evidence and causality in the sciences university of kent, centre for reasoning 5-7 september 2012...

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Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of sciences Catherine Laurent * * Institut National de la Recherche Agronomique Department « Science for Action and Development » UMR 1048, Paris, France

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Page 1: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Evidence and causality in the sciencesUniversity of Kent, Centre for Reasoning

5-7 September 2012

Evidence aware policies, causality and plurality of sciences

Catherine Laurent *

* Institut National de la Recherche AgronomiqueDepartment « Science for Action and Development »UMR 1048, Paris, France

Page 2: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

1. Quality of evidence, plurality of sciences, policy making

2. When theoretical plurality is deliberately ignored. A case study (E. Duflo et al.)

3. Consequences for knowledge and policy

4. Causality analysis as a policy instrument

Page 3: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

1. Quality of evidence, plurality of sciences, policy making

2. When theoretical plurality is deliberately ignored. A case study (E. Duflo et al.)

3. Consequences for knowledge and policy

4. Causality analysis as a policy instrument

Page 4: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Evidence, plurality of sciences and policy making.

A presentation embedded in on-going exchanges between scientists (economics, ecology, agronomy, political science…), philosophers of science (Anne Fagot-Largeault, Daniel Andler, Marc Kirsch, Vincent Guillin…), students, enterprises and policy makers (mainly from the Ministries in charge of agriculture and environment).

Research projects with international collaborations, seminars, annual 3 days training session for Scientists, PhD students, and policy makers.

Page 5: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Evidence, plurality of sciences and policy making.

Overall objectives:

- To reach a certain agreement on what is an evidence and how the quality of evidence should be assessed (types of evidence, level of proof, social relevance…)

- To make the most of the plurality of theories and methodologies for both research and decision making. To produce metaknowledge on this plurality for decision makers.

- To import and test the heuristic potential of these discussions on evidence in several areas of applied research and policy making.

Page 6: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Evidence, plurality of sciences and policy making.

Two major conclusions:

1) the huge heuristic value of the debate on

evidence for many areas of research and policy making

2) the danger of a discussion on evidence that would not consider seriously the plurality of sciences.

Page 7: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

1. Quality of evidence, plurality of sciences, policy making

2. When theoretical plurality is deliberately ignored. A case study (E. Duflo et al.)

3. Consequences for knowledge and policy

4. Causality analysis as a policy instrument

Page 8: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Case study 1 (Duflo et al.)

A work presented by the authors as emblematic of their approach. Mentioned in many papers. An experimental framework regarding the purchase of fertilizers by small scale farmers in Kenya (Busia district). The final aim was to orientate public decision regarding access to fertilizers (subsidies, extension, market regulation)

The results are mentioned in many papers, interviews, etc. They are presented as high level evidence, that justify a change of public policies [4, 5]. They are also presented as an example that the J-PAL produces evidence of causality with a high degree of generality [2,p.357].

[1] Duflo E. 2003. Poor but rational? MIT/NBER/CPER/ 12 p. [2] Duflo E. 2004. Scaling up and evaluation. Annual World bank conference for reconstruction and development. 341-369. [3] BanerjeeA., Duflo E. 2008. The experimental approach to development economics. NBER WP n°14467. [4] Duflo E., Kremer M., Robinson J., 2008. How high are rate of return to fertilizers? Evidence from field experiment in Kenya. AEA. 21 p. [5] 2009. Nudging farmers to use fertilizers. Evidence from Kenya. Working Paper 53 p. [6] 2011. Theory and experimental evidence from Kenya. American Economic review. 2350-2390.

Page 9: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Case study 1 (Duflo et al.)

Duflo et al. have worked with NGOs in the Busia district. They feel that public policies should not subsidize access to fertilizers.

Duflo et al. have themselves verified in small plots (30 square meters) in 60 farms that the use of fertilizers results in a surplus yield whose value exceeds the price of these fertilizers (1) when the production is sold on the market. Then farmers –who are willing to maximize their profit- will use them if they are aware of these results. There is a need for information, not subsidies.

The results of the regional agronomic research (KARI) are only mentioned to support the "agronomic experiments" of Duflo et al. The authors do not consider the results of decades of agronomic and economic research/ extension in the regions, They do not consider the diversity of production systems, soils, labor organization, etc.).

Duflo E., Kremer M., Robinson J., 2008. How high are rates of return to fertilizers? Evidence from field experiment in Kenya. American Economic Review Paper, 482-488

Page 10: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

Neoclassical economics

Farmers are homo oeconomicus. Their behaviour is guided by universal rules (internal deliberation, maximisation of profit…).

The aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

Page 11: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

Neoclassical economics

Farmers are homo oeconomicus. Their behaviour is guided by universal rules (internal deliberation, maximization of profit…).

The aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

Recommendations for economic policies and public action. Access to fertilizers should be regulated by the market. No subsidies.

Page 12: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

Neoclassical economics

Farmers are homo oeconomicus. Their behaviour is guided by universal rules (internal deliberation, maximisation of profit…).

x

The aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

Page 13: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

Neoclassical economics

Farmers are homo oeconomicus. Their behaviour is guided by universal rules (internal deliberation, maximisation of profit…).

x

The aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

Farmers are not using fertilizers in spite of trials showing that it should increase their yield.

Page 14: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

There are several ways to deal with the anomalies of a research programme

To reject the theory.

To acknowledge the negative heuristic of the theory, its imperfections. To build auxiliary hypotheses to protect the hard core. This can be done in different ways. 1) By giving any factual interpretation of the anomaly.

Page 15: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

Neoclassical economics

Farmers are homo oeconomicus. Their behavior is guided by universal rules (internal deliberation, maximization of profit…).

xThe aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

Farmers are not using fertilizers in spite of trials showing that it should increase their yield.

Dissymmetry of information.

Kenyan farmers are not using fertilizers because they are not well informed

Page 16: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

There are several ways to deal with the anomalies of a research programme

To reject the theory.

To acknowledge the negative heuristic of the theory, its imperfections. To build auxiliary hypotheses to protect the hard core. This can be done in different ways. 1) By giving any factual interpretation of the anomaly. 2) By introducing evidence of causalities from other theories, within the same discipline, or from other disciplines.

Page 17: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

Neoclassical economics

Farmers are homo oeconomicus. Their behaviour is guided by universal rules (internal deliberation, maximization of profit…).

x

The aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

Farmers are not using fertilizers in spite of trials showing that it should increase their yield.

Other disciplines

1) Agronomy. The farmer makes decision for the farm as a whole. His rationality can be understood only at the level of the production system. (Sad, M. LeBail, etc.)

2) Sociology...;

Other theories, within economics

3) Path dependency (P. David, G.Dosi)

Rationality of agronomic decisions

Several factors orientate the technological innovation (learning process, inherited assets…)

Page 18: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

There are several ways to deal with the anomalies of a research programme

To reject the theory.

To acknowledge the negative heuristic of the theory, its imperfections. To build auxiliary hypotheses to protect the hard core. This can be done in different ways. 1) By giving any factual interpretation of the anomaly. 2) By introducing evidence of causalities from other theories, within the same discipline, or from other disciplines.

To transform the world in order to make it consistent with the theory. For instance, by designing experiments where individuals will be very strongly encouraged to behave as predicted by the theory. Duflo E., Kremer M., Robinson J., 2009. Nudging farmers to use fertilizers. Evidence from Kenya. Working Paper 53 p. 2011. Theory and experimental evidence from Kenya. American Economic review. 2350-2390

Page 19: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

Neoclassical economics

Farmers are homo oeconomicus. Their behaviour is guided by universal rules (internal deliberation, maximization of profit…).

xThe aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

Farmers are not using fertilizers in spite of trials showing that it should increase their yield.

1) Metaphorical use of a notion of clinical psychology. Procrastination = "Pathological" modes of individual and group behaviors (…) The standard assumption of rational, forward-looking, utility maximizing is violated”.(Akerlof 1991).

2) There is no attempt to integrate the anomaly in the theory; it will be removed with “an experimental procedure”

3) Visits of agents who sell fertilizers after harvest and “invite” to purchase quickly (reduced time spent thinking)

*

Page 20: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

An experimental framework that prevent people from thinking

• "By requiring an immediate decision during the field officer's visit and offering a simple option the programme may have reduced time spent thinking through which type of fertilizer to use and in what quantity" (Duflo et al 2009, p.18)

(This slide is dedicated to the agronomists, and specially to Mama Lyimo, S.Deckers, M.LeBail)

Page 21: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

neoclassical economics

Farmers are homo oeconomicus. Their behaviour is guided by universal rules (internal deliberation, maximisation of utility…).

x

?

The aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

Farmers are not using fertilizers in spite of trials showing that it should increase their yield

1) Metaphorical use of a notion of clinical psychology. Procrastination = "Pathological" modes of individual and group behaviors (…) The standard assumption of rational, forward-looking, utility maximizing is violated”.(Akerlof 1991).

2) There is no attempt to integrate the anomaly in the theory; it will be removed with “an experimental procedure”

3) Visits of agents who sell fertilizers after harvest and “invite” to purchase quickly (reduced time spent thinking)

Page 22: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Theory

Hard core Anomalies Auxiliary hypotheses Hypotheses to be tested

Neoclassical economics

Farmers are homo oeconomicus. Their behaviour is guided by universal rules (internal deliberation, maximisation of utility…).

x

The aggregation of these behaviors result in an optimal use of fertilizers, that will benefit both to individuals farmers and to the overall economic system.

?

Farmers are not using fertilizers in spite of trials showing that it should increase their yield

1) Metaphorical use of a notion of clinical psychology. Procrastination = "Pathological" modes of individual and group behaviors (…) The standard assumption of rational, forward-looking, utility maximizing is violated”.(Akerlof 1991).

2) There is no attempt to integrate the anomaly in the theory; it will be removed with “an experimental procedure”

3) Visits of agents who sell fertilizers after harvest and “invite” to purchase quickly (reduced time spent thinking)

Here no relevant evidence of causality that could helpful for development objectives. The theory does not progress. Rather high level of evidence of effectiveness (pseudo RCT) but measured in a way that is widely considered as non relevant (no link with the global performances and objectives of the farm household, etc).

A

Page 23: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

1. Quality of evidence, plurality of sciences, policy making

2. When theoretical plurality is deliberately ignored. A case study (E. Duflo et al.)

3. Consequences for knowledge and policy making

4. Causality analysis as a policy instrument

Page 24: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Consequences – knowledge-

- Reliability.

The research programme does not progress. It is maintained thanks to an auxiliary hypothesis that consider that 90% of the population has a pathological behavior. In spite of this importance of the negative heuristic of the research programme, the authors make policy recommendations.

The complexity of causal structures is denied. Theoretical imperialism; pluralism, interdisciplinarity are rejected.

- Relevance.

Some high level evidence is produced on the effectiveness of the action proposed in the experiment. But such evidence is not relevant for most of the actors (farmers [type of measurement of the final performances…], extension service [lack of reliable technical knowledge…], local authorities [do not consider subsistence farms], etc.) .

- Type of evidence.

In the absence of evidence of causality, evidence of effectiveness of an action is useless for designing a programme in an other context.

Page 25: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Consequences –power-

Ethical and political consequences

- Representations of the society

An hypothesis of pathological behavior, that is despising for the farmers involved in the survey. Such classifications are interactive kinds and may influence the behavior of the people who are classified, once they are aware of it (Merton, Hacking) (also for instance the two categories "sophisticated farmers / Absent minded farmers")

- Democracy

The authors argue that the farmers have "behavioral biases" [5, p.3], thus it is legitimate to reduce their decision margin (less time to make a decision = less procrastination).

- Accountability

Adverse effects, lack of efficiency, result from an inadequate behavior of the farmers.

Page 26: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

1. Quality of evidence, plurality of sciences, policy making

2. When theoretical plurality is deliberately ignored. A case study (E. Duflo et al.)

3. Consequences for knowledge and policy making

4. Causality analysis as a policy instrument

Page 27: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Causality analysis as a policy instrument?(Salamon 2002, Lascoumes Le Galès 2007)

A public policy instrument constitutes a device that is both technical and social, that organizes specific social relations between the state and those it is addressed to, according to the representations and meanings it carries. It is a particular type of institution, a technical device with the generic purpose of carrying a concrete concept of the politics/society relationship and sustained by a concept of regulation (Lascoumes, Le Galès 2007).

Page 28: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Causality analysis as a policy instrument?(Salamon 2002, Lascoumes Le Galès 2007)

A test case.

Farmers are using pesticides. Some pesticides are dangerous and may harm farmers' health. A label on the packaging of pesticides mentions the danger of the products and gives some indications to use it with no risk for the applicator's health. In spite of the danger, many farmers are not following these indication and may get intoxicated.

Page 29: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Causality analysis, as a policy instrument?

Causality analysis 1. Farmers are homo oeconomicus, maximizing profit. They evaluate the risk and make their decision accordingly. They do not put a protection equipment because they prefer to save time (and money) on this item.

to improve information on danger

(standard economics, supported by the pesticide industry)

Causality analysis 2. Farmers are rational, but they do not give priority to income. In depth investigation on protection equipment show that those are not adapted to agriculture, dangerous when it is hot (risk of heart attack). This is one of the causes of their behavior

protection equipment design (but what if no possible protection???)

(ergonomy, farmers associations)

Causality analysis 3. Farmers' behavior results from both conscious and unconscious processes. They are scared of pesticides danger and do not consider that they can protect themselves and their family. They deny the danger and adopt inconsistent behavior (C. Nicourt 2011).

to accept / organize debates on the necessity to reduce the danger and not only the risk

(social psychology, women)

Page 30: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Causality analysis, as a policy instrument

Each of this analysis correspond to a specific research programme. Each programme permits to produce a certain level of evidence (RCT are possible for few of them only). There are contradictions between the hypotheses of the hard cores of these research programme. But each of them provides results that illuminates a piece of world; for practical issues these results may complement each others.

For policy makers, two possibilities:

1) To focus on one type of analysis (and favor the associated interests)

2) To combine learning from various approaches. In that case, to design evidence aware-policies, there is a huge need for metaknowledge on sciences plurality, to help decision makers to assess the limits of each approach.

The danger of a discussion on evidence that would not consider seriously the plurality of sciences / The difficulties to fully introduce that dimension in the practice.

Page 31: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of
Page 32: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of
Page 33: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of
Page 34: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of
Page 35: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of
Page 36: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Des preuves, aux décisions fondées sur (ou éclairées par) des preuves

• 3 recommandations

- développer un certain accord sur ce qui constitue une preuve … des avancées conceptuelles permettent de mieux élucider situations d'usages des preuves mais, au cœur de la pratique, la question de la concurrence des preuves

- Souligner le pluralisme théorique et méthodologique plutôt que de

poursuivre les antagonismes paradigmatiques …possible mais tous les acteurs (y compris chercheurs) n'y ont pas intérêt.

- Rassembler les différents acteurs concernés (réfléchir à diverses formes de délibérations et d'accès aux connaissances…) pour que les résultats des recherches aient un impact élargi, au-delà des camps constitués …nécessite des dispositifs matériels et organisationnels spécifiques à créer et dont le fonctionnement démocratique est à inventer

Page 37: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Diversité des approches en termes d'"evidence-based ou evidence-aware policy"

Ce qui est en jeu: la relation à la pratique

Les débats et controverses sont nombreux. Des points sensibles

• Concurrence des preuves (par ex. ne pas favoriser l'usage de "preuves" de haut niveau au détriment de "preuves" pertinentes)

• La nécessité de tenir compte de l'incomplétude des savoirs produits par une théorie scientifiques et les moyens de le faire (par ex. tenir compte de la pluralité des théories, réfléchir à la combinaison de différentes formes de savoir pour l'action, etc.).

Page 38: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Types de preuves

Preuve de présence : mise en évidence de la présence d'une chose, par exemple

inventaires biologiques pour la biodiversité

Preuve de causalité : mise en évidence d'une relation de cause à effet, toutes choses

égales par ailleurs. EX1. : des molécules de la famille des triazoles

(prothioconazole…) inhibent un mécanisme de synthèses des stérols nécessaire

au développement de fusarium, champignon des cultures.

Preuves d'efficacité : mise en évidence de l’efficacité (plus ou moins grande) d’une action

(action d’une molécule, d’une personne, d’une politique…) indépendamment de la

connaissance des raisons de cette efficacité. Ex1. Au Mexique, augmentation

avérée des performances scolaires d'une catégorie d'élèves suite à crédit fait aux

parents. EX2. des molécules ont un effet fongicide sans que l’on connaisse leur

mécanisme d’action

Preuve de dangerosité (/innocuité). Mise en évidence de la dangerosité d’un produit,

d'une action, par exemple –dans un sens élargi- impact négatif d'un conseil

agricole inadéquat sur la survie d'exploitations de petite dimension.

Page 39: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Niveau de “preuve”Opinions d’autorités respectées

fondées sur l’expérience clinique, des études descriptives ou des rapports de comités d’experts.

“Preuves” à partir de comparaisons historiques

“Preuves” à partir d’une cohorte ou d’une étude cas-témoins.

“Preuves” obtenues à partir d’au moins un Essai randomisé contrôlé.

Médecine

1. Opinions d’autorités respectées fondés sur l’expérience, études descriptives, ou rapports de comités d’experts

2. “Preuves” obtenues à partir de comparaisons historiques ou géographiques.

3. “Preuves” obtenues à partir d’études de cas réalisées dans un dispositif contrôlé

4. “Preuves” avec un recueil de données pour un échantillon représentatif permettant des tests statistiques pour valider la robustesse des résultats, voire ERC

Economie du développement

Page 40: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Pluralité des sciences: pluralité théorique intra-discipline

Discipline ThéorieNoyau dur

Hypothèses protectrices

Hypothèses à tester

Domaine de validité

Néo-class

Economie Régulation

Etc.

SociologieStructuralisme critique

Prog syst.autonomes

Ecologie Prog syst. contingents

Page 41: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Pertinence des preuves

Une preuve est pertinente quand elle correspond pleinement au phénomène à considérer (pour comprendre un aspect particulier de réel ou atteindre un objectif). Mais précisément il n’y a pas forcément accord sur le type de phénomène qu’il faut considérer. Diffère selon

• Acteurs et à leurs intérêts (par ex. preuves à partir d'un groupe social particulier) [importance de tenir compte de la diversité sociale]

• Le contexte culturel, social, économique (ex. divergences sur les fonctions environnementales de l'agriculture selon les pays [importance des approches comparatives]

• Les théories mobilisées et les hypothèses qui les sous-tendent (par exemple importance analyse des régulations institutionnelles versus processus auto-organisation) [importance de tenir compte de la pluralité des théories intra- et inter-discipline]

Laurent & Trouvé, 2011. The question of « evidence » in the emergence of evidence-based or evidence-aware policies in agriculture. EAAE Ancona

Page 42: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of
Page 43: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Du rêve à la réalité

• Dans l’idéal des décisions informées par des types preuves adéquats à leur objet, de haut niveau, pertinentes

• Dans la réalité des arbitrages, des contradictions et des complémentarités à éclairer

Pour éviter usage de preuve de haut niveau mais peu pertinentes, au détriment de preuves pertinentes de moindre niveau

au sein des disciplines, entre disciplines, entre acteurs

Pour expliciter types de preuves mobilisées par les acteurs dans le débat et mieux maîtriser leur complémentarité

Pour expliciter les positions des professionnels de la production de preuves et se protéger des arguments d'autorité

Page 44: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Etude de cas 1. type de preuve, évaluation des politiques publiques et conception de nouvelles

politiques publiques

Pour évaluer l'efficacité d'une mesure de développement, nécessité de produire des preuves d'efficacité (par exemple augmentation avérée des performances scolaires d'une catégorie d'élèves suite à crédit fait aux parents)

Comment généraliser? Une réponse peu satisfaisante et la plus fréquente pour certains promoteurs des ERC en économie du développement: dupliquer. (Business de l'ERC)

Esther Duflo 2004. Scaling up and evaluation.

Page 45: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Etude de cas 1. type de preuve, évaluation des politiques publiques et conception de nouvelles

politiques publiques

L'autre possibilité, combiner la mesure de l'efficacité et la compréhension des relations causales qui expliquent succès ou échec de l'action.

Une démarche qui est inégalement mise en oeuvre

"Theory provides some guidance about what programs are likely to work and, in turn, the evaluation of these programs forms a test of the theory prediction" (Duflo 2004, Scaling up and evaluation, p.357).

"Theory« , singular….

Page 46: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of
Page 47: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

When tude de cas 1. type de preuve, évaluation des politiques publiques et conception de

nouvelles politiques publiques

L'autre possibilité, combiner la mesure de l'efficacité et la compréhension des relations causales qui expliquent succès ou échec de l'action.

Une démarche qui est inégalement mise en oeuvre

"Theory provides some guidance about what programs are likely to work and, in turn, the evaluation of these programs forms a test of the theory prediction" (Duflo 2004, Scaling up and evaluation, p.357).

"Theory« , singular….

Page 48: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

De l'anomalie épistémique à la pathologie mentale

• "Pathological" modes of individual and group behaviors: procrastination in decision making, undue obedience to authority (…).In each case, individuals choose a serie of current actions without fully appreciating how those actions will affect future perception and behaviour. The standard assumption of rational, forward-looking, utility maximizing is violated" (p.1)

Akerlof G., 1991. Procrastination and obedience. The American Economic Review, Vol. 81, n°2, 1-19

Page 49: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Décrire la pluralité théorique intra-discipline

• Lorsqu'ils se réfèrent à la pluralité des théories existantes les scientifiques se tournent régulièrement vers des concepts philosophiques. Les notions de "paradigme" de T.Kuhn et de "programme de recherche" de Lakatos sont parmi les plus prisées.

• La notion de "programme de recherche" paraît plus appropriée pour décrire la variété des théories qui coexistent à un moment t. – Elle permet de considérer toutes les théories au même niveau sans

privilégier celles qui sont socialement dominantes propose un cadre de description plus précis que celle de paradigme

– Elle décompose la description en plusieurs éléments

Noyau dur Hypothèses protectrices

Hypothèses à tester

Page 50: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Projet: décrire la pluralité théorique intra-discipline

Discipline Théorie

Noyau dur

Hypothèses protectrices

Hypothèses à tester

Domaine de validité

Néo-class

Economie Régulation

Etc.

Théories équilibre

Ecologie Ecologie paysage

Etc.

Page 51: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Projet: décrire la pluralité théorique intra-discipline

Discipline Théorie

Noyau dur

Hypothèses protectrices

Hypothèses à tester

Domaine de validité

Néo-class

Economie Régulation

Etc.

Théories équilibre

Ecologie Ecologie paysage

Etc.

Page 52: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Instrumentaliser la notion de "programme de recherche"

Hypothèses du Noyau dur Economie

Economie neo-classiqueUn fonctionnement économique harmonieux peu être obtenu dans un contexte de compétition parfaite. Existence d'équilibre alors démontrable

Les comportements individuels résultent d'une délibération interne dont les règles (maximisation de l'utilité ou du profit) sont indépendantes du contexte

Economie hétérodoxe (Institutionalisme historique)

Le processus d'accumulation du capital est décisif dans la dynamique économique d'ensemble. Il n'est pas spontanément équilibré par le marché et la compétition. Il prend diverses configurations dans le temps et l'espace.

Les comportements individuels résultent de processus conscients et inconscients et sont partiellement déterminés par la position sociale des individus

Page 53: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

To describe the diversity of scientific approaches

Hard core (e.g. on behaviours)

Neo-classical economy

- Individuals’ behaviour is intentional and determined by conscious processes. It is the result of internal deliberation. It is not influenced by the interactions in which each person is embedded (social position, personal history,...).

Heterodox economyHistorical

institutionalism

- Individuals' behaviours are partly determined by their integration into historically constructed institutions.The actions are determined by conscious and unconscious processes

SociologyCritical

structuralism

- Individuals' practices are partly generated by their habitus and dispositions stemming from their position in the social sphere.Practices are determined by conscious AND unconscious processes.

Page 54: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Décrire la diversité des théories intra-discipline

Hypothèses du noyau dur. Ecologie

Théorie de l'équilibre

Les écosystèmes évoluent vers un état stable (équilibre naturel) ; la dynamique des écosystèmes est déterminée par des facteurs internes à ces écosystèmes.

Les être humains ne font pas partie de la "nature".

Théorie de l'absence d'équilibre. Ecologie du paysageLes paysages sont des écosystèmes hétérogènes structurés hiérarchiquement dans le temps et l'espace. Leur dynamique est déterminée à la fois par des facteurs d'ordre interne et externe (interactions spatiales). Même s'il y a des états transitoires d'équilibre, l'hétérogénéité empêche l'établissement d'un équilibre général.

Les être humains sont des composantes du système et leurs activités sont des facteurs écologiques.

Page 55: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Collaborer entre disciplines

Noyau dur (par ex. sur des hypothèses d'équilibre)

Economie neo-classique

Un fonctionnement économique harmonieux peu être obtenu dans un contexte de compétition parfaite. Existence d'équilibre alors démontrable

Ecologie. Théories de l'équilibre

Dans des systèmes naturels, un équilibre peut être atteint, par exemple entre les animaux et les végétaux qu'ils pâturent. Il n'y a pas besoin de perspective historique.

Economie hétérodoxe

(Institutionalisme historique)

Le processus d'accumulation du capital est décisif dans la dynamique économique d'ensemble. Il n'est pas spontanément équilibré par le marché et la compétition. Il prend diverses configurations dans le temps et l'espace.

Ecologie. Théories du non

équilibre

Même s'il y a des états transitoires d'équilibre, l'hétérogénéité et facteurs abiotiques (par ex. précipitations) empêche l'établissement d'un équilibre général. L'histoire d'un site importe pour interpréter son état.

Page 56: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Evaluer les conséquences de choix théoriques pour la décision

La "tragédie des communs" et gestion des pâturages collectifs*La gestion des communs = addition de comportements individuels régis par règles universelles (maximisation des profits / utilité). *Les écosystèmes atteignent un état d'équilibre que si un taux de chargement recommandé est adopté. (Hardin 1968)

Limite les scénarios de crise et ignore les effets négatifs du démantèlement des institutions locales.

Limite de l'éventail des solutions possibles Institutions et régulations associées sont ignorées (Ostrom et al)

Possibilité de différent états stables des écosystèmes et les opportunités ouvertes pour la gestion des pâturages sont laissées de côté (Allsopp, Vetter, etc)

Page 57: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Vers des "boîtes à outils philosophiques"?

• L'interdisciplinarité et action sont confrontées à la pluralité des sciences.

• Nécessité d'expliciter les enjeux des différences théoriques intra-discipline (simplifications du réel, formes de validation, etc.) pour les scientifiques et les usagers potentiels de ces connaissances, pour préciser les angles morts de chaque approche et la distance à la réalité des scénarios qu'elles inspirent.

• Possible d'exploiter certains apports de la philosophie des sciences pour créer des métaconnaissances sur ces objets.

• Un exemple évoqué ici. D'autres existent. Et des réflexions sont en cours dans divers endroits sur des sortes de "boîtes à outil philosophiques" destinées à faciliter la circulation entre disciplines.

Page 58: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Instrumentaliser la notion de "programme de recherche"

Hypothèses du Noyau dur Economie

Economie neo-classiqueUn fonctionnement économique harmonieux peu être obtenu dans un contexte de compétition parfaite. Existence d'équilibre alors démontrable

Les comportements individuels résultent d'une délibération interne dont les règles (maximisation de l'utilité ou du profit) sont indépendantes du contexte

Economie hétérodoxe (Institutionalisme historique)

Le processus d'accumulation du capital est décisif dans la dynamique économique d'ensemble. Il n'est pas spontanément équilibré par le marché et la compétition. Il prend diverses configurations dans le temps et l'espace.

Les comportements individuels résultent de processus conscients et inconscients et sont partiellement déterminés par la position sociale des individus

Page 59: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

To describe the diversity of scientific approaches

Hard core (e.g. on behaviours)

Neo-classical economy

- Individuals’ behaviour is intentional and determined by conscious processes. It is the result of internal deliberation. It is not influenced by the interactions in which each person is embedded (social position, personal history,...).

Heterodox economyHistorical

institutionalism

- Individuals' behaviours are partly determined by their integration into historically constructed institutions.The actions are determined by conscious and unconscious processes

SociologyCritical

structuralism

- Individuals' practices are partly generated by their habitus and dispositions stemming from their position in the social sphere.Practices are determined by conscious AND unconscious processes.

Page 60: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Décrire la diversité des théories intra-discipline

Hypothèses du noyau dur. Ecologie

Programme du système autonome (hyp d'équilibre)

Les écosystèmes évoluent vers un état stable (équilibre naturel) ; la dynamique des écosystèmes est déterminée par des facteurs internes à ces écosystèmes.

Les être humains ne font pas partie de la "nature".

Programme du système contingent (absence d'équilibre) ex. Ecologie du paysage

Les paysages sont des écosystèmes hétérogènes structurés hiérarchiquement dans le temps et l'espace. Leur dynamique est déterminée à la fois par des facteurs d'ordre interne et externe (interactions spatiales). Même s'il y a des états transitoires d'équilibre, l'hétérogénéité empêche l'établissement d'un équilibre général.

Les être humains sont des composantes du système et leurs activités sont des facteurs écologiques.

Page 61: Evidence and causality in the sciences University of Kent, Centre for Reasoning 5-7 September 2012 Evidence aware policies, causality and plurality of

Collaborer entre disciplines

Noyau dur (par ex. sur des hypothèses d'équilibre)

Economie neo-classique

Un fonctionnement économique harmonieux peu être obtenu dans un contexte de compétition parfaite. Existence d'équilibre alors démontrable

Programme des systèmes

autonomes

Dans des systèmes naturels, un équilibre peut être atteint, par exemple entre les animaux et les végétaux qu'ils pâturent. Il n'y a pas besoin de perspective historique.

Economie hétérodoxe

(Institutionalisme historique)

Le processus d'accumulation du capital est décisif dans la dynamique économique d'ensemble. Il n'est pas spontanément équilibré par le marché et la compétition. Il prend diverses configurations dans le temps et l'espace.

Programme des systèmes

contingents

Même s'il y a des états transitoires d'équilibre, l'hétérogénéité et facteurs abiotiques (par ex. précipitations) empêche l'établissement d'un équilibre général. L'histoire d'un site importe pour interpréter son état.