have already attempted to implement new types of SD programmes both in thematic and organisational terms. In thematic terms, there are a number of issues that have crystallised out as being areas where national programmes are attempting to address SD in their own terms. EU involvement could support the exchange and the development of such programmes. These areas could include issues such as sustainable consumption, sustainable technologies, sustainable food production, sustainable transport or sustainable regional development. A more detailed list would have to be developed with programme managers18. In organisational terms, there is a lot that could be learned from the practices employed in the targeted programmes, both by other countries and by the EC. Especially in view of the still ongoing preparations for the ERA, these innovative approaches to designing research programmes in support of SD could be instructive during the preparation of the FP 6 work programmes. The EU could thus help support the development of the national, regional and local-focused programmes by facilitating the exchange of ideas on the organisation and the design of programmes. This would entail facilitating the exchange of such concepts as laid out above in the conclusions sections under suggestions. These focus on issues that often distinguish SD programmes from other types of programmes such as the integration of field actors and different disciplines. Although still relatively general , the EU could support the development and the co-ordination of national programmes in the following ways listed below. The exact content of the measures would have to be developed by the programme managers.
18

An initiative already exists that looks at the common ground between SD targeted programmes.

42

Exchange of ideas and experiences as a basis for establishing a common view on how to set up programmes in support of SD, and understand how they are organised in other countries Establish a working group or a network of researchers and programme managers to learn about criteria at programme and project level, and different ways of applying them in the process of implementing programmes. Start pilot actions in this respect in order to learn more about the difficulties involved in joint programming and implementation. In the longer term, take new requirements in terms of the practical implementation of programmes into account, for example based on concepts such as trans-disciplinarity. Contribute to facilitating the exchange of ideas and experiences on the above concepts. Facilitating the establishment of cross-cutting, inter-disciplinary research networks.

6.2

Further research questions

The study has opened up more questions than it set out to answer. These questions would involve looking more closely at specifics aspects of the organisation of research in support of SD and programme design. How are institutional and disciplinary barriers to SD overcome in various national context? That is, what mechanisms do different countries use to promote multi- and transdisciplinary work. What form of programme management works best for SD programmes? Are there organisational programme management structures that make it easier to implement SD research activities and to establish new research communities? How do SD programmes deal with the need to initiate long-term change? What different experiences are there for setting and achieving long-term goals? How does the involvement of a broad range of actors affect the way research is funded? Does research that involves a wide range of actors require different criteria for defining, assessing and evaluating research activities? How are framework and umbrella defined and how do the individual programmes fit together? What are the benefits of framework and umbrella programmes and how can they facilitate the integration of different disciplines into research processes? The relationship between non-programme based national research activities and national programmes and ways of networking the two.

43

7. Annex
7.1 National Programmes Overview Tables
Budget in MEURO Targeted towards SD Cross-cutting issues

Overview of the identified programmes in Belgium

No. Programme name Sectoral Threats Transport congestion x X X x x Type of programme

Programme de Recherche et Dveloppement, Technologies environnementales, Programme Entreprises Prospective Research in Brussels GBOU (Generic Basic University Research) VIS Programme (Flemish Cooperative Innovation) SME Programme Programme on policyoriented research Antarctica 4 Global Change and Sustainable Development Norms for food products Sustainable management of the North Sea Sustainable mobility Telsat 4 Levers for a sustainable development policy Supporting actions of the scientific support plan for a sustainable development policy Global Change, Ecosystems and Biodiversity Sustainable Consumption and Production Patterns Supporting actions of the second scientific support plan for a sustainable development policy Workers' healthcare 2 Standardization and technical regulations

max investment is 50 or 70% of total costs

No

Bio-diversity

Public health

(according to 5 categories)

Technology-oriented

x 1.5 No

x Technology-oriented

No specific focus 16.8 6.2/year 19.8 11.1 (in 1997) 9.9 (in 1998) 4.8 17.8 5.0 9.9 7.8 0.6 5.7 No No No X X X x x x x x x Technology-oriented Technology-oriented Technology-oriented

3 4 5

No

7 8 9 10 11 12 13

Yes Yes Yes Yes Yes Yes Yes

Relation Human Main focus depends from year environment to year Relation Human x X environment x x X X x X x x X Targeted towards SD Relation Human environment Targeted towards SD Targeted towards SD Technology-oriented Relation Human environment Development of tools

14

3.7

Yes

15 16

33.3 21.9

Yes Yes X X

Targeted towards SD Targeted towards SD

17

2.3

Yes

Targeted towards SD Relation Human environment Relation Human environment

18 19

2.0 5.9

Yes Yes

X X

44

Overview of the identified programmes in Germany

Programme name19 Budget in MEURO Targeted towards SD Cross-cutting issues Sectoral Threats Type of programme

Transport congestion X X X X X

Socio-Ecological Research (funding priority area)

7.6 annually

Yes

Bio-diversity

Public health

(according to 5 categories)

Sustainable Economic Management (funding priority area)

Depending on the funding measures (no concrete information)

Yes

Regional Approaches of Sustainability (funding measure)

7.6 over a period of four years

Yes

Potentials and Limits of New Strategies for Product Use ; Part B: Areas of Need (funding measure)

(no information)

Yes

Framework for Innovations towards a Sustainable Economic Behaviour (funding measure)

5-6 annually

Yes

Construction and Housing (programme)

11 annually

No

Integrated research programme Soft issues Development of tools Human-environment systems analysis Integrated research programme Soft issues Development of tools Human-environment systems analysis Technology-oriented Integrated research programme Soft issues Development of tools Human-environment systems analysis Integrated research programme Soft issues Development of tools Human-environment systems analysis Technology-oriented (some projects) Integrated research programme Soft issues Development of tools Human-environment systems analysis Integrated programme Technology-oriented Soft issues

19

The German term 'programme' stands for a superordinated category in the German research landscape which is subdivided into programmes, funding priority areas, funding measures and projects. The list takes account of the first three levels.

45

Overview of the identified programmes in Germany (continued)

Programme name20 Budget in MEURO Targeted towards SD Cross-cutting issues Sectoral Threats Type of programme

Transport congestion X

Mobility and Transport (programme) Renewable Raw Materials (programme) Global change/ Biodiversity (funding priority area) Energy Research and Energy Technology (programme)

60 annually 25.5 annually

No

Bio-diversity

Public health

(according to 5 categories)

No No No

X X X

Integrated programme Technology-oriented Soft issues. Technology-oriented Integrated programme Technology-oriented

20

The German term 'programme' stands for a superordinated category in the German research landscape which is subdivided into programmes, funding priority areas, funding measures and projects. The list takes account of the first three levels.

46

Overview of the identified programmes in Sweden

No. Programme name Budget in MEURO Targeted Sectoral Threats Type of programme towards SD

Transport congestion x x

Cross-cutting issues

1 1A 1B 1C

Swedish EPA Marine Bio-diversity Patterns and processes (MARBIPP) Research to Forge the Conservation Chain Reproduction and Chemical Safety (ReproSafe) Swedish National Air Pollution and Health Effects Programme (SNAP) Achieving Greater Environmental Efficiency (AGREE) Land environment, atmosphere and groundwater Water environment

7.6 (2001) 3.7 3.1 3.4 No No No

Bio-diversity

Public health

(according to 5 categories)

X X X Human-Environment systems analysis Development of tools Human-environment systems analysis / Development of tools Human-environment systems analysis Integrated / Development of tools Integrated / Humanenvironment systems analysis Integrated / Humanenvironment systems analysis Human-environment systems analysis Human-environment systems analysis Human-environment systems analysis Human-environment systems analysis Human-environment systems analysis Other

1D 1E 1F

1.8 0.7 1.2

No No No x

X x x

1G

0.3

No

1H 1I 1J 1K 1L 1M 2 2A 2B 2C

Toxicology and environmental medicine Society, system and circulation Consequences of hunting and game preservation Function of the game in relation to the eco-system Consequences of landscape changes on the game Social scientific perspectives on game and hunting Formas Environment Agriculture, Horticulture, Fishery and Reindeer Husbandry Forestry and Natural Environments

1.4 2.4 53.6 (2002) -

No Yes No No No No x x No No No X

X X x

x x

X x x x

2D 2E 2F

Built environment Urban and Regional Planning Organic Farming and Forestry

2.4

No Yes No X x

x x x

Human-environment systems analysis Human-environment systems analysis Technology-based / Human-environment systems analysis Technology-based Integrated Integrated

47

Overview of the identified programmes in Sweden (continued)

No. Programme name Budget in MEURO Targeted Sectoral Threats Type of programme towards SD

Transport congestion X x x X

Cross-cutting issues

2G 2H 2I 2J 2K 2L

The Healthy Building Area and Water in Urban Environment Infrasystems for Sustainable Cities The Sustainable City The City and Life-spaces Biodiversity and Ecological and Sustainable Development Risks and risk assessment developments in biology and the land-based industries The Urban Environment and Sustainable Urban Development Economics for Sustainable Development MISTRA Soil Remidiation in a cold Climate (COLDREM) The Ecocyclic Pulp Mill (KAM) Batteries and Fuel Cells for a Better Environment (JUNGNER) Mitigating the Environmental Impact of Mining Waste (MiMi) New Strategy for Risk Management of Chemicals (NewS) Plasma Enhanced Reaction Systems for Environemtal Applications (PERSEA) Microbial Antagonism against Fungi Pheromones and Kairomones for Control of Pest Insects Sustainable Forestry in Southern Sweden (SUFOR) Sustainable Food Production (FOOD 21) Swedish Water Management Research Programme (VASTRA)

2.5 2.4 1.3 6.4 2.0 26.3

No No Yes Yes No No x X x

X x

Bio-diversity

Public health

(according to 5 categories)

Integrated Integrated Integrated Integrated x X Other Integrated / Humanenvironment systems analysis Human-environment systems analysis / Development of tools Integrated Integrated

2M

No

2N 2O 3 3A 3B 3C 3D 3E 3F

Per year: App. 26.3 4.0 9.5 5.8 8.2 3.6 0.9

No Yes X x No No No No No No

x x x X x x

Technology-based Technology-based Technology-based Technology-based Development of tools Technology-based

x x x x x

3G 3H 3I 3J 3K

6.8 3.9 11.3 12.5 4.1

No No Yes Yes No x

x x

x x X

Technology-based Technology-based Integrated Integrated Development of tools

x x

48

Overview of the identified programmes in Sweden (continued)

No. Programme name Budget in MEURO Targeted Sectoral Threats Type of programme towards SD

Transport congestion x X -

Cross-cutting issues

3L 3M

3N 3O

3P 3Q

Sustainable Coastal Zone Management (SUCOZOMA) Marine Research on Eutrophication A scientific Base for Cost-Effective Measures for the Baltic Sea (MARE) Sustainable Management of the Mountain Region (FjllMISTRA) Management of Semi-natural Grasslands Economics and Ecology (HagmarksMISTRA) Remote Sensing for the Environment (RESE) Soundscape Support to Health

8.4 3.4

Yes No

Bio-diversity

Public health

(according to 5 categories)

x x

Technology-based / Development of tools Development of tools

5.0 1.8

Yes No

x x

Integrated Technology-based

8.9 1.7

No No x

Development of tools Technology-based / Human-environment systems analysis Integrated

3R

3S

Paths to Sustainable Development Behaviour, Organisations, Structures (Ways Ahead) Swedish Regional Climate Modelling Programme (SWECLIM) International and National Abatement Strategies for Transboundary Air Pollution (ASTA) Sustainable Urban Water Management IT, Transportation and the Environment in a sustainable Stockholm Region Idea Support Grant FAS Health risks in relation to working environment Public health SRC Public health (cardiovasular diseases, allergy)

2.3

Yes

7.2

No

3T

2.7

No

Human-environment systems analysis / Development of tools Development of tools

3U 3V

3.4 -

No No

Technology-based Integrated

3W 4 4A 4B 5 5A

2.1 (2001) 26.8 (2001) Variable Variable

Open call

No No

X X

Other Other

0.9

No

Human-environment systems analysis

49

Overview of the identified programmes in Sweden (continued)

No. Programme name Budget in MEURO Targeted Sectoral Threats Type of programme towards SD

Transport congestion X X X X X X

Cross-cutting issues

5B

5C

Loss of biodiversity (bio fuels, renewable energy, fuel cells; analysing combustion processes, landscape, air and water quality; human impact on eco-systems) Research in biodiversity

1.9

No

Bio-diversity

Public health

(according to 5 categories)

15

No

Integrated / Technologybased / Soft issues / Development of tools / Human-environment systems analysis First round of applications have been handed in 15 Jan 2002

6 6A 6B

VINNOVA Innovative Foods The Use of Energy in the Transport Sector General Programmes in the field of Transport Public Transport Logistics and Freight Transport Transport Policy Publications Strategic Questions for Long-Term Sustainable Working Life Innovation Systems supporting a Sustainable Growth Vrdal Foundation Allergy programme

85.7 No No

x x

Soft-issues Technology-based / Softissues / Development of tools Integrated / Development of tools Technology-based Technology-based Other Other In preparation

6C 6D 6E 6F 6G 6H 7 7A

2.1 2.1 1.9 Per year: App. 7.9 Per year: App. 4.0

Yes No No No No Yes X X No x x

Integrated / Humanenvironment systems analysis

50

Overview of the identified programmes in Austria

Programme name Budget in MEURO annually Targeted towards SD Sectoral Threats Type of programme

Transport congestion X X X

Cross-cutting issues

ATSD MOVE ALR FHA PFEIL 05

5.5 2.9 1.7 7.3 31.6

Yes Yes Yes No Yes

Bio-diversity

Public health

(according to 5 categories)

Technology based Technology based Human-environment systems analysis Human-environment systems analysis Integrated research programme

X X

51

Overview of the identified programmes in Portugal

Programme name Budget in MEURO21 Targeted towards SD Sectoral Threats Type of programme

Transport congestion X X X X

Cross-cutting issues

POCTI PDCTM (sub-programme of POCTI) PDCTDCN (sub-programme, closed in 1999)22 POA

956.7 (464.1) 10.0 (in 2001) 1.623

No No Yes Yes

Bio-diversity

Public health

(according to 5 categories)

X X

X X

X X

POE AGRO SADE XXI POAT POR PROINOV no funds

No Yes No No Yes No

X X X X

Basic research Partially integrated Basic research Development of tools Human-environment system analysis Specifically integrated Human-environment system analysis Technology oriented Partially integrated Partially integrated Partially integrated Technology oriented Partially integrated Integrated Specifically integrated

X X

X X

X X

21 22

Total budget in million Euros; figures in brackets represent the contribution of the Community structural funds. The R&D-Programme of ENCNB is the following programme on this area but it will start only in July 2002. 23 This amount was allocated to projects in 2001.

52

Overview of the identified programmes in the Netherlands

Programme name Budget in MEURO/year (approx.) Targeted towards SD Sectoral Threats Type of programme

Transport congestion X X

Cross-cutting issues

Bio-diversity

Public health

(according to 5 categories)

EET EET Sustainable Industrial Production Processes EET Ecodesign (development of sustainable products) EET Development of Renewable Raw Materials EET Development of Renewable Energy EET- Transportation and Traffic NIDO HABIFORM

30

Yes

X X X

Integrated Technologybased Integrated Technologybased Integrated Technologybased Integrated Technologybased Integrated Technologybased Integrated Technologybased Integrated Soft-issues Integrated Soft-issues Human-environment Soft-issues Technology-based Soft-issues Technology-based Human-environment Soft-issues Technology-based Human-environment

X X

Yes 4 Yes

X X

CONNEKT ROB

7 3

No No X

SKB

No

53

Overview of the identified programmes in the United Kingdom

No. Programme name Budget MEURO Targeted towards SD Cross-cutting issues Sectoral Threats Type of programme

Transport congestion

Bio-diversity

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Darwin Initiative for the Survival of Species Air Quality Research Programme Chemicals and Biotechnology Research Programme Environmental Strategy Research Programme Noise and Nuisance Research Programme Radioactive Substances Research Programme Waste Policy Research Programme Water and Land Research Programme Sustainable Technologies Initiative STI LINK Programme Construction Research and Innovation Programme Environmental Diagnostics Towards a Sustainable Urban Environment Forestry Commission Research Global Nitrogen Enrichment (GANE) Reconciling Environmental and Social Concerns (JRF) Bioremediation LINK Programme Marine & Freshwater Microbial Biodiversity (M&FMB) Marine Productivity: physical controls on ecosystem dynamics Urban Regeneration and the Environment (URGENT) Polluted Troposphere Thematic Programme Soil Biodiversity

4.86/year

Public health X X Human-environment systems Human-environment systems Human-environment systems Integrated Human-environment systems Human-environment systems Human-environment systems Human-environment systems Technology-based x x Technology-based Development of tools Integrated x Human-environment systems Human-environment systems Soft-issues Technology-based Human-environment systems Human-environment systems Human-environment systems Human-environment systems Human-environment systems x x x x X x

Yes No No Yes No No Yes No X

X X X x x x x x X X X x X X x X X X X X X X X X x x x x

24.3 Yes 35.64/year Yes Yes Yes 16.2/year >9.72 Yes No Yes 12.5 (to be matched by industry) 12.15 10.53 >15.71 4.7 9.5 No Yes No Yes No No

54

Overview of the identified programmes in the United Kingdom (continued)

No. Programme name Budget MEURO Targeted towards SD Cross-cutting issues Sectoral Threats Type of programme

Transport congestion

Bio-diversity

22 23 24 25

Institute for Environment and Health The MRC Social and Public Health Sciences Unit EPSRC Infrastructure & Environment Programme LINK Future Integrated Transport (FIT) Programme Foresight Vehicle LINK Programme Roads and Local Transport Research Programme Research studies on the on effects of air pollutants on health Initiative in Environment and health Health and Safety Executive Research Programme Eating food and Health Programme (LINK) Food quality and safety programme (LINK) Food Standards Agency Research Programme Environment Agency Sustainable Development R&D Programme Sustainable Development Commission

Public health X X Human-environment systems Human-environment systems Integrated Technology-based X Technology-based Human-environment systems Human-environment systems Human-environment systems Integrated Soft-issues Integrated Human-environment systems Integrated X Integrated X X X X X X

No No Approx 50 7.13 (to be matched by industry) 18.63 (to be matched by industry) Yes No X X x X X

26 27 28 29 30 31 32 33 34 35

Yes No No No

x x

X X

33.21 (for 2000/01) 3.24 9.72 34.02 (for 2000/01) 0.427 spent in FY 2000/01

No No No No Yes Yes X X X X

Key: X = Main focus of programme, x = Secondary focus of programme

55

7.2

Project Guidelines

Guidelines for conducting the country studies

Table of contents 1. 2. 3. Introduction and delimitation Mapping the key players (Phase 1) Mapping National Research Activities (Phase 2) Cross-cutting Themes Themes addressing the three main threats for Sustainable Development Guidelines for assessing research on sustainable development programmes (Phase 3) Guidelines questions The criteria to be used

4.

56

Introduction and delimitation

The following data collection and interview guidelines should be used as the basis for structuring the three phases of empirical work of the project. They are based on the discussions during the workshop and post-workshop phase with colleagues and ESTOpartners. In order to focus the scope of the project so as to be able to carry out a mapping and analysis exercise given the time and budget available, we have decided to focus on those national research programmes that address the main threats identified in the Commissions Communication mentioned in the terms of reference as well as on those that cover crosscutting sustainable development research activities. We have also decided to focus on those three threats (as opposed to all six) identified in the terms of reference that are regarded as more important with respect to assessing the integration of the environmental, social and economic aspects of sustainable development (i.e. threats to public health, loss of bio-diversity and transport congestion). The other three threats (i.e. global warming, ageing of the population, poverty) only need to be considered as far as they are occasionally dealt with in the course of the empirical investigation. It should be noted, however, that even the six threats do not represent a comprehensive list of research issues relevant to sustainable development, but only comprise those which the Commission regards currently as the most important ones. The entire study can thus not claim to provide a comprehensive overview of all research on SD, but focuses on selected areas where the key theme of the project the integration of the main dimensions/pillars of sustainable development into research can best be investigated. The selected key research areas of Sustainable Development24: 1. cross-cutting issues: including sustainable consumption, sustainable impact appraisal and assessment, local agenda 21, measuring and monitoring sustainable development, sustainable production patterns, social attitudes to environmental risk, the Precautionary Principle (from the SDRN list). 2. threats to public health: food safety and quality, antibiotic resistance, health and safety at work, promotion/awareness of health issues, environmental control, health (commission communication) 3. loss of bio-diversity: protection of natural resources: habitats/bio-diversity, fisheries, forests/woodlands, wildlife, landscape quality of environmental media: air quality, water quality, soil quality, contaminated land resource productivity: eco-efficiency, factor 4/10, material resource use (commission communication) 4. transport congestion: modal shift, imbalanced spatial development, transport charges, public transport infrastructure, de-coupling of transport and GDP growth, urban transport (commission communication)

24 The categories have been developed on the basis of the following documents: Communication from the Commission COM (2001)264 A sustainable Europe for a better world: A European Union Strategy for Sustainable Development. The Commissions proposal to the Gothenburg Council, 15.5.2001 and Sustainable development research: monitoring and mapping outline and options for a characterisation framework SDRN 8.3.2001

57

The time frame under consideration The main focus of the project is on current research programme. However, this does not mean that the project cannot include both programmes that have already been completed or those that are being initiated or are in the planning process if they are of relevance to the study. This will depend on the situation in the individual countries. The work will be conduced in three phases: - Phase 1 aims to map the key players in SD research, mapped by area of research and research function. - The Phase 2 mapping process will provide us with a list and description of programmes that cover the four selected areas of research relevant to SD. At the same time it will contain an overview of any umbrella attempts to co-ordination sectoral programmes on sustainable research. - Phase 3 aims to assess the relevant research programmes identified. Particular emphasis is put on the extent to which the different pillars/dimensions of SD are considered jointly, and on the process and institutional issues. Phase 1 and 2 will be carried out through a mixture of desk research and interviews with the programme managers. Phase 3 is a mixture of data collection (desk research and interviews) and analysis.

58

Mapping the key players (Phase 1)

The exercise of mapping of key players will be based on the main dimensions for categorising them: - Firstly the players will be categorised according to the key area of sustainable development they mainly cover, - Secondly they will be analysed according to their function in the research process (funding body, research organisation, advisory board etc.). The first unit of analysis will be the organisation. However, the unit of analysis will depend considerably on the organisational set up of the key player. It will be necessary to state the level (i.e. the department or unit) which is most relevant for the study. For this mapping exercise therefore we would envisage having a separate map for each of the four key areas. The Key Areas of Sustainability Addressed cross-cutting issues threats to public health loss of bio-diversity transport congestion

Function of the Key Players in the Research Process The following categories of actors should be taken into consideration. This list should be viewed as a guideline but not as a compulsory list. It will be necessary to identify only the most important actors in each of the categories. - policy making: ministries, parliamentary committees - funding bodies: public, semi-public, private - research organisation: universities, public sector research activities/ non-university research organisations, private research organisations/consulting, industrial participants (criteria: do they get public funding?) - advisory boards: general political level, scientific community level - networks: (could be about solid and fixed networks or about more links) - civil society: NGOs, science shops - others

59

Mapping National Research Activities (Phase 2)

This work package concentrates on examining the national research activities on sustainable development. The unit of analysis for the work package will be the national research programmes. However, if partners decide that other levels (such as the regional level) are also equally important then these should also be taken into consideration. Smaller countries should also examine the project level if the programme level proves to be too general or not to show adequately how sustainable development is dealt with. This work package will follow a similar procedure to the mapping of the key actors and will take as its basis the two basic categories the cross-cutting themes and the three sectoral research areas. It will then map the research programmes on the national level in each country against these 4 categories. The mapping exercise aims to produce a map of the national research programmes which address these four categories, i.e. the entire programme in which these four categories of research themes are dealt with should be mapped, not only those parts of the programmes in which the four themes are defined. For example, the theme congestion may be addressed in a research programme called Mobility, Transport and Land Use, or Loss of Bio-diversity within a programme Management of Natural Resources. In these cases, a rough map of the entire relevant research programme should be made. In terms of process, we suggest to look firstly at the research programmes that address the cross-cutting issues and secondly at research programmes that address the sectoral issues. In the following, we list again the themes which are of particular interest to the Commission, and which should appear in the programmes to be mapped. Cross-cutting Themes sustainable consumption, sustainable impact appraisal and assessment, sustainable production patterns, local agenda 21, measuring and monitoring sustainable development, social attitudes to environmental risk, the Precautionary Principle

Themes addressing the three main threats for Sustainable Development Here, the research programmes in which the three main threats to SD ( and their specifications) are dealt with should be included in the mapping. Threats to Public health - food safety and quality, - antibiotic resistance, - health and safety at work, - promotion/awareness of health issues, - environmental control, - other health issues

60

Loss of bio-diversity - protection of natural resources: habitats/bio-diversity, fisheries, forests/woodlands, wildlife, landscape - quality of environmental media: air quality, water quality, soil quality, contaminated land - resource productivity: eco-efficiency, factor 4/10, material resource use Transport congestion - modal shift, - imbalanced spatial development, - transport charges, - public transport infrastructure - de-coupling, urban transport, regional gaps Umbrella attempts/framing programmes An assessment of whether there are any umbrella attempts to co-ordinate the different areas of dealing with sustainability issues in each of the countries. These could be dedicated programmes, but also other approaches are possible.
Template for Describing Programmes Name of Programme

Which threat does the programme address (cross-cutting issues, threats to public health, loss of bio-diversity or transport congestion) Timeframe Budget Aim of Programme and reasons for setting up the programme Who funds the Programme? Who implements the Programme? Who is the Programmes main addressee? Short description of Programme content

61

Guidelines for assessing research on sustainable development programmes (Phase 3)

The aim of the questionnaire guidelines for Phase 3 is to assess the programmes identified in Phase 2. Apart from a rough general assessment in how far they actually contribute to meeting their objectives, the main focus is on the extent to which they address and integrate the three pillars of sustainable development (environmental, social and economic) and also the organisational and institutional issue (governance and participation). The two types of programmes that were identified in Phase 2 will be considered separately. The cross-cutting programmes (group 1) will be considered first and the three sectoral programmes (group 2) will be dealt with subsequently.

Guidelines questions
These guidelines are designed to assess in the first instance the integration of the three pillars of sustainable development in research programmes and the process by which organisational and institutional aspects of SD are dealt with. The questions are divided into four parts. The first are general questions on the programmes own criteria and mechanisms for addressing sustainable development. The second question aims to assess whether the programmes are able to integrate the three pillars. The third set of questions ask about the processes and institutional issues. Finally, the fourth set shall reveal programme managers views on gaps and best practices. Whereas the first and the fourth sets of questions are going to be asked in an open way, the second and third set of questions will be guided by more specific criteria or questions described in Section 4.2. Group 1: The cross-cutting programmes that specifically address Sustainable Development General assessment questions What criteria are used by cross-cutting programmes addressing sustainable development to assess their contribution to the aims of sustainable development? What are the criteria and the mechanisms that are used for selecting the projects within the programme? Assessment of the integration How do the programmes integrate the three pillars of sustainable development (environmental, social and economic)? This question should use the two criteria groups listed below. Process assessment How is programme design managed and how are issues such as inter-disciplinarity, involvement of stakeholders and the need of future generations taken into account? See criteria below. Best Practice and gaps of cross-cutting programmes Are there any best practice programmes or projects which aim to combine all aspects of sustainable development Is it useful to assess whether sectoral research programmes address all aspects of sustainability? Are there important issues that are not being addressed?
62

Group 2: The sectoral programmes General questions What criteria are used to assess the impact of the programme towards the aims of sustainable development, in particular the threat addressed within the programme? What mechanisms are used for selecting the projects within the programme? Assessment of the integration To what extent do the sectoral programmes combine the different aspects of sustainable development: environmental, social and economic elements? This question should use the list of criteria listed below. Process assessment How is programme design managed and how are issues such as inter-disciplinarity, involvement of stakeholders and the need of future generations taken into account? See criteria listed below. Best Practice and Gaps Are there any best practice programmes or projects which aim to combine all aspects of sustainable development Is it useful to assess whether sectoral research programmes address all aspects of sustainability? Are there important issues that are not being addressed?

The criteria to be used

The criteria are to be used for questions above. The assessment of sustainable development research programmes should address three issues: the programmes contribution to coping with the threat which it has set out to address the way the programme addresses more than one of the pillars of sustainable development (environmental, social, economic) the process and design of the programmes.

Criteria regarding the main programme objective related to SD The programmes should be assessed as to their capability of addressing the main threat(s) to sustainable development they relate to (for the sectoral programmes) or of addressing sustainability in general terms (for the cross cutting programmes). The criteria to be used are kept fairly open in order to be able to take into account the diversity of approaches in Member States. - Does the programme address any of the threats to SD specifically and explicitly? Or does it refer to SD issues in general terms only (take Table 4.1 as a first orientation of SD related themes)? - Which aspects of a threat are addressed in the programme? Which ones are missing (as compared to the Commissions definition (see introduction or section 3.2)? Which of the specific sub-themes of the threat addressed are dealt with in the programme? Are they dealt with in other programmes? What links do exist with other programmes that address certain aspects of the threat in question?
63

Criteria for integrating the three pillars of sustainable development The programmes should be assessed as to their capability of addressing more than one pillar of sustainable development. This means that if a programme has been identified as focusing on an issue contained in one of the pillars, it should be assessed as to whether it also takes into account issues in the remaining two. The following table can be used for orienting purposes, what typical issues in the different pillars of SD might be. In practical terms: Taking the set of programmes identified in Phase 2 as our starting point, we would ask the following questions to each of them: In how far does the programme address issues in the other two pillars of SD (see Table 4.1), in addition to the main SD related theme it has been designed to deal with? And how is this achieved? OR SIMPLY In how far does the programme integrate issues from the three pillars of sustainable development (see Table 4.1), and how does it achieve this in operational terms?

Table 4.1 Issues For the Sustainability Appraisal of National Policy Initiatives

Environment
Renewable Resources (forests and Public Health biomass, agricultural soils and areas, fish stocks, fresh water resources such as surface waters, groundwater and fossil waters, as well as biodiversity and genetic resources - use rate should not exceed the rate of their regeneration)
use range of non-renewable resources, such as fossil energy resources, minerals and metals)

Social

Economic
Human Capital Formation and Employment

Non-renewable Resources (maintain the Education

Innovation (increasing the ability of EU firms and institutions to generate and utilise new knowledge, to introduce and diffuse new saleable products and services, as well as, improve existing ones) International Performance Market Structure (general framework for economic activity, conditioning the behaviour of economic agents and their performances) Economic and Social Cohesion Market Mechanisms (creating the normative and regulatory conditions for the improvement of market efficiency; facilitating the movement and efficient allocation of production factors; favouring fair and free competition both within the Union and with economies outside the Union) Income Growth (to generate and selffinance a balanced and stable increase of wealth, with a permanent attention to the maintenance of free and open market competition) Price Level and Stability

Regeneration Capacity of the atmosphere Carrying Capacity of Water and Soils

Liveable Communities Equality of Opportunity and Entitlement Culture International Co-operation

Waste production Risks with Potentially Catastrophic Consequences

Landscape (landscapes of individual

character and beauty and the cultural heritage should be protected)

Environmental Health Environmental Information and Management Systems

Based on: IAstar Report "A Methodology for Appraising the Sustainability Implications of EC initiatives - The Integration of Economic, Societal and Environmental Aspects" ESTO-Project

64

Criteria for assessing the process Timeframe and scope of the programme Does the programme take the long term perspectives of sustainable development research into account? How does the programme take these long term perspectives into account? Does the programme consider the global dimension or does it just consider the impacts of the research on one level (regional, national, European)? How does it achieve the integration of different levels? Inter-disciplinarity and stakeholders Is the programme inter-sectoral and interdisciplinary or is it based in a single discipline? Which different disciplines/sectors are included? Are a broad range of stakeholder involved in the development of the programme? Does this include social actors? Which stakeholders are involved in developing the programme? Which stakeholders are involved in selecting the projects? Will a broad range of addressees be addressed by the results of the research (multi-actor target audience)? Who are they? Does the programme encourage a transfer of knowledge? How is the transfer of knowledge achieved? Aspects of programme design Is the precautionary principle taken into account in the design of the programme? How is the precautionary principle taken into account in the programme design? Does the programme aim at improving existing practices or at inducing radical changes? How is the radical nature of the research implications ensured?

65