SI-DRIVE Social Innovation: Driving Force of Social Change D1.4 Comparative Analysis (Mapping 1) Mapping the World of Social Innovation: A Global Comparative Analysis across Sectors and World Regions Project acronym SI-DRIVE Project title Social Innovation: Driving Force of Social Change Grand Agreement number 612870 Coordinator TUDO – Technische Universität Dortmund Funding Scheme Collaborative project; Large scale integration project Due date of deliverable July 2016 Actual submission date July 2016 Start date of the project January 2014 Project duration 48 months Work package 1 Theory Lead beneficiary for this deliverable TU Dortmund Authors Jürgen Howaldt, Antonius Schröder, Christoph Kaletka, Dieter Rehfeld, Judith Terstriep Dissemniation level Public This project has received funding from the European Union’s Seventh Framework Programme for research, technological development and demonstration under grant agreement no 612870. CONTENTS 1 Executive Summary ....................................................... 1 2 Introduction ................................................................. 3 3 Methodology ................................................................ 5 3.1 Uniqueness of the SI-DRIVE Approach ...................................................................... 5 3.2 First Empirical Phase: Global Mapping in Focus ....................................................... 7 3.2.1 Theory-based Framework for the Empirical Work ................................................... 9 3.2.2 Description of the Mapping Base ............................................................................ 11 3.2.3 Representativity: Reflecting the Broad Understanding of Social Innovation ......... 12 4 Key Dimensions ............................................................ 15 4.1 Concepts and Understanding of Social Innovation ................................................. 17 4.1.1 Background of the Analysis ..................................................................................... 17 4.1.2 Results of the Global Mapping ................................................................................ 18 4.1.2.1 Growing Importance of Social Innovation on a Global Scale .................................. 18 4.1.2.2 Diverse and Connected Policy and Practice Fields.................................................. 21 4.1.2.3 Innovation Streams and Embedded Innovation ..................................................... 25 4.1.2.4 Towards a Comprehensive Understanding of Social Innovation ............................ 28 4.1.2.5 Empowerment, User Involvement and Human Resources – Driving Force and Necessary Precondition of and for Social Innovation ............................................. 31 4.1.3 Conclusions and Open Questions ........................................................................... 34 4.1.3.1 Unclear Understanding of the Concept and Unexploited Potential of Social Innovation ............................................................................................................... 35 4.1.3.2 Empowerment and Human Resources ................................................................... 36 4.1.3.3 Increasing Cross-sector Collaboration: Social Innovation Ecosystem .................... 36 4.2 Objectives: Social Demands, Societal Challenges and Systemic Change Addressed ............................................................................................................... 39 4.2.1 Background of the Analysis ..................................................................................... 39 4.2.2 Results of the Mapping ........................................................................................... 41 4.2.2.1 Focus on Social Demands and Societal Challenges ................................................. 41 4.2.2.2 Varying Relevance of Policy Fields and Sectors in the World Regions ................... 43 4.2.2.3 Cross-sectoral Involvement on all Societal Levels .................................................. 50 4.2.3 Conclusions and Open Questions ........................................................................... 51 4.2.3.1 Objectives, Content and Processes ......................................................................... 52 4.2.3.2 Leeway or Systemic Change? Ambivalences in Social Innovation .......................... 52 4.2.3.3 Challenging Societal Levels and Output Perspectives............................................. 53 4.3 Resources, Capabilities and Constraints ................................................................. 55 4.3.1 Background of the Analysis ..................................................................................... 55 4.3.2 Results of the Mapping ........................................................................................... 58 4.3.2.1 Personnel and Financial Resources as Foundations of Social Innovations ............. 58 4.3.2.2 Drivers and Barriers: Societal Challenges and Local Social Demands are the Origin of Social Innovations driven by Individuals, Groups or Networks ............... 67 4.3.3 Conclusions and Open Questions ........................................................................... 84 4.4 Actors, Networks and Governance ......................................................................... 88 4.4.1 Background of the Analysis ..................................................................................... 88 4.4.2 Results of the Global Mapping ................................................................................ 90 4.4.2.1 Type of Actors ......................................................................................................... 91 4.4.2.2 Involvement of Users/Beneficiaries ........................................................................ 96 4.4.2.3 Networks and Alliances ......................................................................................... 100 4.4.2.4 Actors’ Functions and Roles in Social Innovation ................................................. 104 4.4.2.5 Actors as Implementers ........................................................................................ 106 4.4.2.6 Levels of Governance ............................................................................................ 107 4.4.3 Conclusions and Open Questions ......................................................................... 113 4.4.3.1 Actors and Networks ............................................................................................. 113 4.4.3.2 Governance ........................................................................................................... 115 4.5 Process Dynamics .................................................................................................. 116 4.5.1 Background of the Analysis ................................................................................... 116 4.5.2 Results of the Global Mapping .............................................................................. 117 4.5.2.1 Acceleration of Social Innovation ......................................................................... 118 4.5.2.2 Social Innovators’ Motivations, Intentions and Strategies ................................... 118 4.5.2.3 From Invention to Impact ..................................................................................... 123 4.5.2.4 Diffusion by Imitation ........................................................................................... 125 4.5.2.5 Processes of Scaling .............................................................................................. 126 4.5.2.6 Transfer of Social Innovation ................................................................................ 130 4.5.2.7 Social Innovation Outcomes ................................................................................. 131 4.5.2.8 Barriers in the Innovation Process ........................................................................ 135 4.5.3 Conclusions and Open Questions ......................................................................... 136 5 Summary and Conclusions ............................................. 139 5.1 Background ........................................................................................................... 139 5.2 Summary of the Results: The Emergence of an Ubiquitous Concept - Increasing Importance of Social Innovation on a Global Scale .............................................. 140 5.3 Conclusions - Increasing Importance and Undeveloped Potential ....................... 148 5.4 Implications for SI-DRIVE Research ....................................................................... 152 6 References ............................................................... 154 Figures and Tables Figures Figure 1: Continuously Updated Research Cycle ................................................................ 7 Figure 2: Deductive-Inductive Approach ............................................................................ 7 Figure 3: Elements of the First Empirical Phase ................................................................. 8 Figure 4: Key Dimensions of Social Innovation................................................................. 10 Figure 5: Worldwide Mapping of SI-DRIVE (Region, where the social innovation was implemented) .................................................................................................... 19 Figure 6: Starting Year of the Initiative (2000 – 2015) ..................................................... 19 Figure 7: Starting Year of the Initiative from 2006 to 2015 (European and non-European Countries) .......................................................................................................... 20 Figure 8: Policy Fields the Initiative is Addressing by Ranks ............................................ 21 Figure 9: Interrelation of Policy Fields Addressed (%-values indicate the ranks 2 and 3 of the other policy field) ........................................................................................ 22 Figure 10: Innovative Character of the Solution ................................................................ 25 Figure 11: Innovative Character of the Solution (by Policy Fields) ..................................... 26 Figure 12: Connectedness of the Initiative with Overarching Configurations (multiple responses) ......................................................................................................... 28 Figure 13: Sectors Actively Involved in the Practice Field (multiple response) .................. 29 Figure 14: Sectors Engaged in the Policy Fields (% of naming in the policy field).............. 30 Figure 15: Partners Involved in the Initiative by Type (multiple responses, % of all engaged partners) ............................................................................................................ 31 Figure 16: Cross-cutting Themes addressed by the Initiative (multiple responses, % of naming) .............................................................................................................. 32 Figure 17: User Involvement (Policy Fields – World Regions) ............................................ 33 Figure 18: User Involvement in the Policy Fields, EU and Non-EU ..................................... 34 Figure 19: Eco-System of Social Innovation ....................................................................... 37 Figure 20: New Innovation Paradigm ................................................................................. 40 Figure 21: First Motivation or Triggers for Initiating the Social Innovation (multiple responses) ......................................................................................................... 41 Figure 22: Societal Levels Addressed (multiple responses)................................................ 42 Figure 23: Overlapping of Sectors the Practice Field is Addressing ................................... 43 Figure 24: Ranking within the Policy Fields (rank 1 to 3) ................................................... 44 Figure 25: Main Policy Fields in World Regions (rank 1) .................................................... 45 Figure 26: Cross-cutting Themes in World Regions (multiple responses) .......................... 47 Figure 27: Societal Levels Addressed in European Regions and Non-EU Countries ........... 48 Figure 28: Sectoral Involvement by Societal Level (multiple responses, % of cases within the societal level)............................................................................................... 50 Figure 29: Sectoral Involvement in World Regions (multiple responses, % of cases within the sector) ......................................................................................................... 51 Figure 30: Number of Persons, directly involved in the initiative (employees, volunteers, external advisers) .............................................................................................. 59 Figure 31: Number of Employees of the Initiative (Policy Fields) ...................................... 61 Figure 32: Yearly Budget ..................................................................................................... 62 Figure 33: Funding Sources ................................................................................................ 64 Figure 34: Funding Sources (World Regions) ..................................................................... 66 Figure 35: Main Drivers (multiple responses) .................................................................... 69 Figure 36: Barriers (multiple responses) ............................................................................ 74 Figure 37: Barriers of New and Adopted Social Innovations .............................................. 78 Figure 38: Barriers of the Policy Fields ............................................................................... 79 Figure 39: Main Drivers of the Policy Fields (basis: number of cases Rank 1, 2, 3 within the policy field) ........................................................................................................ 80 Figure 40: Type of Partner Engaged in Social Innovation Initiatives (multiple responses) 91 Figure 41: Type of Partner by Policy Field (% of cases in policy field) ................................ 96 Figure 42: Form of User Involvement in Social Innovation (multiple responses) .............. 97 Figure 43: Forms of User Involvement by Policy Field (% of cases within policy field) ...... 98 Figure 44: Forms of User Involvement by Region (% of cases within region) .................. 100 Figure 45: Number of Partners per Initiative ................................................................... 101 Figure 46: Geographic Spread of Networks ..................................................................... 102 Figure 47: Social Innovation Alliances by Type of Partner ............................................... 103 Figure 48: Actors’ Functions in the Initiative (multiple responses) .................................. 104 Figure 49: Actors’ Functions in Social Innovation by Type of Actor (multiple responses, % of cases within single types) ................................................................................ 105 Figure 50: Central Developers and Promoters by Type of Actor ...................................... 106 Figure 51: Main Implementing Bodies (multiple responses) ........................................... 107 Figure 52: Social Innovation Initiatives Relatedness to Governance Frameworks (multiple responses) ....................................................................................................... 108 Figure 53: Initiatives’ Relatedness to Governance Framework by Size of Partnership (multiple responses) ........................................................................................ 109 Figure 54: Governance Frameworks by Policy Fields (% of cases within the policy field) 110 Figure 55: Social Innovation Initiatives’ Levels of Governance ........................................ 111 Figure 56: Initiatives’ Levels of Governance by World Regions ....................................... 112 Figure 57: Initiatives’ Starting Date by Policy Field (% of cases within policy field) ......... 118 Figure 58: Social Innovators’ Motivation by Starting Year (multiple responses) ............. 119 Figure 59: Actors’ Motivations by Policy Field ................................................................. 121 Figure 60: Social Innovators’ Motivation by World Regions ............................................ 122 Figure 61: Current Project Share ...................................................................................... 123 Figure 62: Initiatives’ Development Stage by Policy Field (% of cases per policy field) ... 124 Figure 63: Project Development Stage by World Regions (% of cases in impact/implementation resp. testing/ideation/invention stage) ................... 125 Figure 64: Innovative Character by World Region (% of cases in world region) .............. 126 Figure 65: Scaling of Social Innovation by Mechanism .................................................... 127 Figure 66: Scaling Mechanisms by Policy Field (% of cases within policy field) ............... 129 Figure 67: Geographic Scope and Mechanisms of Transfer (multiple responses) ........... 130 Figure 68: Social Innovation Outcomes (multiple responses) .......................................... 132 Figure 69: Social Innovation Outcomes by Level Addressed ............................................ 133 Figure 70: Outcomes by Policy Fields ............................................................................... 134 Figure 71: Barriers by Societal Level ................................................................................. 135 Tables Table 1: SI-DRIVE Mapping: Dimensions / Indicators, Variables ..................................... 12 Table 2: Main Practice Fields of Social Innovation (Policy Fields) (consisting of 10 or more cases) ................................................................................................................. 24 Table 3: Innovative Character of the Solution (World Regions) ..................................... 27 Table 4: Sectors Addressed by the Practice Fields (World Regions) (multiple responses) ......................................................................................................... 30 Table 5: Societal Level Addressed by Policy Fields (multiple responses) ........................ 43 Table 6: Involved Persons (Policy Fields) (: average number) ..................................... 60 Table 7: Number of Employees of the Initiative (World Regions) (: average number) 61 Table 8: Funding Sources (Policy Fields) ......................................................................... 65 Table 9: Motivation and Triggers for Social Innovation (Policy Fields) (multiple responses) ........................................................................................................................... 68 Table 10: Main Drivers of the Policy Fields (rank 1) (basis: number of cases rank 1, 2, 3 within the policy field) ....................................................................................... 70 Table 11: Main Drivers within the World Regions (basis: number of cases rank 1, 2, 3 within the policy field) .................................................................................................. 71 Table 12: Other Barriers Mentioned (N=185) ................................................................... 75 Table 13: Main Barriers within the World Regions (multiple responses) ......................... 82 Table 14: Actor Types and Roles ....................................................................................... 89 Table 15: Summary of Main Scaling Strategies (CLR, Davies 2014, p. 71) ...................... 117 Table 16: Scaling Activities by World Region (% of cases) .............................................. 130 Acknowledgement We would like to thank Dmitri Domanski, Jennifer Eckhardt, Maria Kleverbeck, Luise Kuschmierz, Maria Rabadejeva and Marthe Zirngiebl for their valuable contributions to the reports and data analysis. SI-DRIVE Partners We have to thank as well all the SI-DRIVE partners and their Social Innovation experts for their extensive work of mapping the world of innovation:  Technische Universität Dortmund – Sozialforschungsstelle (Social Research Centre) - TUDO -, Dortmund, Germany (Coordinator)  Applied Research and Communications Fund – ARCF -, Sofia, Bulgaria  Australian Centre for Innovation - ACIIC -, Sydney, Australia  Austrian Institute of Technology – AIT -, Vienna, Austria  Bertha Centre for Social Innovation and Entrepreneurship, University of Cape Town – UCT-, Rondebosch Cape Town, South Africa  Brunel University – UBRUN -, London, United Kingdom  Centre de recherche sur l’innovation sociale, Center for research on social innovation University of Quebec - CRISES -, Montreal, Canada  Corporation Somos Más - SOMOSMAS -, Bogota, Colombia  Heliopolis University - HU -, Cairo, Egypt  Instanbul Teknik Universitesi - ITU –, Istanbul, Turkey  Institut Arbeit und Technik / Institute for Work and Technology, Westfälische Fachhochschule Gelsenkirchen – IAT -, Gelsenkirchen, Germany  Institute of Socio-Economic Development of Territories of the Russian Academy of Sciences - ISEDT RAS -, Vologda, Russian Federation  International Organisation for Knowledge Economy and Enterprise Development, FORENINGEN - IKED -, Malmö, Sweden  Kazimiero Simonavičiaus Universitetas - KSU -, Vilnius, Lithuania  LABORATORIJ ZA DRUSTVENE INOVACIJE UDRUGE, social innovation lab - SIL -, Zagreb, Croatia  Lama Development and Cooperation Agency - LAMA -, Florence, Italy  Netherlands Organisation for Applied Scientific Research – TNO -, Leiden, The Netherlands  Ryerson University - RU -, Toronto, Canada  Tata Institute of Social Sciences - TISS -, Mumbai, India  The Young Foundation – YF -, London, United Kingdom  United Nations Economic Commission for Latin America and the Caribbean - ECLAC -, Santiago de Chile, Chile  Universidad de la Iglesia de Deusto / University of Deusto - UDEUSTO –, Bilbao, Spain  University Danubius Galati - UDG -, Galati, Romania  Zentrum für Soziale Innovation / Centre for Social Innovation Vienna – ZSI -, Vienna, Austria  Zhejiang University Hangzhou - ZJU -, Hangzhou, China (People's Republic of) Executive Summary 1 EXECUTIVE SUMMARY While the SI-DRIVE Critical Literature Review (Howaldt et al. 2014a) provided a general depiction of how social innovation resonates within the wider frameworks of existing innovation theory and research, the concepts and perceptions of social change and of societal and policy development, the purpose of the Comparative Analysis is to check the theoretical framework against the first empirical dataset of SI-DRIVE (empirical phase 1). This first Comparative Analysis investigates empirical data based on more than 1.000 cases in seven major policy areas all over the world, supplemented by policy field related state of the art reports, a regional trend study including the major world regions (Australia/New Zealand, Western and South-East Asia, North and South Africa, North and South America, Russia) and first policy and foresight workshops. SI-DRIVE aiming at a comprehensive and systematic analysis is focusing on the main societal challenges reflected by different policy fields and combining qualitative research (reviewing and reporting social innovation relevant theories and state-of-the art) with a first quantitative mapping of the whole world of social innovation. Against this background and as an explorative inventory of an almost unknown area the Comparative Analysis is providing an overview of various types of social innovations in the seven policy areas (education, employment, environment and climate change, energy supply, transport and mobility, health and social care, and poverty reduction and sustainable development). The report is delivering new intelligence on the diversity of social innovation approaches in different parts of the world used by practitioners, researchers and policy makers, reflecting the diversity, broadness and usability of social innovation, proving the variety of actors and their interaction and exploring the systemic character and concept of social innovation. The conducted mapping demonstrates the need for social innovation to overcome the (policy field related) societal challenges and social demands and the broad range of practice fields covered by the initiatives. In every policy field we find an increasing number of social innovation initiatives addressing a high diversity of social needs and societal challenges, not limited to one but often work across several policy fields. Social innovation has become a ubiquitous concept. The main results at a glance: 1. Social needs and societal challenges are the focus, start, motivation, trigger and driver 2. Social innovations in a sense of new practices appear in a variety of forms and concepts and high dynamics appear 3. Manifold actors and cross sector collaborations are the emerging backbone 4. Empowerment and user involvement are a core element 5. Complexity of the innovation processes needs different modes of governance 6. Emerging ecosystems in front 7. Different levels of intervention are necessary 8. Practice Field approach helps to combine social innovations 9. Resources and barriers are manifold 10. Framework conditions and enabling factors still need to be developed 1 Executive Summary 11. Social Innovation Initiatives - driven by problems and depending on individuals! The results of the global mapping reveal the importance of social innovation addressing social, economic, political and environmental challenges of the 21st century on a global scale. At the same time there is an increased awareness of the size of the challenges modern societies are facing and the complexity of innovation processes. Like technological innovations successful social innovations are based on a lot of presuppositions and require appropriate infrastructures and resources. Moreover, social innovations are requiring specific conditions because they aim at activating, fostering, and utilizing the innovation potential of the whole society. Therefore, new ways of developing and diffusing social innovations are necessary (e.g. design thinking, innovation labs etc.) as well as additional far reaching resources, to unlock the potential of social innovation in society and to enable participation of the relevant actors and civil society. This is not only a matter of appropriate funding but also of new participation and collaboration structures, co-creation and user involvement, empowerment and human resources development. Attention has to be paid to the invention and its development as well as its diffusion and imitation. From this innovation process and development perspective resources, capabilities and constraints, drivers and barriers are not only relevant for the invention and implementation but also for scaling and diffusion of successful innovations. The mapping demonstrates that social innovation processes and the underlying resources, capabilities and constraints are also very much related to the actors of the different sectors of the social innovation ecosystem. This includes a new role of public policy and government for creating suitable framework and support structures, the integration of resources of the economy and civil society as well as supporting measures by science and universities (e.g. education for social innovation performance, know- how transfer). A broad spectrum of social innovations is present in the policy fields. All Policy Field Reports notify an unclear understanding of the concept of social innovation, discuss social innovations in their policy fields even if they are not called social innovations, and call for further social innovations to respond to the societal challenges the world is facing. So one of the most important insights of the mapping is that given the strong need for social innovation highlighted by the various policy field experts, and, bearing in mind the drivers but in particular also the barriers for social innovation a social innovation friendly environment still has to be developed in Europe as well as globally. 2