1. The problem definition and the
research design in TA:
examples for workshop discussion
António Moniz
ITAS-Karlsruhe Institute of Technology

2. Summary
• Defining a problem for TA
• Designing the research process according to the problem
• Examples
• What is e-mobility about?
• Controversial cases

3. Defining a problem for TA
– What can be considered as a TA problem?
– TA as a problem-oriented research process
– From request to problem definition
– Dimensions of TA
– Problem definitions at OTA, EPTA…

4. Dimensions of TA
• Technology Assessment has three dimensions
(TAMI)
– The cognitive dimension –
• creating overview on knowledge, relevant to policy-making.
– The normative dimension –
• establishing dialogue in order to support opinion making.
– The pragmatic dimension –
• establish processes that help decisions to be made.

5. Requests made to TA organisations
• What are the (types of) requests made to TA organisations?
• What are the expected deliverables and outcomes?

6. Case 1 POST
• POST carries out horizon-scanning to anticipate issues of science and technology
that are likely to impact on policy. POST advisers present a shortlist of topics for
discussion at their quarterly Board meetings.
• The following projects have been approved by the Board, but work on them has not
yet begun.
– Maximising the Value of Recycled Materials: 'closed loop recycling'; the 'cradle to cradle'
movement to integrate reuse and recycling into product design; and the potential for
recovering rare and valuable metals from electronic products.
– Advanced Manufacturing: developments in 3D printing and other initiatives.
– Managing Identity Online: managing identity online, the implementation of single sign-on
systems and the 'user-centric identity' movement.
– Intermittent Electricity Generation: current evidence base for the impact of intermittency in
electricity systems such as wind, wave and solar power.
– Biodiversity in UK Overseas Territories.
– Drug-resistant Tuberculosis.
– Mental Health and the Workplace.
– Reducing Greenhouse Gas Emissions from Livestock.

7. Case 6 ITAS-KIT
• Relevance for problems and practice: With its research, ITAS ties in with the need for
consultation on the impacts of science and technology. The knowledge is developed
against the background of societal problems, discourses, and upcoming decisions on
technology.
• Relation to the future and reflexivity: As a basic principle, there is always a
prospective aspect in the research work of the institute since it deals with the future
impacts of human action and societal decisions.
• Normativity and sustainability: ITAS approaches the problem of technology
assessment with scientific means. Ethical criteria and the general principle of
sustainable development provide a stable guideline.
• Inter- and transdisciplinarity: The range of tasks of ITAS requires an interdisciplinary
crossing of the disciplines’ borders and the transdisciplinary participation of
stakeholders and citizens.

8. Ordering TA studies/processes
• Whose groups order TA studies/processes?
• Who are the addressees of the knowledge produced through TA
studies/processes?

9. Case 1 POST
• POST Board
• The POST Board oversees POST's objectives, outputs
and future work programme. It meets quarterly. The
Board comprises:
– 14 parliamentarians drawn from the House of Commons (10) and
the House of Lords (4), roughly reflecting the balance of parties in
Parliament.
– Leading non-parliamentarians from the science and technology
community.
– Representatives of the House of Lords and the Department of
Information Services of the House of Commons.

10. Case 2 NSF
– NSF components of TA:
• 1. Examine problem statements
• 2. Specify systems alternatives
• 3. Identify possible impacts
• 4. Evaluate impacts
• 5. Identify the decision apparatus
• 6. Identify action options for decision apparatus
• 7. Identify parties at interest
• 8. Identify macrosystem alternatives (other routes to goal)
• 9. Identify exogenous variables or events possibly having an
effect on 1–8
• 10. Draw conclusions and recommendations

11. Case 3 - TAB
• TAB is an independent scientific institution created with the objective of
advising the German Bundestag and its committees on matters relating
to research and technology.
• TAB is operated by
– the Institute for Technology Assessment and Systems Analysis (ITAS) at the
Karlsruhe Institute of Technology-KIT.
– In executing its working programme the KIT cooperates with the Fraunhofer
Institute for Systems and Innovation Research (ISI), Karlsruhe, starting from
September 2003.
• The findings of TA projects and other TAB activities are primarily made
available in the form of TAB working reports.
• The final reports on TA projects are also published as printed papers of
the German Parliament (Bundestagsdrucksache).
• Since 1996 final reports on TA projects have appeared in a series of
books ("Studies by the Office of Technology Assessment at the
German Bundestag").

12. TAB's work
• Is oriented towards the information needs of the
Parliament and its committees.
– The political control organ is the Committee on Education,
Research and Technology Assessment, which decides on the
initiation of TA projects.
– Motions to start a TA project can be submitted by parliamentary
political groups on the Committee on Education, Research and
Technology Assessment or in other committees.
– TAB's director has scientific responsibility for the working results
of TAB.
– Rapporteurs from one or more committees assist TAB projects
and help integrate the results into the committees' activities.

13. Case 4 - STOA
• STOA is an official organ of the European Parliament, but its work is
carried out in partnership with external experts.
• These can be research institutes, universities, laboratories,
consultancies or individual researchers contracted to help prepare
specific projects.
• STOA increasingly focuses upon round-table expert discussions,
conferences and workshops with associated or consequent studies.
• Members of Parliament and invited experts from EU institutions,
international institutions, universities, specialist institutes, academies
and other sources of expertise worldwide can jointly participate in
the analysis of current issues at these events.

14. Case 5 DBT
• In 1996, the Danish Board of Technology developed a new concept
for hearings in Parliament greatly inspired by studies of the type of
hearings conducted in the American Congress.
• It begins with an application from one or more parliamentary
committees wishing to have a hearing. The application is often
based in a current technological debate that requires a political
stance or clarification.
• The primary goal of a hearing is to provide the politicians with the
information they need to carry out their work in Parliament.

15. From request to problem definition
• How is a social/political problem, and request formulated, framed,
defined and translated into a research/debate stimulating/TA
problem definition?

16. European Parliament
• EP Committees may request assessment projects from STOA
throughout the year.
• Suggestions are examined by the STOA Panel which decides on
STOA projects to be executed out of the SSTOA budget, and finally
approved by the Bureau of the European Parliament.
• MEPs may attend the STOA Panel and STOA meetings, which are
also open to EP officials/political group staff and MEP's assistants,
as well as representatives of other institutions.
• Operational responsibility is with the STOA team within Directorate
E (Legislative Coordination and Concilations) of the Directorate-
General for Internal Policies of the Union (DG IPOL).

17. Example from the case 5 - DBT
• Once the Danish Board of Technology has accepted the task, the actual
planning of the hearing can begin.
• Planning takes place in collaboration with the parliamentary committee that
has asked for the hearing. The committee is continually informed and
consulted as regards the planning of the hearing, and, in particular, about
the composition of the expert panel.
• The hearing is supervised by a moderator, who is familiar with the area but
wholly impartial in the event of a political dispute. The chairman of the
committee who has asked for the hearing may also act as moderator. This
group will often comprise 3-5 highly placed experts in the area that
participates in the hearing. These experts prepare in advance a written
presentation about the subject area or parts thereof. These written
presentations have been collated in a hearing dossier that is sent to the
politicians prior to the hearing.

18. TA models
• What makes the originality of a TA approach in general and what
are the different TA models (TA as a product/TA as a process,
various degrees of participation, infotainment)?

19. doing TA projects
• What are the different rationales of thinking, planning and
doing TA projects?

20. Procedure description (case 5 DBT)
• The most important planning task is to identify the angles on the problem
which are vested with the greatest interest, both politically and socially.
• Once the task has been solved, the relevant hearing experts must be
identified.
• The parliamentary committee can then approve the programme and the
hearing can get underway.
• At the conclusion of the hearing, the politicians can outline their points or
views in relation to the tabled topic. However, the political treatment of the
topic often does not take place until after the hearing, i.e. in the further work
of the committee/and or Parliament.
• Dialogue between politicians and experts can benefit politicians, but it can
also force experts to present their research findings and inaccessible
knowledge in a form that lay people understand. In this way, the hearing can
help to improve the communication of expert knowledge to the public.

21. Example 1: Electric mobility concepts and their significance
for the economy, society and the environment - TAB
• Conclusions and recommendations derived for the further
development and promotion of electric mobility in
Germany.
• The following steps are planned:
– foundations for a comprehensive evaluation of electric mobility
– basis for well-informed political decisions
– evaluation of the described technologies, applications and
development scenarios based on ecological, economic and
social aspects
– overall assessment of electric mobility and its potentials and
conclusions

22. Research steps - 1
• 1st - foundations for evaluation of electric mobility and
informed political decisions.
– This starts with an extensive description and analysis of the
technologies and applications regarded, including their
development potentials and both German and international
technology activities.
– The focus here will be on vehicles with traction batteries (plug-in
hybrids and battery electric vehicles). Hydrogen-powered fuel cell
vehicles are included for comparison.
– Promising market penetration scenarios and transport concepts for
integrating electric mobility into today’s transport systems are
described and analysed.
– The impacts of electric mobility on local authorities and cities are
considered as is their role in introducing electric mobility.
– Finally, energy scenarios for the improved integration of fluctuating
renewable energy sources due to the use of electric mobility are
described and analysed.

23. Research steps - 2
• 2nd - evaluation of the described technologies, applications
and development scenarios
– The ecological sustainability evaluation considers criteria such as
greenhouse gases, air pollutants and noise over the life-cycle of
batteries and vehicles as well as critical raw materials.
– The assessment of the economic sustainability incorporates an
analysis of the competitive situation between electric vehicles and
fuel cell vehicles including the options for developing a charging
infrastructure.
– In addition, the opportunities and risks of shifts in the automotive
value added chains and their impacts on Germany as an
automobile producing country are identified as well as an analysis
made of the effects of electric mobility on employment.
– The evaluation of the social sustainability covers the analysis of
road users’ acceptance of electric mobility as well as expected
impacts on their mobility behaviour.

24. Research steps - 3
• 3rd - in a synthesis, an overall assessment of
electric mobility and its potentials is
undertaken and conclusions are drawn.
• Different support strategies and measures are described
and critically assessed.
• Finally, conclusions and recommendations are derived for
the further development and support of electric mobility in
Germany.

25. Example 2 - A Sustainable Danish
Transport System (DBT)
• The project (2010-2011) was made in collaboration with a group of
experts and stakeholders from the transport sector to evaluate what it
will take – in terms of technology, organisation and planning – for the
transport system to alter to a 100% renewable energy (RE), and what
the consequences are for everyday life of the citizens, the welfare and
the society as a hole.
• The project uses scenario calculations. The scenarios are based on
how much mobility that can be achieved through a certain amount of
energy that will be available for the transport sector. The amount of
biomass is limited to the amount that can be produced in Denmark.
Besides this, there is a wish that the transformation has to be
economically and that the mobility shouldn’t be reduced.
• The project aims at identifying which decisions and activities are
necessary on a short and medium term to convert the transport sector
to RE in 2050. This is done in dialogue with stakeholders and
politicians.
• http://www.tekno.dk/subpage.php3?article=1782&toppic=kategori11&language=uk

26. Examples
• Fields covered by OTA
• Fields covered by EPTA studies
• Renewable energy systems fields at OTA and EPTA/STOA

27. OTA topics (related with e-mobility)
http://www.princeton.edu/~ota
• Alternative fuels • Energy technology
• Automobiles and automobile • International relations and
industry technology transfer
• Business and industry • Materials
• Climate change • Research and development
• Competitiveness • Science and technology
• Economic development • Transportation
• Electric power
• Energy efficiency

28. EPTA topics (related with e-mobility)
http://eptanetwork.org/projects.php?sorter=1
• Energy Efficiency (UK) • Sustainable cities - with focus on
• Hybrid and electric vehicles in Poland transport, housing and green areas
(PL) (SE)
• Access to public transport and mobility •in Poland
A Sustainable Danish Transport
(PL) System (DK)
• Electric mobility concepts and their • Intelligent and innovative
significance for economy, society, transportation systems (IITS) (BE-
environment (DE) FL)
• The future of the automotive industry • Intelligent transport systems (UK)
(DE) • Future urban transport (NO)
• Electric vehicles (UK) • Hydrogen: the discussion (BE-FL)
• Opportunities and risks of • Road Traffic and Health (BE-FL)
electromobility in Switzerland (CH) • Transport biofuels (UK)

29. What is e-mobility about?
• E-mobility as a TA topic
– Carbon-based fuel, environment, sustainability concepts
– Behaviour change and consumers attitudes
– Electrical vehicles
• Automobile
• Pedelec & e-bikes
• Buses
• Tram
• Train
– Transport of passengers (urban, regional)
– Electricity supply network
– Urban design
– Institutions and actors

30. Controversial cases
– Karlsruhe tram-train system
– MOBI-e (Portugal)
– others

31. Karlsruhe tram-train system: the starting problems
• The city traffic needs to be connected with the regional traffic by interfaces,
but is not intertwined.
• This system presented itself for decades as the main public transport model
for metropolitan areas.
• There was the problem to be able to attract new customers, because the
transition from train to tram or vice versa scared many potential passengers.
• The new S-Bahn networks were originated in large German cities such as
Munich, Frankfurt and Stuttgart, although creating direct links between the
city and surrounding areas, had a serious disadvantage: the high cost,
because inner-city routes are had been created in tunnel and existing lines
expansion often amounted to new building. The "classic" tram hardly had a
place in these concepts, whose networks have shrunk in many places or
completely disappeared.

32. The „Karlsruhe model“
• Train to train tracks were laid on the railway's own body, so that today about 80
percent of the network are independent of motorized transport.
• In addition, the tram was an acceleration program with 'built-in right of way'. At
most traffic lights, the tram driver 'Get Green' and bring his car quickly through
the city.
• Such powerful modern railway network was in turn a prerequisite for what was
later labelled worldwide as the 'Karlsruhe model': the combination of existing
railway lines to the network of trams and the development of a special generation
light rail.
– A link between the train lines and the tram network was about to be achieved, but turned
out the problem of different power systems. The tram runs on 750 volts direct current,
while the DB 15,000 volts, 16 2/3 Hz AC use. To drive a vehicle on both networks, the
VBK / AVG developed, in collaboration with the electronics group ABB, a light rail trolley
system with changer. From the first test rides in the summer of 1986 between Karlsruhe
and Worth, it took another five years before the two-system light rail cars were delivered.

33. MOBI-e (Portugal)
• The development of MOBI.E started back in 2008 and faced the
need to develop both the software and the hardware required for the
system deployment.
• MOBI.E is an open model suitable for any business model and
market format. Is an integrator of systems that is able to overcome
the lack of communication among the existing initiatives in different
parts of the world.
• It was designed to be implemented everywhere in a system of
systems approach, thus overcoming the lack of communication
between the different existing systems, independently of the
country.

34. The MOBI-e network
• When concluded, the pilot network will have
– 1,300 normal charging points
– charging a battery fully in 6-8 hours
– in 25 municipalities all around the country and
– 50 quick charging points
– charging a battery at 80% in 15-20 minutes
– located in the most important motorways in order to mitigate range-anxiety and
make travelling possible.
• In addition, any Operator can join the system and invest in charging
stations, adding up to the initial infrastructure.
• Partners:
– EDP (energy) and Magnum Cap (charging solutions)
– Siemens (home charging); EFACEC (smart-grid), Critical Software
(communication), Novabase (management platform)
– Inteli, CEIIA, Rener, Remobi (R&D)

35. Why these are TA cases?
• Problematics:
– Still not object of TA studies
– Some dependency from company strategy (KVV for Karlsruhe, and EDP
for MOBI-e)
• However:
– New technical solutions to be applied and available choices
– Major public interest
– Involvement of different stakeholders (transport services, energy
providers, R&D experts)
– Political involvement and decision process
– Interdisciplinarity of the approach:
• Consumers behaviours
• Urban planning
• Electric network supply system
• Transport engineering