2. Impact of foresight on innovation policy-making
Policy challenges: why to conduct foresight meantime, accountability — why to spend tax-
payers’ money, on what — has become even
A number of technological, economic, societal, po- more important in democratic societies. Public
litical and environmental trends and developments R&D and innovation expenditures are also subject
affect all countries as well as most policy domains. to these demands.
In order to deal with the challenges associated to • Policy-makers also have to deal with intensifying
these developments, a new culture of future-oriented social concerns about new technologies. This is
thinking is needed. This applies also to policy- the case, for instance, for ethical and safety con-
making processes, which can be assisted by fore- cerns related to biotech or nuclear technologies,
sight in various ways. Foresight stresses the possibil- and fears of unemployment and social exclusion
ity of different futures (or future states) to emerge, caused by the rapid diffusion of other new tech-
as opposed to the assumption that there is an already nologies, e.g. information and communications
given, predetermined future, and hence highlights technologies.
the opportunity of shaping our futures.1 Further, it • Even the credibility of science is somewhat fad-
can enhance flexibility in policy-making and imple- ing. Scientific research no longer stands for ‘true’
mentation, broaden perspectives, and encourage in itself. The ‘objectiveness’ of policies based on
thinking outside the box (‘think of the unthinkable’). scientific research is questioned (by citizens, in-
The increasing number of foresight programmes terest groups, etc.) as scientists themselves are
suggests that foresight can be a useful policy tool in known to have different opinions and come to dif-
rather different innovation systems. As a large body ferent conclusions on the same issue.
of literature analyses this surge,2 the major factors
explaining the diffusion of foresight can be summa- Beside the above trends, there are other specific,
rised here in a telegraphic style: policy-relevant, methodological reasons to apply
foresight. It can offer a vital input for ‘quantum
• Given the significance of globalisation, sweeping leaps’ in policy-making in various domains. Usually
technological and organisational changes, as well policies evolve in a piecemeal way, in incremental,
as the ever-increasing importance of learning small steps, without paying sufficient attention to
capabilities and application of knowledge, our fu- changes in the environment.
ture cannot be predicted by any sophisticated The parable of the boiling frog illustrates this
model in a sufficiently reliable way. History also point ‘vividly’: put a frog in a cooking pot with cold
teaches us valuable lessons about the (im)possibi- water, and start heating the water. The frog will not
lities of planning and predicting the future. There- jump out, because it is not alerted by the slowly
fore, flexibility, open minds for, and awareness of, rising temperature: it boils alive.
possible futures are inevitable. Diversity is crucial From time to time, however, a more fundamental
in terms of possible futures, differentiating analy- rethinking of policies is needed: policy-makers oc-
ses, as well as diversity in searching for solutions casionally need to ask if current policies can be con-
and identifying policy options. tinued. Do they correctly realise and react to trends,
• More attention is required to develop a number of and hence are they blocking or slowing down nega-
skills, relapsed by Fordist mass production para- tive trends and accommodating favourable future
digms and large bureaucratic machineries, such as developments? Foresight can help in picking up
creativity, problem-solving, communication and weak signals: weak but very important hints that a
co-operation skills in multidisciplinary, multicul- fundamental re-assessment and re-alignment of cur-
tural teams. New forms of co-operation (e.g. clus- rent policies are needed. In other words, foresight
ters, innovation networks) have become a key can serve as a crucial part of an early warning sys-
factor in creating, diffusing and exploiting knowl- tem, and it can be used as an instrument for an adap-
edge and new technologies, and therefore in satis- tive, ‘learning society’.
fying social needs and achieving economic In sum, participative, transparent, forward-
success. looking methods are needed when decision-makers
• As for policy-making itself, there is a widening are trying to find solutions for the above challenges.
gap between the speed, complexity and uncer- Foresight — as a systematic, participatory process,
tainty of technological and socio-economic collecting future intelligence and building medium-
changes, on the one hand, and of the ability to de- to-long-term visions, aimed at influencing present-
vise appropriate policies, on the other. Under day decisions and mobilising joint actions — offers
these circumstances, the precautionary principle an essential tool for this endeavour (Gavigan et al,
and longer-term considerations are bound to gain 2001). It helps in making choices in an ever more
a growing attention in guiding policy-making complex situation by discussing alternative options,
processes. bringing together different communities with their
• Given the growing political and economic complementary knowledge and experience. In doing
pressures, governments try hard to balance their so, and discussing the various visions with a wide
budgets, while cutting taxes. Hence, they need to range of stakeholders, it also leads to a more trans-
reduce public spending relative to GDP. In the parent decision-making process, and hence provides
92 Research Evaluation June 2010
3. Impact of foresight on innovation policy-making
a way to obtain public support, and makes the character of the object of policy — which strongly
implementation of policies smoother. applies in the case of innovation policy — it is now
widely recognised that there is neither a clear-cut
recipe for nor an overarching theory of policy-
From technology foresight to integrated making (OECD, 2005). From a different angle, we
policy strategies should acknowledge a fervent need for continuous
adaptation and re-adjustment of policies and related
In the 1960s, government policies in relation to re- instruments. (Carlsson et al, 2006)
search and technology had predominantly been in- More recently, it has been recognised that the ef-
spired by an approach that is often labelled today as fectiveness of policy depends also on the involve-
‘picking winners’: promising sectors and large play- ment of a broader range of actors than those
ers had been selected as being of particular public or formally in charge of policy decisions. The concept
strategic interest and been thus favoured by financial of distributed policy-making and intelligence
and other types of support. With the recognition of (Kuhlmann, 2001) draws our attention to various
the limitations of governments’ ability to actively policy practices relying extensively on the knowl-
plan and shape future developments in an efficient edge, experience and competence of stakeholders.
and fully informed manner, the late 1970s saw the From this network perspective, policy-making is not
emergence of a new paradigm in research, tech- just about government, but also about the joint im-
nology and — then also — innovation policies, which pact of public and private decision-making on soci-
were characterised by a focus on shaping framework ety’s course of change and the interactions that
conditions that are conducive to innovation. This precede formal decision-making. For government
‘hands off’ approach has subsequently evolved into policies to be effective, this implies a need for the
what is nowadays called the systems approach to participation of stakeholders. Further, the role of
R&D and innovation (RTDI), which not only deals government is shifting from being a central steering
with framework conditions, but also with the institu- entity to that of a moderator of collective decision-
tional and structural settings of innovation systems making processes.
(Dosi, 1988; Edquist, 1997; Freeman, 1991, 2002; With such an open and distributed model of
Fagerberg et al, 2005). In line with these concepts, policy-making in mind, it is now increasingly recog-
the 1990s were also characterised by a great reluc- nised that an opening of political processes is neces-
tance of governments to prioritise research themes sary to ensure the robustness and the effectiveness
and select technologies in a top-down manner. of its outcomes. This is also reflected in the
In recent years, we can observe a shift in policy- EC’s White Paper on Governance (EC, 2001),
making practices from shaping framework condi- stressing five principles of good governance: partici-
tions and structural settings towards strategic pation, accountability, openness, effectiveness, and
decision-making: STI policies give again the the- coherence.
matic portfolio of a country or region a greater The aforementioned shift of policy-making ap-
weight and pay more attention to long-term perspec- proaches is reflected in the evolving practices of
tives. However, the growing complexity of innova- foresight. Foresight processes bring together not
tion processes is also recognised, by stressing the only experts, but also decision-makers from re-
bottom-up component of networking and clustering search, industry, policy-making and representatives
as important instruments for enhancing the innova- of the affected social groups. Thus, a shared under-
tive performance in emerging areas of specialisation standing of current problems, goals and development
(OECD, 2002). options can be expected to emerge among those ac-
Similar to this shift in approaches to innovation tors that have an important role to play in shaping
processes, there has been a shift in the conceptual the future. This converging understanding of the
understanding of policy processes. Taking into ac-
count insights from strategic planning and complex
social systems thinking, recent developments in pol-
icy-making processes are stressing interactions,
learning, and the decentralised and networked char- Foresight processes bring together not
acter of political decision-making and implementa- only experts, but also decision-makers
tion (Smits, 2002; Smits and Kuhlmann, 2004).
Initially, the prevailing technocratic and linear pro- from research, industry, policy-
cess models of policy-making (e.g. in terms of making and representatives of the
‘formulation–implementation–evaluation’ phases) affected social groups. Thus, a shared
had been replaced by cycle models, where evalua-
tions are supposed to feed back into the policy for- understanding of current problems,
mulation and implementation phases. Already in goals and development options can be
these cycle models, policy-learning is seen as an expected to emerge
essential ingredient of policy governance. However,
in view of the complexity and the ever-changing
Research Evaluation June 2010 93
4. Impact of foresight on innovation policy-making
issues at play is likely to contribute to an improved • Policy advisory function (strategic policy counsel-
coherence of the distributed decisions of these ac- ling), supporting the definition of policies by
tors, in line with the shared mental framework de- merging the insights generated in the foresight
veloped jointly during a foresight process. In other process with perceptions of the strategic position-
words, the future is being shaped by aligning expec- ing and options of individual actors in the policy-
tations and thus ‘creating’ a self-fulfilling prophecy. making context and transmit them into new policy
These so-called process outputs are often regarded concepts. In other words, beyond providing in-
as more important than the actual substantive (or formation, policy advisory work aims at interpret-
tangible) outputs like reports, list of priorities and ing these pieces of information against the
recommendations.3 background of the strategies of individual policy-
Most recently, we can observe an increasing in- making entities, and at translating them into new
terest in foresight activities that aim at supporting policies.
strategy formation both at collective level and at the • Policy-facilitating relates to the function of a
level of individual organisations, for example, foresight exercise as a systemic instrument (Smits
‘adaptive foresight’ (Eriksson and Weber, 2008), or and Kuhlmann, 2004), that is, an instrument that
‘sustainability foresight’ (Truffer et al, 2008). This complements traditional steering approaches. Col-
interest is fuelled by the recognition that there is a lective learning processes take place through the
‘translation problem’ apparent in foresight ap- provision of learning interfaces, by stimulating
proaches that predominantly rely on broad participa- the development of common visions and by sup-
tory processes, namely the translation of shared porting the establishment of a specific infrastruc-
collective problem perceptions and visions into ac- ture of distributed intelligence. Hence, foresight
tual decisions of individual actors and organisations. may facilitate policy implementation in increasing
From this perspective, foresight can be interpreted as the responsiveness of the system to certain poli-
an integral element of networked and distributed cies (Da Costa et al, 2008: 373), current dynamics
policy-making by providing three crucial functions and future developments as well as creating new
(Da Costa et al, 2008; Eriksson and Weber, 2008; networks and visions among stakeholders.
Weber, 2006), which — in line with the network-
type distributed model of policy-making processes Against this background, it is now possible to sum-
— are provided simultaneously rather than in dis- marise the potential policy impacts of foresight, by
tinct phases: drawing first of all on the three main functions of
foresight in relation to policy-making processes
• Policy-informing by generating codified informa- (Figure 1), second on the range of impacts that have
tion and consolidated findings concerning the dy- been assigned to foresight in the corresponding lit-
namics of change, future challenges and options, erature, and third on the time lag, at which an impact
and transmitting these to policy-makers as inputs occurs4 (Table 1).
into policy conceptualisation and design. The in-
clusion of a high variety of stakeholders into the
discourse, their linking among each other and the Innovation policy and foresight
inducement of individual learning and interpreta-
tion processes play an important role here. This Similar to foresight, innovation is a horizontal,
function is an important motivation for policy- cross-cutting policy matter that affects developments
makers to initiate a foresight programme. and performance in many other policy domains,
Policy
Policy informing facilitating
function function
Open participation
Discourses Policy advisory
Joint visions/scenarios Facilitate implementation
function & realisation
Mobilisation (Strategic policy Co-ordinated/joint actions
counselling)
Internal processes
Interpretation
Individual strategies
Figure 1. Policy-related functions of foresight
Source: adapted from Eriksson and Weber (2008)
94 Research Evaluation June 2010
5. Impact of foresight on innovation policy-making
Table 1. A framework to classify the impacts of foresight activities
Function Time lag Targeted and/or unintended impact
Informing Immediate • Increased recognition of a topic area
• Individual learning: awareness of science, technology and innovation options among players,
fostering debate
• Context and views of other stakeholders become clearer
• Foresight skills are developed in a wider circle
• New network options through dialogues in new combinations of experts and stakeholders, shared
understanding (knowledge network)
Intermediate • Realisation and continuation of established common understanding
Ultimate • Integrating able new actors and their views and inputs into the community that is shaping an area of
concern
Advisory Immediate • Making hidden agendas and objectives explicit
• Effective actions taken
Intermediate • Devising recommendations and identifying options for action
• Activating and supporting fast policy-learning and policy-unlearning processes
• Identify hidden obstacles to the introduction of more informed, transparent, open participatory
processes to governance
Ultimate • Influence on (research/ policy) agendas of actors, both public and private (as revealed, for instance,
in strategies and policy programmes)
• Formulation and implementation of new policies
• Incorporating forward-looking elements in organisations’ internal procedures
Facilitating Immediate • Initiating collective learning processes
• Articulation of common visions of the future, establishing longer-term perspectives
• Awareness of systemic character of change process
Intermediate • Formation of action networks
• Creation of follow-up activities
• Development of new projects
Ultimate • Adoption of foresight results in the research and teaching agenda of organisations as well as in
various disciplinary matters
• Increasing the coherence of policies
• Cultural changes towards longer-term and systemic thinking
Source: AIT, building on Cassingena Harper and Georghiou (2005); ForSociety (2007); and PREST (2006)
most notably energy, environment, transport, re- 2. The formation of policy strategies must be seen as
gional development, industrial change, health, and a continuous, interactive learning process (Met-
education. These policies, in turn, can have signifi- calfe and Georghiou, 1998).
cant impacts on innovation processes and innovation
performance, too. This implies that the requirements From this perspective, foresight on innovation policy
of these policy domains need to be taken into ac- issues can be interpreted as a systemic co-ordination
count in innovation policy and vice-versa. The mechanism that mediates not only between policy
growing interdependence of policy areas is one of actors and different stakeholder communities, but
the motivations for stressing the need for better pol- also between different policies (and their respective
icy co-ordination with respect to innovation-related stakeholders) affecting innovation. In other words,
issues (OECD, 2005), and it has been one of the foresight activities contribute to an infrastructure of
drivers behind the emphasis put on systemic innova- distributed intelligence that is enabling the whole
tion policy instruments in order to complement clas- system to better address future challenges, and espe-
sical policy instruments for fostering innovation cially also link RTDI processes more closely to
(such as direct R&D subsidies) by less conventional socio-economic needs by offering a forum for ex-
ones (such as regulation, public procurement as well change between RTDI demand and RTDI supply
as measures to strengthen knowledge diffusion). perspectives. It is also reckoned that foresight actors
Systemic instruments are meant to enhance the ca- develop a stronger inclination towards long-term
pability of innovation systems for self-organisation. thinking and obtain relevant knowledge for their
These insights also contributed over the past two internal strategic planning. As a consequence, com-
decades to the emergence of a more ‘humble’ per- bining foresight with the establishment of other stra-
ception of what policies can actually deliver with tegic intelligence instruments helps ensure the tight
respect to innovation: embedding of forward-thinking into processes of
policy-learning.
1. Policy-makers cannot be seen as perfectly in- These observations stress the potential for syner-
formed social planners, but at best as mediators gies between innovation policy and foresight, but
and initiators of collectively negotiated decisions; the actual effectiveness of foresight for innovation
and policy depends to a significant extent on its neat
Research Evaluation June 2010 95
6. Impact of foresight on innovation policy-making
embedding in the innovation system and the wider thorough, well-designed foresight process can help
policy context. Subsequently, four important dimen- in striking a balance between short- and long-term
sions of this ‘contextualisation’ shall be briefly dis- issues.
cussed: governance culture, policy attention, socio-
economic dynamics, and resource availability. Policy attention
Governance culture Still, the governance culture alone does not explain
major differences in the effectiveness of foresight. In
In countries that already have a set of well- countries with a highly developed innovation policy
elaborated innovation policies in place, these tend to culture, the importance of foresight as compared to
be underpinned by an array of strategic intelligence other instruments depends very much on its position-
instruments, ranging from innovation research, ing and the support obtained from high-ranking pol-
project- and programme-monitoring to impact as- icy-makers. The impacts of the first British foresight
sessments and evaluations. Within this portfolio, programme were not least due to the high-level of
foresight often acquires a special role to inform dis- policy attention it received, and to the close link to
cussions, support strategy formation and facilitate the responsible minister’s office. In Sweden, the ex-
the implementation of policies, but its influence on istence of a range of other, well-developed policy
innovation policy depends on the role and ‘weight’ support mechanisms made foresight just one instru-
of the other instruments in innovation policy intelli- ment among others, and without gaining priority,
gence and learning. This kind of situation is charac- foresight had much less room for impact. The inno-
teristic of most Western European countries, where vation policy foresight by the City of Vienna was
more or less differentiated governance mechanisms closely tied to a process of repositioning its STI pol-
have been established to develop, monitor and re- icy, even if this close link may not have been in-
orient public policies. In countries where the innova- tended right from the outset (Weber et al, 2009).
tion policy culture is less developed, such as in most However, one should also note the risks involved in
transition economies, in developing and/or industri- a close link with, and attention of, policy-makers.
alising countries, foresight as a participatory ap- Policy attention is often closely tied to issues that are
proach can be much more disruptive and visible in high on the policy agendas; a situation that may give
contributing to the co-ordination of policies and ac- rise to ‘re-interpretation’ of foresight results in order
tors, not the least due to the absence of other intelli- to make them fit political purposes rather than an
gence tools. open-minded discourse about future challenges and
Obvious examples for such countries are most of options. The framing of a foresight programme, for
the Central and Eastern European (CEE) countries, example, in terms of time horizon, objectives and
newly independent states (NIS) and a number of de- ownership, is crucial to ensure the right balance be-
veloping countries. Foresight seems to have the po- tween attention and openness.
tential to structure catching-up processes, to Policy attention in emerging economies means the
assemble new actors, integrate them into consensus- introduction of a new decision-making culture, along
oriented dialogues and thereby effectively support with a new way of thinking, with more emphasis on
policy-learning and ‘unlearning’ processes. More- communication, co-operation, consensus among the
over, it provides the ground for setting up and ex- major stakeholders, and in the end joint commit-
ploiting the potential of other intelligence tools by ments to take action and determined implementation
contributing to the shaping of an innovation and of policy recommendations.
strategy culture.
Foresight can also contribute to tackling another Socio-economic dynamics
governance challenge of emerging economies: most
of them are struggling with ‘burning’ short-term The timing of a foresight exercise is also very im-
issues — such as pressures on various public ser- portant for the contribution it can make to innova-
vices, for example, health care, education, pensions tion policy. In countries that are facing major
and thus severe budget deficit; imbalances in current structural changes and expecting new developments
accounts and foreign trade; unemployment; etc. — to emerge in the coming years, the need for orien-
while faced with a compelling need for fundamental tation and forward-looking information is much
organisational and institutional changes in their gov- more pressing than in countries that are in a com-
ernance systems. Short- and long-term issues com- paratively stable economic and social development
pete for the same resources: capabilities (intellectual phase. The transition economies in CEE countries
resources for problem-solving); attention of politi- are examples (Havas, 2003; Havas and Keenan,
cians and policy-makers who decide on the alloca- 2008), as well as many industrialising countries
tion of financial funds; and attention of opinion- (Johnston and Sripaipan, 2008; Popper and Medina,
leaders who can set the agenda (and thus influence 2008). However, also in the so-called advanced
discussions and decisions on the allocation of countries, characterised by apparently stable socio-
funds). These intellectual and financial resources are economic structures, foresight can be highly rele-
always limited, thus choices have to be made. A vant to discuss alternative futures. In the light of
96 Research Evaluation June 2010
7. Impact of foresight on innovation policy-making
strong pressures stemming from globalisation and The impact of foresight on policy
major social and techno-economic forces, quite
fundamental structural changes are required (in Assessing the impact of foresight in the context of
terms of business practices, economic structures innovation policy
and incentive mechanisms, skills development, atti-
tudes, etc.), but are difficult to introduce due to The assessment of impacts of foresight must rely on
strong path-dependencies inherent in the dominant a consolidated understanding of the policy processes
techno-economic regimes. it is embedded in, taking into consideration the three
functions outlined above. The policy-informing
Resource availability function has been highly stressed among foresight
experts. However, the first attempts to grasp not
Closely related to the dimension of socio-economic only the direct but also the indirect impacts of fore-
dynamics, the availability of resources can re- sight exercises on government policies have been
inforce the interest in, and the impact of, foresight. made only relatively recently (Amanatidou and Guy,
Economic standstill or recession tends to lead to 2008; Da Costa et al, 2008; Georghiou et al, 2008).
resistance to change and makes it very difficult to The empirical basis on which to draw is thus rather
allocate resources to future-oriented activities. Yet, scarce. The analysis can only be based on the
even under such unfavourable circumstances, evaluation of four recent foresight exercises (see
shared visions can reduce uncertainty, facilitate Table 2), namely the second rounds of the UK and
priority-setting or at least the acceptance of the Swedish foresight exercises, the eFORESEE project
need for priority-setting, and thus lead to a more in Malta, and the experience with the Hungarian
effective use and exploitation of scarce public foresight exercise (TEP), with a fifth evaluation —
money. Moreover, foresight can also contribute to the one of the German Futur process — not being
finding ways out of the recession by identifying publicly available.5
new opportunities. As regards the various functions of foresight, little
Foresight is costly in terms of time and money is known so far in terms of impact assessment. While
in general, and this can be a decisive factor for the policy-informing function is generally acknowl-
emerging economies, in particular. Further, ad- edged (though little hard evidence provided), the
vanced countries regularly conduct foresight pro- policy-counselling and -facilitating functions are still
grammes, and their reports, Delphi-survey results, comparatively novel concepts, and have thus not yet
etc. are readily available. Yet, this should not pre- been subject to deeper investigations.
vent emerging economies from conducting their own In this article, we rely on several evaluation re-
foresight programme; on the contrary, it can be a ports when analysing the impacts foresight pro-
very useful tool for these countries, too. Only a grammes with respect to the three main functions of
national programme can position a country in the foresight: policy-informing, policy-counselling, and
global context and stir dialogues on how to react to policy-facilitating. Some key issues resulting from
major S&T, business, societal and environmental this analysis of assessment results are discussed
trends. Similarly, strengths and weaknesses of a thereafter; first from a country-specific and then
given country would not be discussed by others’ from a cross-cutting perspective, to highlight those
programmes, let alone broad socio-economic issues. contextual factors that strongly influence the likeli-
Process benefits cannot be achieved without a hood of having an impact on policy (or not).
national programme, either.
The horizontal nature of both innovation (policy) Assessment of the policy-informing function
and foresight, and the embedding of foresight in its
wider socio-economic and political context as cap- In a ‘textbook’ case, foresight programmes produce
tured by the above four dimensions are key aspects codified information and knowledge in the form of
to be taken into account when discussing the impact reports and recommendations, which can be imple-
of foresight, and its likely future(s). mented immediately. These provide a ‘reservoir of
Table 2. International foresight activities and their evaluations
Country Dates of foresight Date of evaluation Years in between Public R&D expenditures
process report/analysis (2003, % of GDP)
Hungary 1997–2001 2004 3 0.62
Malta 2002–04 2005 1 0.19
Sweden 2002–04 2005 1 1.02
UK 2002–now 2006 0 0.68
Source: AIT, public R&D expenditures from the European Innovation Scoreboard 2005
<http://trendchart.cordis.lu/scoreboards/scoreboard2005/docs/EIS2005_database.xls>
Research Evaluation June 2010 97
8. Impact of foresight on innovation policy-making
knowledge’, available for policy-makers for several and thus these results tend to shape decisions only
years. The contents of these reservoirs irregularly with some delay — although there are exceptions
find their way as active inputs in the political dis- from this general tendency, such as the case of
course, either through personal networks or simply Technology Foresight Ireland (ICSTI, 1999). Sec-
because there are conclusive findings directly avail- ond, the negotiation and bargaining processes asso-
able when policies are being conceptualised (Geor- ciated with policy formation, interpretation, and
ghiou et al, 2004: 5). implementation also take their time and lead to a
The quality of the reports produced during the decelerated perception of actual foresight impacts
foresight exercise is crucial. Trust in the reports, and (PREST, 2006: 17). This holds for both the products
thus their legitimacy as foundation for policy deci- and the process benefits of foresight.
sion, increases if: The situation is slightly different in those cases
where foresight elements are closely linked to pol-
1. High-level independent experts are involved and icy-formation processes, such as in the context of
carry the exercise (e.g. in the UK); the Dutch Transition Management experiences
2. The exercise is highly inclusive in terms of par- (Kemp and Rotmans, 2005), or the review of the
ticipation, that is, a large number of interested and technology and innovation policy strategy of the
informed people is integrated (e.g. Malta). In or- Austrian Federal Ministry for Transport, Innovation
der to achieve this, foresight may need to be done and Technology (BMVIT, 2006). In these cases,
in parallel at different levels, with different cus- the impact on policy formation is quite immediate,
tomers (Arnold et al, 2005: 33). but they require a balance between open participa-
3. If reports are based on panel discussions, the tory phases and closed internal phases of strategy
choice of the panel members, which consequently formation.
strongly determines the outcomes of the entire
foresight programme, has to be transparent. Assessment of the policy-facilitating function
4. The information provided in the reports must not
be perceived as party-political or partial, as this Other impacts from foresight exercises, which can
clearly impairs the confidence in their quality. be subsumed under the policy-facilitating function,
are the initiation of collective learning processes, the
The informing function also manifests itself in indi- formation of (action) networks or the development
vidual learning processes induced by the foresight of new projects.
exercise. These are adaptations of mind-sets through However, very little is known about how partici-
a better understanding of the contexts and conducts pants of a foresight process adapt to each others’
of other stakeholders in the foresight process. Indi- views and backgrounds because of the foresight
vidual learning processes take place at the interface process and to what extent their awareness of inter-
of various communities with different cultures, vo- linkages of systems increases (Wilhelmer et al,
cabularies, processes and time-scales. To isolate the 2010). Furthermore, there is little knowledge about
contributions of a foresight process to individual the continuing contact of stakeholders after the end
perception and interpretation is not realistic. Radical of a foresight project.
adaptations of mind-sets may be reproduced, the
sum of marginal realisations throughout the process In Sweden, at the individual level nearly every-
are barely noticeable and not measurable (see also one enjoyed participating in TF2 and considered
Da Costa et al, 2008: 371). it a great learning experience … Personal net-
works were greatly expanded, in a number of
Assessment of the policy advisory function cases participants also argued that this would
(strategic policy counselling) boost their careers. (Arnold et al, 2005: 30)
There are obvious difficulties in assessing the policy
advisory function as the transmission of personal
realisations and conclusions derived through a fore-
sight process to the conceptualisation and implemen- There are obvious difficulties in
tation of policies is clearly marked by frictions. assessing the policy advisory function
Therefore, the evaluation of impacts of foresight
exercises on the formulation of policies is difficult. as the transmission of personal
The most obvious difficulty is the time lag between realisations and conclusions derived
the foresight exercise and the emergence of results through a foresight process to the
in the form of policy decisions. The impacts of fore-
sight activities on policy-making are likely to occur conceptualisation and implementation
and become visible only some time after the fore- of policies is clearly marked by
sight process for several reasons. First, it often takes frictions
time to absorb new knowledge (ways of thinking,
approaches and solutions to policy problems, etc.),
98 Research Evaluation June 2010
9. Impact of foresight on innovation policy-making
The adherence of distinct networks on the whole,
Box 1. A selective overview of policy impacts in the UK
formed during the foresight process, seems to de-
pend to a great extent on financial support provided The second round of foresight in the UK was organised in
after the end of foresight exercise; see for example different projects, which vary considerably in their impacts
the UK case. on policy-making. This can be shown by drawing on the
diversity of experiences made in the different exercises:
Special features of the evaluation of recent foresight
exercises
• The foresight project on cognitive systems (CS) was not
intended to directly exert influence on policy (other than
The second foresight round in the UK The evalua- research policy, by offering funds for cross-disciplinary
tion report of the second UK Foresight round, proposals building on the CS project) (PREST, 2006: 37).
launched in 2002, has identified two major immedi- • The flood and coastal defence project was used heavily
to inform the sponsoring ministry’s (Defra) long-term
ate effects: the increased recognition for the topic strategy on flooding. As a result, it has provided to be a
area, and new combinations of experts and stake- map for Defra to use in policy development and decision-
holders brought together. Both may be attributed to making. Furthermore, HM Treasury stressed the
important contributions of the project for the Spending
the policy informing function (PREST, 2006: Review (SR) 2004, which ensured the high level of
17–19). funding for flood management allocated in SR 2002
Intermediate effects have included the articulation (PREST, 2006: 43–45).
of visions of the future, as well as recommendations • The project on cyber trust and crime prevention (CTCP)
and options for action. These have been achieved has impacted on government policy-making in various
ways: a workshop has been organised relying on the
through the reports generated by the various projects scenarios of CTCP; the project has contributed to the
sponsored by the 2002 UK foresight round and may definition of fraud and to the Cabinet Office’s Strategy for
be mentioned under the policy-informing and Information Assurance. The Department of Trade and
Industry (DTI) Innovation Group’s recent priority on cyber
-advisory function. A third intermediate effect is the security presumably relies to a large part on CTCP.
formation of action networks, pointing towards im- However, some interviews suggest that the policy impacts
pacts in terms of the policy-facilitating function. of CTCT may be limited or delayed due to factors outside
CTCP e.g. the turnover of the responsible minister
Ultimate effects have included influence on re- (PREST, 2006: 49–51).
search agendas of both public (the UK Research • The foresight project on exploiting the electromagnetic
Councils, UK government policy) and private actors spectrum (EEMS) has assessed this research field in
(industry), and may be observed in particular in terms of possible commercialisation. It has exerted some
terms of the policy advisory function. Impacts of the influence on the calls of the research councils and of the
DTI’s technology programmes, but foresight in general is
foresight exercise on the public domain are evident just one of the many inputs DTI uses to identify areas to
in the stimulation of new areas of work within exist- support. Yet, the response from the community to the
ing programmes, rather than the formulation of calls has been below expectation, suggesting that it is an
area not yet ready for commercialisation (PREST, 2006:
whole new programmes. Ultimate effects are a lot 56–58).
more difficult to trace in the private sector than in • The project on brain science, addiction and drugs (BSAD)
the public sector for two reasons. First, the private had identified contradictions in the current policy, with
sector features less prominently in the 2002 round of repercussions on possible future developments. The
responsible ministry has already used the outputs.
the UK foresight. Second, foresight impacts on in- H th j t l h d i 2005 th
dustry do not manifest themselves in publicly acces-
sible documentation. What remains is anecdotal
evidence of participants from industry that foresight textual modifications or inputs in the National De-
activities are perceived as successful and interesting velopment Plan (NDP), a specific reference and
events (PREST, 2006: 18–19). follow-up activities in the NDP, resulting from the
foresight exercise. With respect to policy facilitat-
eFORESEE in Malta The 2002–2004 foresight ing, the objectives were, first, the development of
exercise in Malta was conducted in the context of a thorough action plans, bringing to the table the main
political system undergoing fast changes in the criti- visionaries and strategic planners in Malta in the
cal phase of pre-accession to the European Union. form of a ‘core group’, and second, the formation of
The assessment of the exercise revealed that the par- new public–private partnerships that would take
ticularly visible impacts are related to Malta’s action on business opportunities identified via this
Knowledge Futures in ICT and Education Pilot. The exercise.
main targeted output in this case was a vision of A process analysis has concluded that the objec-
Malta in 2010. Furthermore, the pilot used five well- tives have been met, the main policy development
identified success criteria as objectives and measures being the launch of an updated RTDI Strategy
of achievement. (2003–2006) and its implementing tool, the RTDI
In the domain of policy-informing, the objectives programme. The foresight exercise has been instru-
were to develop high-quality scenarios worthy of mental in identifying the key weaknesses in the
publication and the involvement of new actors be- national system of innovation, which, in turn, have
yond the established players in the field. Concerning been targeted by the RTDI programme (Cassingena
policy-advisory work, the objectives were to identify Harper and Georghiou, 2005: 94–97).
Research Evaluation June 2010 99
10. Impact of foresight on innovation policy-making
Several major unforeseen impacts that came to the changes: establishing longer-term perspectives and
fore during the implementation phase have also been introducing greater inter-disciplinarity were the ef-
identified (Cassingena Harper and Georghiou, 2005: fects, which stood out in their rating of importance.
99–101): Both effects may be interpreted as part of the policy-
informing function, the first effect also as part of the
• Activation and support of fast policy-learning and policy-facilitating function. However, the effects
policy-unlearning processes. achieved in terms of the original objectives were
• Engaging able new actors and integrating them in seen as quite weak, particularly influencing the re-
a consensus-oriented dialogue. search directions of industry or the public sector. It
• Identification of hidden obstacles to the introduc- also had an effect on the climate of thought as it in-
tion of more informed, transparent, open, partici- troduced longer-term holistic thinking in a period
patory processes to governance. when the country was dominated by a short-term
• A shift from the original, formal set of objectives agenda (partly because of economic challenges but
to the informal or societal goals, which also also as an opposition to central planning in the past)
formed part of the task. The shift was made when (Georghiou et al, 2004: 4–7).
it became clear that in order to achieve the origi- With respect to policy advisory work, the effects
nal objectives socio-cultural goals had also to be of the Hungarian foresight on public policy are ap-
addressed. parent now, but they took much longer than ex-
• Increased awareness of science, technology and pected to materialise (Havas, 2003). The process
innovation policy concerns among local players. behind this materialisation was a ‘slow and non-
This impact was accelerated as the exercise was linear process’ (Georghiou et al, 2004: 5). In various
highly inclusive and sought to engage actors at all policy domains (e.g. strategic documents by the
levels (strategic players, politicians and policy- Prime Minister’s Office, transport policy, the
makers as well as experts in the fields of social national health programme, environmental policy, IT
and natural sciences). policy) statements, recommendations, sometimes
• Increased awareness has been generated of the exact passages, reflect the exploitation of TEP re-
need for consensus-building approaches in long- sults. It seems that the ‘reservoir of knowledge’ cre-
term vision-setting exercises if the policies are to ated by TEP unevenly entered the policy-making
prove sustainable. processes, either through personal networks or sim-
• Spin-off foresight activities in various fields, as ply because there was a conclusive text available
some of the panel members responded proactively when policies were being conceptualised (Georghiou
to the issues under discussion and embarked on et al, 2004: 5).
their own foresight activities. (e.g. FutureChild, A few more impacts can be observed since the
theatre foresight, and tourism foresight). evaluation exercise was conducted. The broad vi-
• Investments in foresight training in order to en- sions presented in the first National Development
sure the quality of foresight processes and results. Plan (2004–2006) have relied heavily on the so-
• The adoption of foresight contents in the research called macro visions published in the TEP steering
and teaching agenda of the University of Malta. group report. Furthermore, the first ever STI policy
strategy, approved by the government in March
The Technology Foresight Programme in Hungary 2007, is also making explicit reference to these
The Hungarian Technology Foresight Programme macro visions.
(TEP) proceeded from 1997 to 2001, as the first ex-
perience of a full-scale national foresight activity in a The Second Technology Foresight Programme in
transition economy. The steering group and the seven Sweden (TF2) In Sweden, the foresight process
thematic panels assessed the current situation, out- took place in 2002 to 2004, and it was evaluated by
lined different visions for the future, and devised pol- an international team in 2005. The evaluation report
icy proposals. The thematic panels analysed the key states that organisations (research organisations,
aspects of the following areas: human resources; consulting agencies, and foundations) appear to be
health and life sciences; information technology, tele- the main winners and users of the results (Arnold et
communications and the media; natural and built en- al, 2005). There is little sign of direct influence at
vironments; manufacturing and business processes; the decision-making or political level (in our termi-
agribusiness and the food industry; transport. Their nology: the policy advisory function). However,
main concern was to identify major tools to improve there has been a considerable overlap between vari-
the quality of life and enhance international competi- ous undertakings in the domain of research and in-
tiveness, and thus they emphasised the significance of novation policy: TF2, the Research Bill and the
both knowledge generation and exploitation. national innovation strategy, Innovativa Sverige,
TEP was evaluated by an international panel in were all devised at the same time (Arnold et al,
2004 (Georghiou et al, 2004). A major tool of the 2005: 23). Interviewed civil servants have argued
evaluation was a survey which produced 62 re- that the results of TF2 had not been well marketed in
sponses. According to the survey respondents, the the policy-making system, and that the synthesis
most important effects mainly concerned cultural report had been produced in too late a phase, that is,
100 Research Evaluation June 2010
11. Impact of foresight on innovation policy-making
after the ‘window of opportunity’ to influence the enhances the absorption of foresight results in the
Research Bill. Concerning the policy-informing ministries concerned, and therefore enhances the
function, the synthesis report had been perceived to likelihood of consequent actions taken. On the other
be party-political, which undermined its credibility hand, close political support endangers the intellec-
(Arnold et al, 2005: 28). The most obvious impact of tual independence of the whole foresight process. It
TF2 has been the organisation of a series of fora for may therefore entail the risk of not taking foresight
young people to debate the future. results seriously because they are perceived as party
politics. Bearing this in mind, it follows that political
Critical issues support for foresight processes should be ‘strong’
and ‘distant’ at the same time — to strike this bal-
As an overall assessment of its impact, foresight is a ance is likely to be a difficult task, and certainly a
useful decision-preparatory tool, as suggested by its context-specific one (Havas, 2003).
widespread use across continents, as well as by
theoretical considerations. Foresight can assist deci- Ownership of results in departmentalised govern-
sion-makers in tackling a number of complex chal- ment structures The more path-breaking and revo-
lenges: it can reduce technological, economic or lutionary the results of the foresight process are, the
social uncertainties by identifying various futures more likely their implementation is to interfere with
and policy options; it can induce better-informed the decision-making competences of several minis-
decisions by bringing together different communities tries. This seems often to be the reason why recom-
of practice with their complementary knowledge and mendations derived from foresight processes lack
experience, obtain public support by improving commitment to acting upon them. In Hungary, TEP
transparency, and thus enhance overall efficiency of had produced a long list of recommendations, which
public spending (Havas, 2006). have been sparsely implemented (Georghiou et al,
The results of the evaluation exercises conducted 2004: 4–5). In Sweden, implications of the synthesis
so far also indicate that there are a number of key report have been so wide-ranging that they surpassed
issues that can either significantly enhance the im- the scope of single units or even entire ministries
pact on policy-making, or hamper foresight from (Arnold et al, 2005: 28).
being influential. In general, departmentalised government struc-
tures tend to impair political action in complex
Enrolment of able new actors and formation of actor issues (health, quality of life, environment, competi-
networks The added-value of foresight increases tiveness, etc.). As foresight processes are mostly
when it is possible to overcome traditional sectoral launched to tackle such complex issues, the subse-
or disciplinary barriers and to succeed in engaging quent implementation of the results is often outside
able new actors beyond the established and well- anyone’s decision-making competence, and there-
known players in the field. This forges novel link- fore doomed to fail. Hence, already the design of a
ages within the innovation system and increases the foresight process should provide for an effective co-
recognition of the foresight topic area among the ordination of public resources — both intellectual
various players. The importance of these network- and financial — in order to achieve the comprehen-
building effects, in particular as compared to the sive use of the foresight results (Havas, 2003).
tangible results, has been confirmed by participants
of many foresight processes. Time horizon A time horizon slightly beyond the
concerns of even strategic policy decisions allows
Interested customers with absorptive capacities A more ‘out-of-the-box’ thinking and creativity in ex-
key problem experienced in several cases has been ploring various future states and their implications.
the linkage between a particular foresight process There is obviously a trade-off between creative,
and its clients. Interested customers with absorptive long-term thinking and the likelihood of having an
capacity are a precondition, if foresight is to affect immediate impact on decision-making. There is an
policy. In the UK, the responsible minister was per- innate tension, therefore, between the long-term
sonally involved, which provided a focus and a clear nature of foresight issues and the substantially
indication of priority and importance of the exercise, shorter time horizon of politicians.
and quite likely this factor increased the time de-
voted by civil servants to the absorption of the re- The congruence of actors in foresight and political
sults (PREST, 2006: 19). In Sweden, however, advice The actors, individuals and groups, who
foresight results seemed to have difficulty in com- inform and advise ministries, are often the same who
peting with the abundance of other reports, as civil take the lead in foresight processes. This makes it
servants do not have the resources to work them- especially hard to assess the impacts of foresight
selves through piles of (seemingly similar) docu- activities, even if political programmes and resolu-
ments (Arnold et al, 2005). tions obviously reflect foresight results. In the ex-
treme, this leads to the conclusion of the US Office
The dilemma of political support On the one hand, of Science and Technology about the UK foresight
close attention and support from some key politicians activities that ‘in the absence of Foresight, some or
Research Evaluation June 2010 101
12. Impact of foresight on innovation policy-making
all of the successful outcomes might very well have phase. Being of an exploratory nature, it serves the
transpired in part or at a later date’ (Keenan, 2000). purpose of thinking ahead in order to be prepared for
This argument presupposes that the ideas expressed the unexpected or unusual developments. Participa-
in the foresight exercises ‘have been around’ any- tion would be restricted to experts, but from a wide
way. Yet, there is a difference between ideas of range of domains. As these projects are not partici-
visionary individuals that somehow find their way patory in their nature, they should be called prospec-
into opinion-forming or decision-making processes tive analyses, rather than foresight, stricto sensu.
and the development of a vision in a foresight exer- As for contextualisation, this model is based on
cise, a vision that has been created jointly and that is the conviction that policy-making processes should
shared by a broader constituency. This difference be clearly separated from foresight activities, in re-
has major implications concerning the ownership of sponse to the criticism that foresight undermines the
results, and thus with respect to the likelihood, effi- formal, constitutional channels of decision-making.
ciency and efficacy of implementation. Among other indications, the latest generation of the
British foresight seems to lend itself to a stronger
emphasis on the policy-informing function, putting a
Future directions of foresight strong emphasis on the role of specialised expertise.
Foresight should not be conducted for its own sake Foresight as an integral part of policy processes
or just because it is currently ‘fashionable’ through-
out the world and being promoted by international In this model, foresight becomes an integral part of
organisations. It is crucial to prove the impact of the policy-making process, fulfilling key roles with
foresight on decision-making. This impact is de- respect to informing, counselling and facilitating. It
pendent on the relevance to major issues faced by is driven by the need for forward-looking, strategic
society, but also its timing and the quality of its support in policy-making processes and the need for
‘products’ — reports and recommendations — are better co-ordination of distributed policy-making,
crucial. Only substantive, carefully formulated pro- with foresight playing a major role in both respects.
posals can grab the attention of opinion-leaders and This is a model likely to emerge in those countries
decision-makers and are thus likely to be imple- that already have a highly differentiated system of
mented. Otherwise all the time and effort that par- policy intelligence in place. Foresight could play a
ticipants put into a foresight programme would be very prominent and visible role in such a context, for
wasted, together with the public money spent to example, by integrating different inputs into policy
cover organisation and publication costs. The pro formation, but longer-term, foresight-type ap-
cess results, in terms of new and intensified net- proaches could equally turn into a standard element
working, communication and enhanced cooperation of reflexivity in decision-making processes, in
among participants, may still be significant even in permanent competition with other tools of policy
this sad case, but they are less visible and more dif- intelligence.
ficult to measure, and may not be sufficient to en- This variant would imply that foresight not only is
sure the continuation of a programme. applied in individual policy areas and at individual
In this article, recent insights into the impacts of policy levels (‘operational foresight’), but also fulfils
foresight processes as well as key contextual factors a cross-cutting, policy co-ordinating or at least
and determinants of impacts have been analysed policy-orientating function (‘meta-level foresight’),
against the background of a process model of em- very much in line with the cross-cutting role of in-
bedding foresight into policy-making processes. novation policy. It is also compatible with a wide-
These findings shall now serve as the starting point spread involvement in, and use of, foresight by other
for exploring how foresight might evolve in the actors in economy and society (‘distributed fore-
future, and the impacts it is likely to have on policy- sight’). And finally, this interpretation of foresight
making. would imply its widespread use in internal processes
In the light of the arguments raised in this article, of strategy formation of individual organisations in
four different directions for the future of foresight parallel with open participatory processes.
can be outlined. These are not mutually exclusive
scenarios, but rather complementary perspectives Foresight as a pacemaker for building up reflexivity
on how foresight might be used, each of them stress-
ing different types of impact, depending on the con- In this model, foresight acquires the role of a pace-
textual factors that characterise these particular maker for building up reflexivity in the policy-
perspectives. making system. As a first initiative of policy intelli-
gence, it can serve several purposes simultaneously,
Foresight as a sophisticated policy informing tool ranging from raising awareness and providing orien-
tation to capacity-building for policy intelligence. It
This variant reflects a comparatively conservative can thus serve as a precursor for the establishment of
future of foresight, where foresight will be mainly other mechanisms, organisations and instruments
restricted to underpinning the policy-informing needed to support reflexive policy-making. The
102 Research Evaluation June 2010
13. Impact of foresight on innovation policy-making
participatory element of foresight is of high rele- 4. See the study on methods and dimensions of impact assess-
ment by Rhomberg et al (2006) and in particular the self-
vance in this respect. evaluation tool for foresight developed by the ForSociety ERA-
This model seems to be particularly suited for Net (ForSociety, 2007).
emerging economies or, more generally speaking, 5. An evaluation of the German Futur process has been con-
ducted, but not published. A short account can be found in
for countries that are facing fundamental changes Cuhls and Georghiou (2004).
and where a differentiated system and culture of in-
novation policy intelligence has not yet been estab-
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