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General wisdom concerning the factors affecting the adoptionof cleaner technologies: a survey 1990e2007

Carlos Montalvo*

TNO Netherlands Organisation for Applied Scientific Research, Schoemakerstraat 97, P.O. Box 6030, 2600 JA Delft, The Netherlands

Available online 26 November 2007

Abstract

Cleaner technologies (CT) have recently received much attention in diverse media and policy agendas. This comes out of the clear role they

play in environmental protection and sustainability and the large potential to contribute to economic growth and competitiveness. The realization

of both potentials depends on the level diffusion and exploitation achieved, today very low. This article presents a selective survey of papers that

today represent the general wisdom concerning the factors affecting adoption as a primary condition to diffusion and exploitation of CT. The

paper helps to clarify the challenges facing diffusion modelers and policy makers when dealing with policy design, assessing the levels of dif-

fusion achieved as well as the factors affecting diffusion of a particular technology. The paper ends outlining further research need in the field.

2007 Elsevier Ltd. All rights reserved.

Keywords: Technology adoption; Technology diffusion; Diffusion modeling; Technology policy; Environmental policy

1. Introduction

During the first years of the of the 21st century the attention

given to the state of the environment e at both local and global

level e has increased dramatically compared to concern in the

last years of the 20th century. We are seeing not only popular,

commercial films,1 but also national governments enacting

policy directed to increasing awareness of issues, such as sys-

temic pollution and climate change[1].2 It is only in the most

recent years that governments have been regarding technolog-

ical innovation as the solution to the challenge of environmen-

tal degradation and a way of boosting the competitiveness of

national economies[2,3]. Seeing technological innovation asthe main means of providing environmental sustainability

presents two major policy issues. The first concerns the fact

that despite the raised awareness of the environmental

problems caused by production and consumption patternsthere is little acceptance that the current technological stock

presents serious anomalies in terms of infringement of the ba-

sic laws of thermodynamics, anomalies that extend to the new,

so-called alternative technologies (e.g., photovoltaic cells, fuel

cells, bio-fuels, etc.)[4,5]. The second issue relates to the myr-

iad factors affecting the diffusion of new cleaner technologies

and how these factors interact, which requires appropriate policy

mixes in order to minimise negative synergies and conflicts.

Often potentially relevant factors related to the adoption of

new technologies have not been included in the analysis. The

factors may differ between sectors but this has not been system-

atically studied. Often the study focuses on one industry. Thislimits generalisations and insights for policy.

In this paper, we address this second issue in an attempt to

make the adoption of new technologies by individual users,

and their diffusion across the economy, more transparent by

showing the dependency between the various factors involved

and their likely interrelation. The paper makes clear the diffi-

culty to generate a dynamic diffusion model that includes all

the relevant variables. The objective is to highlight the chal-

lenge involved in generating policies that promote the diffu-

sion of cleaner technologies at the aggregated level. If

* Tel.: 31 15 269 5490.

E-mail address: [email protected] See movie e An inconvenient truth http://www.climatecrisis.net/ and

moviee The 11th hourhttp://wip.warnerbros.com/.2 See Environmental Knowledge Hub, http://ekh.unep.org/?q node/2042,

visited 10.09.2007.

0959-6526/$ - see front matter 2007 Elsevier Ltd. All rights reserved.

doi:10.1016/j.jclepro.2007.10.002

Available online at www.sciencedirect.com

Journal of Cleaner Production 16S1 (2008) S7eS13www.elsevier.com/locate/jclepro
mailto:[email protected]://www.climatecrisis.net/http://wip.warnerbros.com/http://ekh.unep.org/?q=node/2042http://ekh.unep.org/?q=node/2042http://ekh.unep.org/?q=node/2042http://ekh.unep.org/?q=node/2042http://www.elsevier.com/locate/jcleprohttp://www.elsevier.com/locate/jcleprohttp://ekh.unep.org/?q=node/2042http://wip.warnerbros.com/http://www.climatecrisis.net/mailto:[email protected]


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diffusion is the outcome of the micro-decisions influenced by

micro-, meso- and macro-contexts[6,7], in order to understand

the diffusion process, we must ask what are the relevant adop-

tion variables (stimuli, facilitating factors and barriers) and

what changes in the adoption environment will induce firms

to adopt an innovation at a particular moment in time? In other

words, what drives or hampers the diffusion of innovations incleaner production at firm level?

A number of authors have contributed to the debate over the

barriers and drivers to innovation in cleaner technologies that

has taken place in the last decade. However, despite this in-

creased interest from scholars and policy-makers little system-

atic and comprehensive work linking the drivers and barriers to

actual adoption at firm level (see e.g., Ref.[8]) and diffusion at

sector level (see e.g., Ref. [9]) has been done. These authors

established causality links and explored the interactions be-

tween drivers in order to prioritise and focus policy efforts to

promote innovation in firms; however, they offer no insights

about how to link adoption decisions to technology diffusion

curves at sector level. The approach of Van Wijk et al. [9]pres-ents a similar structure (or clustering of drivers and barriers)

focusing on the exploration of barriers at sector level. This ap-

proach has not been validated; it does not explore interactions

between drivers, but offers methodological insights about how

to link drivers and barriers to diffusion patterns. Interactions

between (clusters of) drivers are examined in Montalvo et al.

[10], which empirically validated a model to explore and deter-

mine the factors that could influence innovation in cleaner

technologies at firm level, in the European context.

This review follows the approach in Montalvo [11], which

classifies factors affecting innovations in cleaner technologies

at firm level. These are organisedalong the following dimensions:government policy, economics, markets, communities and social

pressure, attitudes and social values, technological opportunities

and technological capabilities and organisational capabilities.

The structure of the present paper follows this classification.

The survey shows some degree of overlap between the factors

affecting the adoption of cleaner technologies at firm level.

2. Public policy

The literature on environmental policy recognises that one

of the major drivers of environmentally responsible behaviour

in industry is the intervention of public policy in the form of en-

vironmental policy and enforcement of regulations, (e.g., Refs.

[12e20]). The application of government policies has ranged

from direct command-and-control to voluntary programmes

to economic instruments [21,22]. The last traditionally includes

charges and taxes, emission charges, user charges, product

charges or taxes, administrative charges or fees, subsidies, de-

positerefund schemes, marketable permit arrangements, finan-

cial enforcement incentives or financial assistance [22].

Economic instruments generally have been associated with

standards limiting the amount of residuals or hazardous waste

released to the environment through end-of-pipe technologies

or waste management practices. There is no doubt that pollu-

tion control has brought environmental improvements and

that enforcement of the regulations has been the main means

through which they have been achieved. This, and the fact

that regulation in relation to technical change is frequently

mentioned in the literature, can be misleading in the context

of clean technologies (i.e., prevention of residuals and waste

creation through organisational and technical change).

Government intervention under the traditional policy ap-proaches mentioned above has not been successful in promot-

ing pollution prevention at source[23e29]. This is commonly

acknowledged at government level. It is also accepted that the

way in which environmental policies have been designed and

enforced does not particularly favour the development and

adoption of cleaner technologies in industry (e.g., Refs.

[30e33]). One of the main reasons for this is that emissions

and discharge rate standards provide little or no incentive to

go beyond the required standard reduction and, thus, they

fail to promote and sustain research and development (R&D)

and investment in innovation. Regulations might produce in-

centives for firms to pre-empt future changes in regulations,

stricter standards[20,34,35]or future liabilities[36], but expe-rience shows that they do little to promote and encourage

development of continuous environmental performance im-

provement through innovation.

Innovation in products and processes aimed at reducing

pollution at source are generally regarded as being one way to

improve not only aspects of product and process performance,

but also economic efficiency and competitiveness (e.g., Refs.

[37,18,19,38]). It is also now received wisdom that technologi-

cal change is critical to achieving long-term and cost-effective

solutions to the environmental problems generated by industry

(e.g., Refs.[39e45,20,32]). If innovation in cleaner technolo-

gies brings so many benefits why is that covenants, eco-label-ling, intellectual property protection, eco-taxes, international

agreements and law, etc., have had such limited success in pro-

moting innovation? To date, there are no clear trends in the

types of relationships among diffusion of cleaner technology

and the levels and forms of public intervention [8,2].

What about the effects of policies based on the notion of

Best Available Techniques (BATs) such as the European Inte-

grated Pollution Prevention and Control Directive (96/61/EC)?

Unlike pollution control best available technologies and tech-

niques are sector specific, which requires sector and possibly

plant specific knowledge. This poses large and perhaps unreal-

istic knowledge demands on authorities trying to regulate

cleaner production [46]. This represents a major challenge

for the regulatory authorities and government policy as the

current regulatory schemes are designed to promote yester-

days technologies. Furthermore, it has been argued that

current regulations will gradually become obsolete and coun-

terproductive, and unable to induce process embedded innova-

tion[47]. Thus, the impact of regulation could be negative if

the conditions required to apply certain schemes are not appro-

priate. Conversely, if government intervention takes the form

of providing the right conditions and stimuli for firms to

change we could expect a positive relationship between regu-

lation and the level of diffusion of cleaner technologies. The

next sections provide some insights into other possible factors

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Experience has shown that external stakeholders play an

important role in promoting sound environmental behaviour.

In general, it seems that local communities are concerned

not only about the environment but also about human health

have in the past been strict watchdogs and are continuing

to fulfil this function [51,74]. More broadly public pressure

and demands from consumer groups, NGOs and the politicalGreen Parties are all promoters of environmental protection

(e.g., Refs. [72,9,36,51,34,75,76,55]). It is important to men-

tion that there is little empirical evidence concerning the

role played by the various stakeholders in the promotion of

cleaner production specifically. Huhtala [33]pointed out that

one factor restricting a more decisive participation of diverse

stakeholders (for example, in the financing community) is

the lack of a clear understanding of what the concept of

cleaner production entails and encompasses. In terms of the re-

lationship between diffusion of cleaner production and the role

of local and international communities and social pressure it is

clear that we can expect this to be positive. The stronger the

social demand for clean production the stronger the likelihoodthat diffusion will occur.

6. Attitudes and social values

Peoples attitudes have been defined as the predisposition to

act based on the assessment of possible outcomes [77]. Simi-

larly, social values have been seen as the criteria against which

people justify their actions[78]. By their mere definition both

concepts have the potential to play an important role in leading

firms and industry to embrace innovation in cleaner technolo-

gies. Positive attitudes are likely to arise from the perceived or

expected good environmental and societal outcomes arisingfrom the adoption and diffusion of cleaner technologies. The

literature linking attitudes and social values in decision-

makers in industry is vast. Generally, it is believed that sus-

tainable entrepreneurship lies mainly in the personality, ethos

and position of high-ranking official and CEOs (e.g., Refs.

[34,51,58,79e81]). Such entrepreneurship is believed to arise

from an awareness of the salient environmental issues

[82,46,50]and the perceived potential of cleaner technologies

to abate risk and environmental impacts [71,83].

All these factors are supposed to have the potential to influ-

ence the predisposition of decision-makers in firms. This im-

plies that the conduct and commitment of top management

to cleaner production are of great relevance to the diffusion

of cleaner technologies [52]. As attitudes change, based on

the potential outcomes of the adoption and diffusion of cleaner

technologies, it is likely that there will be a stronger relation-

ship between the perceived economic benefits and the risks

that investment in new technologies might entail for firms.

Therefore, based on the above discussion, we can expect to

find a positive relationship between the attitudes of decision-

makers in industry and the level of adoption in individual

sectors.

A very positive attitude will indicate that there are condi-

tions e within the firm and in its general context e promoting

the diffusion of cleaner technologies. It should be noted also

that a firm might have strong motivations (arising from gov-

ernment policies, markets, economic opportunities, etc.) for

pushing for the diffusion of cleaner production but still might

not adopt new technologies, in either the short-term or the

long-term.

In the next section we try to provide some insight into the

origins of such a dissonance between drivers, firm commit-ment and willingness to engage in cleaner production and final

adoption of new technologies at firm level and diffusion at

sector level.

7. Technological opportunities and capabilities

As mentioned above despite strong forces to induce industry

to adopt new cleaner technologies, diffusion might advance at

a very slow pace or not at all. This could be explained by the

capacity at the industry level to innovate and to change. Factors

mentioned in the literature explaining the capacity of a sector

to change include the following. At a high level of aggregation

there is dominance of specific technological paradigms andregimes bringing systemic technological path dependency

[68]. The cost of replacing a complete production process in

sectors, such as iron and steel, cement, and pulp and paper, is

extremely high. Due to the size of investments and longevity

of production processes it is very likely that the diffusion of

new processes will occur in an incremental way [53,84,60].

There are similar problems in the decommissioning of current

stocks of artefacts and equipment at user and consumer levels

(e.g., cars, fridges, electronic appliances, etc.).

Closely linked to the above is the stock of technological op-

portunities of cleaner technologies that is available. The level

of awareness of the existence of such technological opportuni-ties and the degree of techno-economic attractiveness (i.e., ef-

ficiency, quality, cost reductions, increased environmental

performance, etc.) related to the natural cycle of technological

stock replacement could be expected to play an important role

in their uptake[62,82,51,20,34,85].

Closely related to these technological opportunities are the

firm and sector level capabilities needed to actually adopt new

technologies[56,44,86,8]. It has been reported that insufficient

availability of expertise in clean production (eco-design)[52],

the current training and clean technology capacity building at

the sector level[62,33]and the insufficient understanding and

experience in cleaner production project development and im-

plementation[63], play a role in the adoption of new cleaner

production processes. These factors can be expected to be-

come even more critical at the level of small- and medium-

sized enterprises, where the firm strategy is frequently

a one-man show and there is little R&D activity [46].

Finally, firms face the challenge of technological risk [8].

The gains promised by new technologies have yet to material-

ise, a situation that contrasts strongly with the perceived reli-

ability of current, familiar operating processes. In the literature

on technology management it has been established that adop-

tion or development of new production processes implies the

capacity to integrate new knowledge and large organisational

change[83].



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8. Organisational capabilities

Organisational capabilities refer to the firms endowments

and capabilities to carry out innovation [84]. These include

the level of knowledge and expertise in the specific new tech-

nology[34,83]. The level of expertise might range from the

presence of abilities to purchase the appropriate machineryand equipment [33] to their operation and maintenance.

When the knowledge is not present in the firm adoption will

depend on the firms capacity to overcome skill lock-in, and

to unlearn and acquire new skills [86,66,60]. Conducting

and promoting organisational change involves the principale

agent problem. That is, committed CEOs must have a high de-

gree of self-efficacy and leadership, not only to sell the notion

to shareholders but also to orchestrate behavioural change at

shop floor level [79,8].

Another aspect related to the firms capabilities is the ca-

pacity to engage in fruitful relationships across the production

chain and among end-users and suppliers. The capacity to out-

source new knowledge through collaboration with suppliers,and end-user involvement, has received wide attention in the

literature [57,90,82,51,83,90]. Such collaborations at inter-

firm level have been reported to be problematic in terms of

threats to technology secrecy [46]. Finally, closely related to

collaboration amongst firms is the notion of inter- and intra-

trade across the supply chain and its inherent power relations.

The capacity to engage with and influence suppliers of tech-

nology, materials and inputs has been reported as a strong de-

terminant of innovation. This is especially the case in

industrial sectors close to large retail chains [91,61,82].

From the discussion on capabilities we can expect to find

positive relationships between the levels of technological op-portunities, and technological and organisational capabilities

in firms, and the degree of cleaner technology adoption in

firms and diffusion at sector level. We can expect a negative

relationship between technological factors and perceived eco-

nomic benefits and risks at firm level. Similarly, because

a higher degree of control over the innovation process would

reduce the level of technological risk and increase the chances

of success, we can expect a positive relationship between tech-

nological and green organisational factors and attitudes at the

decision-making level.

9. Remarks

The factors affecting the uptake of cleaner technology pre-

sented above are in line with the literature in the period 1993e

2007. These factors are generic to all economic activities with

the particularity that in the studies reported the unit of analysis

has primarily been the firm, i.e., the analyses are at the micro-

economic level. Most of the factors identified in the empirical

literature could be drivers and barriers to innovation depend-

ing on the circumstances, time and contexts in which they

are considered. For example, regulatory frameworks are gener-

ally seen as one of the main drivers of environmental technol-

ogy adoption in industry in recent years. At the policy level it

is being acknowledged that regulation based on prescriptions

of technology rather than on environmental performance slows

or hampers innovation related to radical innovation or changes

in the production process. Similarly, the role of consumers is

considered an important driver of innovation. On the one

hand, consumer demands for environmentally friendly prod-

ucts can be a strong driver. On the other hand, if a firm per-

ceives that consumers have little willingness to pay for moreexpensive products, this might deter it from investing in

cleaner technologies. The signals from the market must be

the right ones.

The large number of factors surveyed above and barriers

and drivers identified, make the feasibility of modelling the

decision to adopt in a dynamic fashion, a rather complex

task. Most diffusion modelling exercises are conducted with

a very few variables to describe the system being considered.

The technology diffusion literature has for long been divided

between two streams of research: those looking at the patterns

of diffusion using as a backbone a logistic model or other ep-

idemic model, and those looking at the structure and process

of adoption decision-making. One of the big challenges of dif-fusion research is to unify both strands of research in a coher-

ent model. The results of trying to deal with the two types of

data in these different strands of research are problematic. The

data are different in nature; the data drawn on to look at diffu-

sion patterns consist of revealed preferences (levels of sales,

investment levels, installed equipment, market penetration,

etc.) e so-called hard data. The stream looking at the decision

to adopt bases its quantitative analyses on expressed prefer-

ences (opinions, judgements, rating and ranking, etc.) e so-

called soft data. The problem of linking expressed preferences

to actual technology adoption or investments in innovation has

been solved recently[11,10], but the challenge of linking dif-fusion patterns requires further research and the availability of

coupled longitudinal studies using both types of data remains

a problem. Once such data and studies are available it should

be possible to fully understand the patterns of technological

diffusion and its origins.

Acknowledgement

This work was partly funded by the European Commission

6th Framework Program. Contract no. SSPI-CT-2003-502487

(Project POPA-CTDA).

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