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Journal of Cleaner Production 16 (2008) 1218e1225 www.elsevier.com/locate/jclepro

Fostering change to sustainable consumption and production: an evidence based view*

Arnold Tukker a,*, Sophie Emmert a, Martin Charter b, Carlo Vezzoli c, Eivind Sto d, Maj Munch Andersen e, Theo Geerken f, Ursula Tischner g, Saadi Lahlou h
TNO Built Environment and Geosciences, PO Box 49, 2600 AA Delft, Netherlands Centre for Sustainable Design, College of Creative Arts at Farnham, Falkner Road, Farnham, Surrey, GU9 7DS, UK c Politecnico di Milano, Industrial Design, Arts, Communication and Fashion (INDACO), via Durando 38/A, 20158 Milano, Italy d National Institute for Consumer Research, P.O. Box 4682 Nydalen, 0405 Oslo, Norway e Risoe National Laboratory, P.O. Box 49, DK-4000 Roskilde, Denmark f VITO, Flemish Institute for Technological Research, Boeretang 200, B-2400 Mol, Belgium g Econcept, Agency for Sustainable Design, Alteburger Strasse 32, D-50678 Cologne, Germany h Electricite de France, 1 Avenue Gen de Gaulle, Clamart, France
b a

Revised 1 August 2007; accepted 13 August 2007 Available online 1 November 2007

Abstract This Note from the eld, is an edited version of a policy brief summarizing the key ndings from the rst half of the Sustainable Consumption Research Exchange network (SCORE!) for the policy programs in the eld of sustainable consumption and production (SCP). We recommend a framework for action to change to SCP that mentions the key domains to include food, mobility, and energy use/housing (the last two clearly related to urban development). It should use a systemic perspective on the SCP challenge and differentiate between developed, fast developing, and base of the pyramid economies. SCORE! focuses mainly on developed economies, and here we propose to differentiate between: (1) measures that t with mainstream beliefs and paradigms. Here, governments could make operational agreements on implementation of instruments like green public procurement, stimulating ecodesign, etc. (2) Problems where a rough agreement on goals exists, but where change is radical, or means are uncertain, and hence planning difcult. Here, governments could foster visioning, experimentation, and support e.g. international collaboration in leapfrogging programs. (3) Problems that outright clash with the mainstream beliefs and paradigms. Here, governments could foster informed deliberation on the more fundamental issues related to markets, governance and growth. 2007 Elsevier Ltd. All rights reserved.
Keywords: Sustainable consumption and production; Governance; Radical change; Sustainability; System innovation

1. Introduction As indicated in the Editorial, this special issue of the Journal of Cleaner Production is a result of work of Sustainable
* A Note from the Field based on a SCORE! Policy Brief distributed at the Third International Expert Meeting of the 10-year Framework of Programmes on Sustainable Consumption and Production (SCP), Stockholm, Sweden, 26e29 June 2007. * Corresponding author. Tel.: 31 15 2695450; fax: 31 15 2696840. E-mail address: arnold.tukker@tno.nl (A. Tukker).

Consumption Research Exchanges (SCORE!). This EU supported network project under the sixth Framework Program has engaged a few hundred professionals interested in SCP in Europe and beyond. A key goal of the network is to enhance understanding how radical reductions of environmental impacts and at global level a more equitable growth can be realized. Since October 2005, SCORE! organized two major workshops and one conference, which resulted in over 2000 pages of proceedings, in which over 250 contributors presented some 160 conceptual and case-related papers on how to foster change to SCP. In this Note from the Field, based

0959-6526/$ - see front matter 2007 Elsevier Ltd. All rights reserved. doi:10.1016/j.jclepro.2007.08.015

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on a Policy Brief, presented during the Third International Expert Meeting of the 10-year Framework Of Programmes on sustainable consumption and production (SCP), Stockholm, Sweden, 26e29 June 2007, the SCORE! team condenses the insights gained into recommendations for how to set up the 10-year Framework of Programs on SCP. This Note from the Field, is based on a book in production at Greenleaf Publishing ltd., called System Innovation for Sustainability e Governance of radical change to sustainable consumption and production. It will be available in the fall of 2007 [1]. Our recommendations are based on the following insights.

4. The SCP challenge has a systemic nature The development of an SCP policy agenda has been slow. Rather concrete ideas were already present in the Rio Declaration of 1992 [31], but since then the many meetings and workshops did not lead to much implementation [32e34]; indeed, in the view of some, the more recent policy declarations are weaker than the original Rio text [cf. 35]. This is probably no coincidence. We do not talk about diminishing an emission here, or re-designing a product there. Production, markets and consumption form a regime of an interdependent and coevolving set of technologies, symbolic meanings, services, consumer practices, rules, interests, nancial relations and expectations [10,12,13,36,37]. It is difcult to change one part without the rest. Further, this regime is embedded in a landscape context consisting of meta-trends, meta-values, meta-structures, and meta-shocks. Such meta factors usually cannot be inuenced directly by actors in the regime on the short-term. New SCP practices or policies that deviate radically from this regime and landscape normally cannot be pushed through, head-on. Usually, they stay for a signicant period in niches (if they do not die out there), until a window of opportunity arises for a breakthrough [13,38e40]. 5. Green consumers and businesses, plus policymakers, should create the triangle of change Green consumers and green businesses can do a lot to foster changes to SCP (e.g. see Refs. [44e46]). And markets, to some extent, will start to reect scarcity of resources and other sustainability problems, thereby, providing incentives for

2. Not all economies are equal Economies of the different countries in the world differ markedly. Hence, a one size ts all SCP policy cannot work [2,3]. It is well-known that the developed economies, that house just 20% of the world population, are responsible for almost 80% of the life-cycle impacts of consumption [4,5,cf. 6]. The challenge for developed economies is therefore, to do more with less: they must reduce their ecological footprint and end overshoot [7,8,cf. 9]. A key problem is often lockin: existing infrastructures, habits, and other sunk costs, that make it difcult to change [10e13]. Fast developing economies face a totally different challenge. Their societies are in ux, and will build, in the next decades, 80% or more of their future infrastructures [14]. This gives, in theory, unique opportunities to leapfrog: forgoing the problematic structures in the West, and jumping directly to novel sustainable structures of production and consumption [2,3]. And in the base of the pyramid economies, the challenge is again different. Here the prime goal is to lay a basis for sustainable, equitable growth, and to eradicate poverty [15,16]. Base of the pyramid or Human Development through the Market (HDtM) approaches could be strategies to be pursued [17,18].

Growth versus downshifting One of the tense debates in the sustainable consumption arena is the question if we can continue to base our economy on the growth paradigm, or that we should in fact reduce consumption (at least in the West) [9,41]. Organizations like the Slow Food movement and the Centre for a New American Dream provide inspiring examples of how a high quality of life can be realized with a strong reduction in material consumption [42,43]. Yet, it is also obvious that the application of such inspiring examples cannot (yet) be enforced top-down. That would go counter e.g. to the principle that humans should be free to shape their lives in the way they want, the idea of consumer sovereignty, and the concept of free markets. Any policy maker proposing e.g. a cap on consumption levels, probably, would not last long. A better strategy is to foster experiments with such alternative organizations of the economic system, gather evidence of their merits, and start bending existing beliefs and paradigms from there.

3. Food, housing/energy use, and mobility have the most environmental impact All economic activity, and hence the related environmental impacts, are driven by consumption. In the last years, many studies were done to analyze what nal consumption activities cause most impacts. Despite an immense variety of approaches, data sources, and indicators used, all studies agree on the main priorities [19e27]. Mobility (car and air transport, including for holidays), food (meat and diary followed by the other types of food) and energy use in and around the home (heating, cooling and energy using products) plus house building and demolition, cause, on most environmental impact categories, together 70e80% of the life-cycle environmental impacts in society [28e30]. Note that concepts like sustainable cities cover these priorities to a large extent.

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The role e and limits e of business and consumers in change to SCP Business is probably best placed to respond positively to sustainability challenges via radical innovative products and services and related new business models. Their drive for efciency gives them a natural role in making production and products more resource efcient, and the history of e.g. the Marine Stewardship Council, Responsible Care, and similar schemes shows that business is capable of promoting sustainability values in their supply- and downstream chains. Yet, the competitive market system also rewards companies that make people dependent via the promotion of greed, fear, and addictions, that externalize costs, and draw hitherto freely available non-market goods into a market context [51,54]. Consumers, in theory, can exercise sustainable choice. This can be stimulated via informative instruments and campaigns. However, consumers are, for a large part, locked-in in infrastructures, social norms, and habits that severely limit consumer choice, in practice. Consumer behavior change is only likely if three components are addressed simultaneously: motivation/intent, ability and opportunity [55]. The alternative opportunity should at least be as attractive as the existing way of doing things e not only in terms of functionality, but also in terms of immaterial features such as symbolic meaning, identity creation, and expression of dreams, hopes and expectations [56]. Relying on e.g. informative instruments only, is utterly insufcient [55].

Car transport e essential to be happy? Megacities in e.g. Thailand, Indonesia and China are infamous for their gridlocked trafc and air pollution. In Curitiba, a major city in the South of Brazil, some bright city planners created a different history. They took the strategic decision to base further city development on principles like minimizing urban sprawl, keeping the historic district intact, and to use a cost-effective express bus system as the back bone for mass transit. The approach was so successful, that now 60% of the travel in the city takes place via the public bus system [4]. The city itself is one of the most livable in Brazil. Hong Kong and Singapore reached similar success in ensuring that public rather than private transport takes on the brunt of the modal split. This is a good example of indirectly inuencing consumption patterns.

dematerialization and resource productivity [32,52,cf. 59]. But history has shown that this strategy alone fails, due to what has been loosely termed the rebound effect: the growth of material consumption [60,61]. Yet, there are plenty of options to inuence consumption patterns indirectly, without loss e or even improvement e of quality of life. And it is not difcult to see why. Important parts of the nancial and time expenditures of consumers are on duties such as commuting, business travel, etc., or compensate for a low local quality of (social) environment. That changing such patterns can yield a double dividend is rather likely e above a certain threshold, improved quality of life, a higher degree of happiness, etc., is not related to material consumption or GDP [62e66].

change [47]. But all evidence shows that since actors are trapped in systemic interdependencies, such routes for change have limits [10e13,36e38,48]. Bottom-up and market based action can only result in lasting fundamental change if backed up by top-down support and framework changes [49e51]. Policy makers, therefore, cannot outsource politics [52] but must do their bit, and collaborate with business and consumers to make things work, creating what the UK Sustainable Consumption Roundtable calls a triangle of change [53]. 6. Consumption is a key in change Fundamentally, the goal of reducing environmental pressure by consumption can be reached via three routes: greening production and products, shifting demand to low-impact consumption categories, and lowering material demands [28,30,57,58]. Since society is adverse to interfere directly with consumer choice and markets, it is not surprising that government plans for SCP often narrow down to the rst point under banners like

7. Short-term measures can build upon mainstream beliefs and paradigms On the short-term, many SCP solutions can already be implemented that make positive use of the systemic meta factors listed before: basic principles that friend and foe, by and large agree upon [cf. 67e69]. Sure, they will need leadership that makes a difference, if only to counter rearguard ghts by dinosaurs setting traps like asking for evidence beyond reasonable doubt before action can be taken [cf. 70,71]. But, now widely held values that markets should be transparent and fair, consumers should be sovereign, and that sustainability needs action, gives legitimacy to measures like [47,72,73]:  Creating a level playing eld for greening production and products;  Abolishing perverse subsidies and internalizing external costs;

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The global compact Around 2000, the UN launched the millennium development goals [15], and later embarked via the global compact [75] a strategic discussion with industry on how to realize them. The global compact articulates four sets of core values in doing businesses, covering sustainability and social standards, and managed to enlist 2900 (mostly large) businesses supporting it. Though implementation is complex, it sets the direction and a stage for discussing how to do it, and to question deviating behavior. A perfect move that helped to position a powerful actor (business) to support changes for a better world.

Indicative planning and leapfrogging e Dongtan Ecocity The Curitiba story is one example of adaptive management. Another exciting example is Dongtan Ecocity in China. Acknowledging that millions of peasants will become city dwellers in the next decades, the Chinese developed the vision that the new cities to house them should be as sustainable as possible e probably the only way to avoid that their economic growth will be stopped due to resource scarcity and pollution. The cities are planned to be ecologically friendly, with zero-greenhouse-emission transit and complete self-sufciency in water and energy, together with the use of zero energy building principles. This initiative forms a massive learning by doing exercise, guided by principles like energy-neutrality and self-sufciency [84,85]. 9. Problems that question mainstream beliefs and paradigms require informed deliberation These are the more difcult issues to tackle, and that really require discussion of widely held beliefs and paradigms in society [86e88]. It concerns informed deliberation on issues such as [53,54]: a the underlying growth engine in our markets [89]; b how and if markets contribute to fairness and equity [cf. 90]; The happy planet index: challenging the paradigm that all growth brings well-being The happy planet index (HPI) measures the ecological efciency with which, country by country, people achieve long and happy lives. In doing so, it strips our view of the economy back to its absolute basics: what goes in (natural resources), and what comes out (human lives of different length and happiness). The HPI suggests strongly that above a threshold, high footprints (related to high consumption per capita and high GDPs) are no precondition for a high quality of life. One could even go so far that having a very high GDP (and hence footprint) per capita is no sign of progress, but rather a sign of inefciency in providing what truly matters: countries with equal quality of life and life years may differ by as much as a factor four in footprint. Once the factors determining this difference are better understood e and shared e this will give important guidance of how to structure patterns of consumption and production [62]. Source: www.neweconomics.org.

 Promoting transparency about environmental and social performance, and countering oligo- and monopolistic markets that reduce consumer choice. Making darkness visible (showing who benets from unsustainability) and articulating meta-values and -trends positive for sustainability are other tactics to pursue [74]. And even radical SCP options can be tried out on the short-term. These often sow seeds for change, and the front runners can often do their thing very well in smartly chosen niches that are not too much affected by forces at landscape and regime levels [10,12,13]. On the long-term, such novel practices can be important factors in changing meta-views and -paradigms. 8. Problems where only a rough agreement on the goals and approaches exist, require experimentation Sometimes there is agreement on the desired direction of change, but the road to it is uncertain (e.g. due to the radical nature of the required changes) [cf. 76]. In such cases, approaches have been proposed using terms like roadmapping [53], indicative planning or learning [cf. 77], reexive governance [78], and transition management [10,13,79]. While such concepts have different roots, they all acknowledge that the road to sustainability requires a joint search process that entails a process of mutually enforcing actions for change via the following lines: 1 Radical change usually takes a long period and command and control approaches usually will not work. Indicative planning and developing strategic intent with a process of learning by doing along the way are likely to be much more successful [10,13,71,77]. 2 A process of visioning and experimentation, particularly when it is not totally clear into which direction the change has to go, is essential [77,80,81]. 3 Flagship (niche) experiments with new practices and systems should provide stepping-stones for potential future new socio-technical constellations [82,cf. 83].

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c how consumption supportive to sustainability can be discerned from consumption that is destructive for institutions and non-market goods providing quality of life [91]; d how to develop novel and dematerialized ways of realizing social aspirations [cf. 41,66], and how this relates to novel business models [57,92]; e how to maintain a fair power balance in the triangle of business, government and consumer (e.g. by questioning the role of advertising and media) [cf. 93]. All these issues pose fundamental questions about the way how our market based economic system works and about the institutions that have been developed to support it. Gathering credible evidence of how consumption and production systems can be organized more efciently in providing quality of life [62,63], showing inspiring examples of alternative ways of doing things [42,43,94], are tactics to be pursued. 10. Conclusion Based on the ndings reviewed in this Note from the Field, we would recommend a structure of a 10-year

framework of programs that is reected in Fig. 1 [54]. It should address, as key domains, food, mobility, and energy use/housing (the last two clearly related to urban development) [19,20,95]. It should use a systemic perspective on the SCP challenge [96] and differentiate between developed, fast developing, and base of the pyramid economies [2,3,17,18]. SCORE!, focuses mainly on developed economies, and here we propose to differentiate between:  measures that t with mainstream beliefs and paradigms. Here, governments could make operational agreements on implementation of instruments like green public procurement, stimulating ecodesign, etc.;  problems where a rough agreement on goals exists, but where change is radical, or means are uncertain, and hence planning is difcult. Here, governments could foster visioning, experimentation, and support e.g. international collaboration in leapfrogging programs;  problems that outright clash with the mainstream beliefs and paradigms. Here, governments could foster informed deliberation on the more fundamental issues related to markets, governance and growth.

Landscape
(factors out of reach for actors in the regime)

Meta-structures: infrastructure, geopolitical facts, etc. Meta-values: Individual sovereignty, democracy, free markets & trade, growth, fairness Meta-trends: individualisation, internationalisation, intensification, informatisation Meta-shocks: wars, crises, natural disasters

Regime
(ways of doing things in a domain, e.g. mobility) Time horizon of impact Short term impact Goals and direction: agreement Means: fairly clear Main problem: overcoming opposition of laggards.

Production

Markets

Consumption

Business Apply cleaner production, ecodesign, etc. Manage supply and downstream chains; see the examples of CSR, FSC, MSC, etc. Apply choice editing Promote industry self-regulation on the above Use meta factors as inspiration for new sustainable products, business models (e.g. product-services), and other strategic innovations, e.g. via experience design Government Provide level playingfield supporting the above (covenants, regulations, standards) Foster greening innovation systems and support sustainable (niche) entrepreneurs Articulate and encourage sustainable metavalues

Medium term impact Goals and direction: agreement, at least on the sense of urgency for change Means: not clear Main problem: focusing direction and learning about best means Long term impact Goals and direction: controversial No insight in means-ends relations Main problem: managing a mental revolution in a nice way

Consumers/citizens/NGOs Exercise sustainable choice Set steps towards Lifestyles Of Health And Sustainability (LOHAS) As citizen and worker: articulate and encourage sustainable meta-values Government (combine the below for effect!) GPP (focus on visible examples with ripple effects; e.g. providing high quality school meals) Provide infrastructure for sustainable choice of similar quality; create no-need contexts Motivate via appealing engagement and leadership, and repetitive feedback (e.g. smart meters) Business Promote sustainable consumer feedback (e.g. smart meters, green credit cards) Apply sustainability marketing and demand side management Government (as initiator, in conjunction with business and NGOs): start processes of product roadmapping / indicative planning / transition management / other learning and visioning approaches to overcome lock-ins and stimulate a sustainability focus for long term change Business: develop competing for the future capabilities All: develop and test alternatives in niches (life boats) All (emphasis on citizens and government): stimulating small group management via e.g. fostering locality and the creation of local feedbacks.

Actions and leading actor Government Internalizing externalities Abolish perverse subsidies Counter mono- and oligopolies and promote consumer power and choice Promote transparency on social and environmental issues related to products Set basic advertising norms: fair, not promoting damaging offerings, and not directed to vulnerable groups

Dominant leverage point Technical and incentive change

Enhancing selforganising capacity and learning

All: Foster deliberation on the more fundamental issues related to markets, governance and growth: Beyond the consumer economy how does the sustainable growth engine look like? Inequity how to promote markets that foster a fair level of (in)equity? Consuming less or less material when does it help to reach a high quality of life? Social aspirations and status how to reach this in an immaterial way, or damp this race altogether? Power balances how to restore them in the triangle of business, government and citizens?

Adapting goals and paradigms

Fig. 1. A framework for policy and action for sustainable consumption and production (SCP) [54].

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Acknowledgements and disclaimer SCORE! is funded by the EUs sixth Framework Program. This paper, an edited version of a policy brief distributed at the UN Expert Meeting on Sustainable Consumption in Stockholm, June 2007, is based on a book in production at Greenleaf Publishing ltd., called System Innovation for Sustainability e Governance of radical change to sustainable consumption and production. It will be available in the fall of 2007. Further information will be available at www.greenleafpublishing.com. The book beneted from contributions of over 30 presenters during a workshop organized at the EEA, in Copenhagen, on 20e21 April 2006, who are greatly acknowledged for their input. Statements in this policy brief may or may not reect the position of the sponsor. Further information: www.scorenetwork.org; or arnold.tukker@tno.nl, mads.borup@risoe.dk; saadi.lahlou@edf.fr, u.tischner@econcept.org, mcharter@ ucreative.ac.uk, eivind.sto@sifo.no, theo.geerken@vito.be, carlo.vezzoli@polimi.it.

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