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Social'Innovation'Regimes'
An!Exploratory!Framework!to!measure!Social!Innovation!!
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Javier'CASTRO'SPILA,'Álvaro'LUNA'&'Alfonso'UNCETA'
March'2016!
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ISSN$2365-1121$ $ !
SIMPACT$Working$Paper$Series$
Covers' research' on' the' «Economic' Foundation' of' Social' Innovation»'related' to ' theorising,' policy,' impact' as-
sessment,'foresight,'modelling'and'scenario'building.'
$
SIMPACT!!
SIMPACT' is' a' research' project' funded' under' the' European' Commission’s' 7th' Framework' Programme' from'
2014-2016'and'is'the'acronym'for'«Boosting'the'Impact'of'SI'in'Europe'through'Economic'Underpinnings».'The'
project'consortium' consists'of' twelve'European'research'institutions'and'is'led'by'the' Institute'for' Work'and'
Technology'of'the'Westphalian'University'Gelsenkirchen'in'Germany.''
$
Legal$Notice$
The'information' and'views'set'out'in'this'report'are'the' sole'responsibility'of'the'author(s)'and'do' not'neces-
sarily'reflect'the'views'of'the'European'Commission.'
'
Suggested$Citation$
Castro'Spila,'J.,'Luna,'A.'&'Unceta,'A.'(2016):'Social'Innovation'Regime.'An'Exploratory'Framework'to' measure'
Social'Innovation.'SIMPACT(Working(Paper,'2016(1).'Gelsenkirchen:'Institute'for'Work'and'Technology.'
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Social(Innovation(Regimes(–((
An(Exploratory(Framework(to(measure(Social(Innovation(
Javier'CASTRO'SPILA*,'Álvaro'LUNA*'&'Alfonso'UNCETA*'
*' Sinnergiak'Social'Innovation'–'University'of'the'Basque'Country'
'
%+'"&7/("-8*(
Keywords(
Social!Innovation!
Indicators!
Measurement!
Social!Innovation!Regime!
Vulnerability!
!
JEL'
O31,!035,!I31!
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Contents(
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2(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
1 INTRODUCTION(
The!development!of!social!innovation!indicators!
is! a! blank! spot!within! innovation! studies.! In! the!
scarce! academic! and! institutional! literature! availa-
ble! there! are! three! perspectives!that! can! be! identi-
fied! through!which!the!development!of!social!inno-
vation!indicators!can! be!explored:!i)! the!individual-
ist! approach! which!measures! propensity! to! social!
entrepreneurship! among! the! adult! population;! ii)!
the!regional/national!approach!which! measures! so-
cial! innovation! contexts! and! iii)! the! organisational!
approach! which! measures! social! innovation! activi-
ties.! The! three! approaches! have! various! limitations!
and!in!some!cases!they!can!be!complementary.!
The! present! document! suggests! the! concept! of!
Social!Innovation!Regime!with!the!purpose!of!devel-
oping! an! integrated! approach! of! social! innovation!
indicators! in! order!to!understand!the!interrelation-
ship! between! social! innovation! contexts! (meso! lev-
el)!and!social!innovation!dynamics!(micro!level).!!
At!the!72:*(62526,!the!concept!of!regional!vulner-
ability!is!proposed,!which!is!modelled!in!four!dimen-
sions:!a)! social!vulnerability,! b)!institutional!vulner-
ability,! c)! economic! vulnerability! and! d)! environ-
mental! vulnerability.! The! combination! of! these! di-
mensions!allows!the!comparison!of!different!region-
al! contexts! (in! Annex! I! meso!level!indicators! are!
suggested).!
At! the! 7-;+*(62526,! it! is! proposed! the! use! of! the!
COPI! (Components,! Objectives,! Principles! and! Im-
pact)! model! defined! by! the! SIMPACT! Project! (Re-
hfeld!et! al.,!2015)! in!order!to!explore!social!innova-
tion!dynamics!(in!Annex!II!micro!level!indicators!are!
suggested).!
This! document! is! organised! in! three! sections.!
Section! 2! evaluates!the! three! approaches! towards!
social! innovation! indicators!found! in! the! literature.!
Section!3!discusses!the!concept!of! social!innovation!
and!provides! a!model! of!the! social!innovation! cycle.!
In!section!4!he!concept!of!social!innovation!regime!is!
introduced.! The! concluding! remarks! in! section! 5!
summarise!the!discussion.! In! addition,!two!annexes!
are!provided:!Annex!I!offers!a!set!of!possible!indica-
tors!in!order!to!explore!regional!vulnerability,!while!
Annex!II!offers! a!set!of!potential!indicators!in! order!
to!explore!social!innovation!dynamics.!!
!
2 THE(THREE(PERSPECTIVES(TO(MEAS-
URE(SOCIAL(INNOVATION(
Despite! strong! demand! from! policy-making! in-
stitutions,!the! development!of!innovation!indicators!
is!still!a!pending!task.!This!is!because!there!is!still!no!
wide!consensus!on!what!is!social!innovation,!which!
are! its! determining! factors,! which! are! the! most! ap-
propriate! methodologies! to! measure! and! evaluate!
social! innovation! and! the! metrics! required! for! this!
purpose.!!
In!spite!of!the!weak!development!of!social!inno-
vation!measurement!models,!there!are!three!models!
that! can! be! identified! in! the! academic! and! institu-
tional! literature! which! seek! to! develop! a! system! of!
indicators!on!social!innovation:!the!individualist!ap-
proach,!the!organisational!approach!and!the!region-
al/national!approach!(Unceta!et!al.,!2016b).!
2.1 The(Individual(Approach(
Many! authors! understand! social! entrepreneur-
ship!as!a!dimension!of!social!innovation!(Ellis,!2010,!
John! et!al.,!2000,!Alvord! et! al.,! 2003,!Maclean!et!al.,!
2013)! and! identify! :*;-06(2.8+21+2.2>+:!as! :*;-06(-.D
.*508*+:!(European!Commission,!2013).!In!this!vein,!
studies!favour! the!development!of!social!innovation!
indicators!associated!with!the!assessment!of!charac-
teristics,! motivations! and! contexts! in! which! social!
entrepreneurs! develop! their! activities! (Zahra! et! al.,!
2009).!These!works!focus!both!on!case!studies!(Sen,!
2007)! and! comparative! analyses! at! the! territorial!
level!based!on!the! Social!Entrepreneurship!Monitor!
(Harding,! 2006,! OECD/European! Commission,!
2013).!
2.2 The(Organisational(Approach(
Different! from! the! individualist! view,! this! ap-
proach! favours! organisations! as! the! field!to! under-
stand!and!evaluate!social!innovations!(SINNERGIAK,!
2013;! European! Commission,! 2012).! In! this! frame-
work,!studies!on!hybridisation!and!social!innovation!
(hybrid! structures! in! companies,! NGOs! and! public!
sector)! which! highlight! the! emergence! and! govern-
ance! of! new! business! models! aimed! at! social! inter-
ests! and! purposes! stand! out! (Battilana! et! al.,! 2012;!
Grassl,! 2012;! Grohs,! 2014;! Pestoff,! 2015;! cf.! Ter-
striep,! et! al.! 2015).! Within! the! organisational! ap-
proach,!studies!which! highlight! the!development!of!
!
!*&"%7("--*0%'"*-(+/."#/(|(3(
organisational! capacities! for! social! innovation! can!
also!be!found! (Castro!Spila!&! Unceta,!2015).!In! this!
vein,! the! pilot! Project! RESINDEX! (Regional! Social!
Innovation! Index;! SINNERGIAK,! 2013)! develops! a!
model!based!on!the!organisations’!absorptive!capac-
ity.! The! model! offers! a! system! of! indicators! which!
allow!the!differentiation!between!potential!and!real-
ised! capacity! for! social! innovation! in! four! kinds! of!
regional! organisations:! companies,! NGOs,! universi-
ties! and! research! centres.! This! model! also! explores!
the! characteristics! of! the! social! innovation! projects!
developed!by!these! organisations!and! discusses!the!
results! obtained! at! regional! and! organisational! lev-
els!(SINNERGIAK,!2013).!
2.3 The(Regional/National(Approach(
Finally,! it! is! important! to! consider! the! move-
ment! promoted! by! European! policy! makers! which!
requires! the!development!of!social! innovation! indi-
cators! at! meso-macro! level! (regional/national)!
which! integrates!data! from! different! European!sta-
tistical! sources! to! obtain! a! set! of! comparable! and!
agreeable! indicators! (Krlev! et! al.,! 2014).! Along! this!
line,! the! European! FP7! project! TEPSIE!has! devel-
oped! a! model! to! measure! social! innovation.! The!
model! specifies! three! levels! of! measurement:! (a)!
Framework!conditions;!(b)!Entrepreneurial!activity;!
(c)!Field-specific!outcome!and!output;!and!discusses!
the! results! obtained! from! measuring! social! innova-
tion!(Krlev!et!al.,!2014).!
2.4 Limitations(
All!these!approaches! have! both!conceptual!and!
methodological! limitations.! Thus,! the! individualist!
approach!makes!it!possible!to!estimate!the!degree!of!
social! commitment! of! the! adult! population! (region!
or! country)! and! becomes! a! relevant! estimation! in!
order!to! explore!the!social!potential!of! social!entre-
preneurships.! However,! this! approach! focused! on!
social! entrepreneurships! has! limitations! to! under-
stand! and! measure! social! innovation! activities.! The!
first! one! is! a! conceptual! limitation.! Indeed ,! this! ap-
proach!reduces!social!innovation!to!social!entrepre-
neurship! although! they! are! two! different!universes!
both! from! the! point! of! view! of! the! enterpris-
ing/innovative!agency!and!its!means,!and!the!neces-
sary! skills! and! impact! that! needs! to! be! achieved!
(Groot! &! Dankbaar,! 2014;! Phills! et! al.,! 2008).! The!
second!limitation!refers! to!the!unit! of!analysis!used!
to! measure.! The! focus! on! social! enterprising! indi-
viduals! is! limited! in! order! to! explore! the! organisa-
tional! and! territorial! dynamics! of! social! innovation!
although! it! can! provide! a! good! image! on! the! active!
social!commitment!of!a!particular!population.!
The!regional/national!approach!has!a!methodo-
logical! limitation! because! the! use! of! secondary!
sources!is!based!on! surveys! and!information!which!
do! not! directly! refer! to! social! innovation! activities.!
Indicators!that!can!be!produced!in!this!approach!are!
indicators! of! the! environment! of! social! innovation,!
this!means!they!give!an!account!of!the!economic,!so-
cial,! political,! cultural! and! technological! environ-
ment! in! which!social! innovations! are!produced! but!
they!do!not!strictly!measure!social!innovations.!
The! organisational! approach! is! the! most! accu-
rate! one! to! measure! social! innovation! activities.!
Technological! innovation! indicators! are! produced!
from! this! organisational! dimension! and! evidence!
shows! the! importance! and! appropriateness! of! fa-
vouring! organisations! over! other! units! of! analysis!
and!sources!of!information! in! order! to!measure!in-
novative! activities! (OECD,! 2005).! At! the! organisa-
tional! level! it! is! possible! to! make! conceptual! and!
methodological! dimensions! coherent! in! order! to!
measure! social! innovation! activities.! However,! the!
construction! of! indicators! at! this! level! leaves! the!
question! of! the! regional! and! local! environments! in!
which!social!innovations!are!produced!unsolved.!
Given! these! limitations,! the! production! of! a!
common!set!of!social!innovation! indicators!involves!
the! conceptual,! methodological! development! and!
the! empirical! validation! of! an! integrated! model! be-
tween! micro! (organisational)! and! meso! (regional)!
levels! that! give! an! account! of! social! innova tion! dy-
namics!and!contexts.! The!following!section!contrib-
utes!to! the!exploration!of!an!integrated!approach!of!
social!innovation!within!the!framework!of! the! SIM-
PACT!Project.!
3 UNDERSTANDING(SOCIAL(INNOVATION(
Developing! a! social! innovation! measurement!
model! always! involves! a! conceptualisation! that!an-
swers! at! least! four! basic! questions! operationally!to!
guide!the!development!of!indicators.!
)308(-:(:*;-06(-..*508-*.J!This! question!is!basic!
since! it! establishes! the! demarcation! line!between!
innovative! (and! scales! of! innova tion! intensity)! and!
4(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
non-innovative! actors.! But! also! provides!guidance!
on!the!main!factors!that!organise!a!social!innovation!
as!well!as!its!results.!In!this!regard,!countless!defini-
tions! of! social! innovation!are! available.! Some! of!
which!are!more!operational! and!others!that!are!ra-
ther!theoretical! and! general.! The! latter!do! not! pro-
vide!guidance!for!the!development!of!indicators,!alt-
hough!they!can!be!useful!to!understand!the!sense!of!
social! innovation! and! its! differences! with! regard! to!
other! types! of! innovation.! Operational! definitions!
lose!the!richness!and!complexity! of!conceptual!defi-
nitions,!while!their!empirical!capacity!improves.!
)3*(<-264:(:*;-06( -..*508-*.J!This! question! es-
tablishes! the! unit! of! analysis! and! information! on!
which! social! innovation! is! advocated! (e.g.!regions,!
communities,! organisations,! individuals).! Again,! in!
social! innovation! studies! there! are! very! different!
views!on!who! develops! social!innovations!(Cajaiba-
Santana,! 2014;! Castro-Spila! et! al.,! 2015;! European!
Commission,! 2010,! 2011,! 2013;! Goldenberg,! 2010).!
In!general,!the!academic! and! institutional!literature!
distinguishes!corporate! actors! (the! list! of! these! ac-
tors!tends!to!be!extensive)!and!non-corporate!actors!
(e.g.!social!movements,!social!innovation! communi-
ties,!etc.).!The!analysis!and!information!units!are!re-
lated! to! data! sources! (statistical! series)! or! to! the!
possibility! of! producing!data! (implementing! ad! hoc!
social! innovation! questionnaires).! Therefore,! any!
indicator!system!has!to!clearly!define!who!is!the!so-
cial!innovation! agent!that!can!be!empirically! «inter-
rogated».! This! requirement! makes! it! necessary! to!
make!a!pragmatic!choice!on!the!analysis!unit!which,!
in! many! cases,! has! to! leave! out! c ountless! potential!
agents!that!may!be!conceptually!relevant!but!empir-
ically!are!not!likely!to!be!identified!and!incorporated!
into!an!indicator!system.!
K*C( -:( :*;-06( -..*508-*.( 7042J!The! answer! to!
this! question! is! not! simple! since! it! depends! on! the!
definition! (what! is! social! innovation),! the! chosen!
unit! of! analysis! (who! makes! social! innovation)! and!
the! data! available.! Although! useful! for! the! qualita-
tive! understanding! of! social! innovation,! available!
models! often! recommend! social! innovation! factors!
which! are! difficult! to! measure! quantitatively.! As!
highlighted!in!the!previous!section,!there!is!a!tension!
between! exploring! secondary! sources! in! order! to!
elaborate! comparable! indicators! at! regional/natio-
nal!level!(which!do!not! strictly!measure!social!inno-
vation! activities,! but! the! production! context),! and!
building! primary! sources! that!m easure!social! inno-
vation!(according!to!the!definition!and!analysis!unit)!
but!which! have!the!problem!of!(time!and!geograph-
ical)!comparability.!
)3-;3( +2:>68:( 4*( :*;-06( -..*508-*.:( 3052J!The!
impact! of! social! innovation! is! perhaps! the! most!
complex! part! to! measure!and! understand! both,! in!
qualitative! and! quantitative! terms.! Again,! social! in-
novation! results! depend! on! the! definition,! analysis!
unit!and!available! data.! However,! a! first! distinction!
between! social! innovation’s! «impact»! and! «effects»!
can!be!made.!In!the!first!case,!they!are!direct!and!ex-
pected!results!of! a!social!innovation!activity!in!a!de-
termined!period!of!time! (such!as!the!results!of!a!so-
cial! innovation! project).! The! second! case! concerns!
the!social!diffusion! of!social! innovation,!i.e.,! positive!
and!negative!externalities!of!social!innovation!activi-
ties! at! the! regional! and! non-regional! levels! whose!
temporariness! exceeds! the!objectives!and!time!of! a!
specific! social! innovation! activity.! The! relationship!
between!impact!and!effect!from!the!point!of!view!of!
measurement!is!related!to!the!level!of!control!of!in-
novative!activities’!results.!Impact!can!be!controlled,!
while!effects!cannot.!
In! line! with! these! criteria,! a! first! measurement!
of!social!innovation!is!suggested,!based!on!an!opera-
tional! definition,!i.e.,!a! definition! of! the! actors! that!
promote! social! innovations,! its! core!elements! and!
impacts!as!well!as!the!social!innovation.!
3.1 What(is(Social(Innovation?(
In! order! to! offer! an! integrated! model! of! meas-
urement!of!social!innovation,!the!operational!defini-
tion! developed! by! the! SIMPACT! project! is! used.! It!
defines!social!innovation!as:!
LMNO(0(.*526(;*7H-.08-*.(*9(-420:(0.4(
4-:8-.;8(9*+7:(*9(;*660H*+08-*.(8308(
8+0.:;2.4(2:80H6-:324(-.:8-8>8-*.06(;*.D
82I8:(C-83(832(2992;8(*9(271*C2+-./(0.4(
F+2DG2./0/-./(5>6.2+0H62(/+*>1:(2-832+(
-.(832(1+*;2::(*9(:*;-06(-..*508-*.(*+(0:(
0(+2:>68(*9(-8=P(
(Rehfeld!et!al.,!2015)!
!
This!definition!strengthens! the!relationship!be-
tween! institutional! context,! social! innovation! dy-
namics,! objectives! and! impact.! With! regard! to! the!
!
!*&"%7("--*0%'"*-(+/."#/(|(5(
context! and! dynamics,! the! definition! specifies! the!
knowledge! and! collaboration! relationships! neces-
sary!to!generate!products! and! processes!capable!of!
transcending!established!institutional!contexts,!that!
is,!overcoming! barriers!to!social!integration!(social,!
institutional,!economic!and!environmental!barriers).!
Regarding!the!social!innovation’s!objectives,!the!def-
inition!focuses!on! vulnerable!groups!in! society!with!
the! aim! of! empowering! and! re-including! th em! in! a!
social!standard!considered!acceptable!by!the!institu-
tional! context! in! which! social! innovation! is! pro-
duced.!The!condition!for!a!standard’s!acceptability!is!
linked! to! a! specific! social,! economic,! political! and!
environmental! configuration! within! an! institutional!
context.!
Social!innovations!express!then!an!answer!to!lo-
cal! conditions! of! exclusion! and! marginalisation! of!
!"#$%&'(#%)groups.!Therefore,!the!degree!of!!"#$%&*
'(+#+,-)(causes,!conditions!and!integrative!solutions)!
may!vary!from!an!institutional!context!to!another!as!
well! as! do! its! innovative! responses.! Figure! 1! illus-
trates! the! main! dimensions! of! social! innovation! es-
tablished! by! SIMPACT’s!operational! definition! (Re-
hfeld!et!al.,!2015).!
!
!
Figure'1.' Social'Innovation'as'empowerment'&(re-)engaging'
vulnerable'groups'
.$/,+,",+0$'#)10$,%2,)
Under!this!scheme,!the!institutional!context!has!
a! twofold! bearing.! On! the! one! hand,! institutional!
context! refers! to!the! interaction! of! political,! social,!
economic!and!environmental!conditions!which!sub-
stantiate! obstacles! to! the! social! integration! of! vul-
nerable!groups.!On!the!other!hand,!the!same!institu-
tional!context!creates!the!conditions!(drivers)!which!
facilitate! the! emergence! of!social! innovations,! i.e.,!
products!and!processes!which!develop!inclusion!ac-
tions.! Vulnerable!groups! are! affected!by! different!
kinds!of!exclusion!(cultural,!technological,!economic,!
social,!political,!etc.)!and!this!is!why!the!combination!
inclusion/exclusion! is! related! to! the! social! innova-
tion!modes! (Castro-Spila!&!Unceta,!2015).!That! is!to!
say,! the! multiplicity! of! ways! and! mechanisms!
through!which!socially!innovative!products!and!pro-
cesses! promote! the! inclusion! and! empowerment! of!
vulnerable!groups.!
The!concept!of!the!institutional!context!as!a!«fa-
cilitator»! of! social! innovations! as! well! as! «origina-
tor»!of! exclusions! and! marginalisation! suggests! a!
complex! relationship! between! different! types! of!
vulnerabilities!and!different!modes! of!social!innova-
tion.! As! is! shown!below,! the! institutional! context!
may! be! observed! as! an! environment! characterised!
by!four!kinds!of!!"#$%&'(+#+,+%/:!social,!institutional,!
economic!and!environmental,!which!create!the!ena-
bling!conditions!for!the!development!of!different!so-
cial!innovation!modes,!in!other!words,!several!prod-
ucts,! processes! and! mechanisms! of! empowerment!
and! social! integration.! The! relationships! between!
the!;*.82I8!and!4<.07-;:!of!social!innovation!consti-
tute!social! innovation! regimes! which!are!at! the! the!
core!of!this!contribution.!
3$04#%56%)
Social! innovations! are! the! result! of! novel! combina-
tions!of!knowledge!necessary!to!develop!viable!solu-
tions!to!the!complex!problems!of!integration!and!in-
clusion! of! vulnerable! groups.! Knowledge! is! the! or-
ganisations’!intangible!asset!and!it!refers!to!the!pro-
cesses! and! mechanisms! of! interpretation,! assimila-
tion,!recombination!and!exploitation!of! internal!and!
external! knowledge!to! implement! social! innova-
tions,! i.e.,! an! organisation’s! absorptive! capacities!
(Cohen! &! Levithal,! 1990;! Lane,! Koka! &! Pathak,!
2006).! From! this! point! of! view,! it! can! be! said! that!
social!innovations!set-up! epistemic!interventions!of!
interpretation! and! solution! of! social! problems! (Un-
ceta!et!al.,!2016a).!
10##'(0&',+0$/)
Social!innovations! are!collective!processes.!This!
statement! suggests! that! innovations! promote! coop-
eration!and!participation!processes.!In!the!first!case,!
cooperation! is! understood! as! the! process! in! which!
two! or! more! different! actors! share! information,!
knowledge!and!resources!to!develop!common!objec-
tives.! They! are! organisational! alliances.! In! the! se-
Institutional Context Institutional Context
DriversObjectives
Principles
Components
Barriers
Collaboration
Knowledge
Social Innovation Vulnerable
Process
Product
Inclusive
Action
6(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
cond! case,!participation!is!understood! as! processes!
and! mechanisms! from! which! the! target! population!
(marginalised!groups)! is! included! in! the! different!
phases! of! a! social! innovation!process.! Cooperation!
and!participation!processes!may!also!be! understood!
as! governance! dimensions! (corporate! and! social)!
which!constitutes!a!central!element!of!social!innova-
tions’! sustainability! (Castro-Spila! &! Unceta,! 2015;!
Rehfeld!et!al.,!2014).!
7"#$%&'(#%)8&0"9/)
Vulnerable!groups!are!all!those!who,!by!virtue!of!
their! age,! race,! sex,! economic! and! social! condition,!
physical! characteristics! and! cultural! and! political!
circumstances,!are!facing!obstacles!for!their!integra-
tion!in!a!determined!institutional!context.!
Social! innovators!develop! products,! processes!
and! services! linked! to! the! development! of! social!
competences!(empowerment)!within!these!vulnera-
ble! groups! in! order! to! reduce! their! vulnerability,!
that! is,! the! degree! of! exposure! to! the! risk! of! struc-
tural!exclusion.!
:&+!%&/;<'&&+%&/)
In! its! operational! definition,! the! SIMPACT! pro-
ject!provides!an! approach!to!identify!drivers!for!so-
cial!innovation,!in!other!words,!the!factors!that!pro-
mote!social!innovations!(figure! 1).!The! relationship!
between! drivers!and! barriers! of! social! innovation!
may! be! considered! as! an! inverse! relationship! ac-
cording! to! which! the! higher! the! drivers,! the! fewer!
the! barriers! and! vice! versa.! Understanding! social!
innovation!drivers! and! barriers! as! an! indivisible!
pairing! allows! us! to! analytically!emphasise! social!
innovation! dynamics.! These! are!understood! as! the!
examination!(experimentation!and!learning),!exploi-
tation! (prototyping! and! development),! evaluation!
(measurement!of!the!impact)!and!expansion!(escala-
tion!and!sustainability)! capacities!that!key!actors!in!
social!innovation!have!in!order!to!overcome!barriers!
of!several! kinds.!In! this!sense,!social!innovation! is!a!
process!of!overcoming! and! changing! existing!barri-
ers!in!a!specific!institutional!context.!
3.2 How(does(Social(Impact(happen?(
Social!innovation!can! be! understood! as!a!cyclic!
process.! The!cycle! concept! suggests! that! the! devel-
opment! of! an! innovative! activity! goes! through! dif-
ferent! successive! phases! considered! necessary! for!
the! innovative! process! to! take! place! (European!
Commission,! 2013;! Santos! et! al.,! 2013;! Mulgan,!
2006).!
Only!few! contributions!on!the! analysis! of!social!
innovation! cycles! are! found! in! the!literature,! while!
the!proposed!models!differ!in!the!number!of!phases.!
According! to! the! European! Commission!(2013:! 6),!
for! example,! the! social! innovation! cycle! comprises!
four! successive! phases,! where! scaling! up! social! in-
novation!is!the!final!stage!and!one!of!the! main!aims!
of!social!innovation.!
• Identification!of! new/unmet/inadequately! met!
social!needs;!
• Development! of! new! solutions! in! response! to!
these!social!needs;!
• Evaluation!of!the!effectiveness!of! new!solutions!
in!meeting!social!needs;!
• Scaling!up!of!effective!social!innovations.!
!
Murray!and! colleagues!(2010)!suggest!a!life! cy-
cle!of!six!stages,!where!producing!systemic!change!is!
the!ultimate!goal!of!a!social!innovation!(figure!2):!
• Prompts,! inspirations! and! diagnoses:! in! this!
phase,!factors,!which!underline!the!need!for!so-
cial!innovation,!are!structured.!
• Proposals! and! ideas:! in! this! phase,! ideas! and!
proposals!of!a!solution!to!the!identified!problem!
are!structured.!
• Prototyping! and! pilots:! in! this!phase,! ideas! are!
implemented! from! the! process! of! prototyping!
and!pilot!experiences.!
• Sustaining:! in! this! phase,! support! is! sought! in!
order! to! give! experiences!sustainability! (com-
panies,!projects,!laboratories,!etc).!
• Scaling! and! diffusion:! in! this! phase,! what! is!
sought! is! scaling! innovations,!diffusing! results!
and!facilitating!innovation!by!imitation.!
• Systemic!change:!this!is!the!final!stage! of!social!
innovation! and! it!implies!including!social!inno-
vation!in!a!system!of!interactions!with!other!in-
novations!and!other!social!actions.!The!systemic!
change! suggests! an! architecture,! which! gives!
support! to! other! innovations!(for! a! critical! re-
view!see!Terstriep!et!al.,!2015).!
!
!
!*&"%7("--*0%'"*-(+/."#/(|(7(
!
Figure'2.' Six'Stages'of'Social'Innovation'(Murray'et'al.,'2010)'
!
As!can!be!drawn! from! the! outlined! models,!so-
cial! innovation! cycles! are! described! from! the!per-
spective! of! successful! innovation!with! an! emphasis!
on! the! scaling! capacity! as! one! of! the! main! success!
measures.! Alternatively,! the! authors! propose!a!life!
cycle!scheme!which!interprets!the!social!innovation!
as! an! open-ended!process.! Such! approach!relates!
drivers!to!barriers!with!the!ultimate!aim!to!subsume!
the!innovation!in!the!mainstream!of!the!institutional!
context!in! which!innovation! is!produced.! Under!this!
scheme,! scaling! social! innovations! is! just! an! exter-
nality,!it! is!neither!an!aim!in!itself!nor!a!measure! of!
success.!
Accounting!for!innovative!failure! allows! for!the!
design! of! appropriate! policies! for! the! different!mo-
ments!of!the!innovative!process.!This! is!particularly!
important!as!each!phase!in!the!development!process!
involves! different! obstacles! (barriers)! and!necessi-
tates!distinctive!capacities! (drivers)! to! overcome!
related!obstacles.!The! scheme!proposed!starts! from!
a!set!of!assumptions:!
=//">9,+0$) ?@!Social! innovations! are! context!
specific,!i.e.,!they!are! produced! in! determined! insti-
tutional!contexts.! Contexts!express!social,!economic,!
political! and! environmental! conditions!which! are!
the!result!of! a! specific!and!endogenous!paths! of! re-
gional! development.! The! institutional! context! func-
tions! within! the! framework! of! a! particular! main-
stream! which! refers! to! the! set! of! resources! and!
knowledge! an! institutional! context! has! in! order! to!
manage! and! solve! distinct! problems! (political,! eco-
nomic,!social,!environmental).!Thus,!the!mainstream!
operates!as!a!paradigm! (a! network! of!policies!with!
an! epistemic! community)1!that! shares! a! hegemonic!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!!!!!!! !
1!! The! concept! of! networks! of! policies! (Agranoff! &! McGuire,!
2001;!Klijn!&!Koppenjan,!2000)!refers! to!the!articulation!of!
vision! on! the! characterisation! of! the! problems! and!
the! range! of! possible! solutions! to! solve! them! in! an!
acceptable!way!for!a!particular!welfare!standard.!!
=//">9,+0$)A:!Social!innovations! are!not!struc-
tured! around! the! solution! of! social! problems! but!
around!the! resolution!of! anomalies.!An! anomaly!ex-
presses! a! kind! of! social! problem! that! cannot! be!
solved! with! the! resources! and! knowledge! available!
in! the! mainstream.! Thus,! the! an omaly! is! expressed!
as!the!point!of!origin!of!a!social!innovation,!i.e.,!a!so-
cial! problem! that! summarises! changes! considered!
negative! in! the! social,! economic,!political! and! envi-
ronmental! conditions! of! a! particular! institutional!
context! and! whose! mainstream! cannot! solve.! Not!
every!social!problem!is! an! anomaly.! In! general,!the!
mainstream!offers!acceptable!solutions!to!a!diversi-
ty! of! social! problems! arising! from! the! dynamics! of!
inclusion/exclusion! produced! in!the! institutional!
context.! The! solutions’! degree! of! acceptability! de-
pends! on! the! moment! and! institutional! context! in!
question.! An! anomaly2!is! such,! as! long! as! there! is! a!
persistent! situation! of! exclusion! (economic,! social,!
cultural,! institutional,! technological! exclusion,! etc.)!
that!is!unacceptable!for!a!relevant!part!of!the!institu-
tional! context.! The! anomaly! creates! dynamics! of!
vulnerability!for!one!or!more!different!social!groups.!
Thus,! the! greater! the! divergence! of!social! groups’!
impairment!caused!by! the! anomaly,! the! higher! is!
their!negative!effect,!the!higher!the!difficulty!to!find!
innovative! solutions! and!the!greater!the! urgency! to!
find!these!solutions.!!
=//">9,+0$)B:!Social!innovations!are!guided!by!
the! search! for! sustainability! of! their! processes! and!
impacts.! Sustainability! must! be! understood! as! the!
vector!that!seeks! to!stabilise!an! innovative!solution!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!! !
public! policy! objectives! with! the! objectives! of! innovative!
companies,! knowledge! institutions! (in! particular! technolo-
gical! ones),! social! agents! and! political! parties.! In! this! way,!
the!design!of!policies!and!their!instruments!seek!to!align!the!
agents! around! long-term! strategic! regional! objectives.! The!
concept!of!epistemic! community,! in!this! case,! refers!to!the!
cognitive!paradigm!behind!the!networks! of!policies!accord-
ing!to! which!one! way!of! interpreting!problems! and!guiding!
their!solutions!is!hegemonic.!
2!! The!development!of!some! dynamics!of!inclusion/exclusion!
that! are! found! in! the! path! of! the! institutional! context! may!
lead!to!anomalies,!and!some!can!be!predicted!by!stipulating!
scenarios.!Thus,!for!instance,!in!some! institutional!contexts,!
the!current! problems!of!the!ageing!population! are!manage-
able!by!the! mainstream!but!in!the!long!run!they!tend!to!be-
come! an! anomaly.! The! same! can! be! said! of! some! environ-
mental!dynamics.!
1
Prompts
2
Proposals
3
Prototypes
4
Sustaining
5
Scaling
6
Systemic
Change
8(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
in! the! long! term! which! modifie s! the! causes! and! ef-
fects! of! an! anomaly.! The! principle! regulating! this!
vector!is! the!expectation! of!making! innovative!solu-
tions!part!of!the!routine!in!the!mainstream!of!a!par-
ticular!institutional!context.!This!suggests!that!social!
innovations!seek!in!their!sustainability!to!stop!being!
social!innovations.! When!a!social!innovation!is!inte-
grated!in!the!mainstream!it!does!it!in!terms!of!a!per-
formative! integration,! this! is,! a! transformation! by!
integration! that! modifies! the! para digm,! which! now!
has!routine!(normal)! solutions.! In!the!performative!
integration,! what! used! to! be! an! anomaly! is! now! a!
social! problem! for! which! the! new! mainstream! has!
acceptable!solutions.!!
=//">9,+0$)C:!Social! innovations! have!a!linear!
trajectory3!towards! performative! integration.! The!
principle!regulating! this!linear!vector! is!the! inverse!
relationship!between!the!pairing!driver/barrier.!The!
social! innovations! considered! as! an! evolutionary!
process! imply! a! heterogeneity! of! competences! for!
the!overcoming!of!a!diversity!of!barriers,!which!have!
the! capacity! of! making! a! social! innovation! fail.! To!
understand!the!social!innovation!in! terms!of! a!cycle!
allows!us!then! to! understand!the!necessary!drivers!
to! promote! innovations! according! to! different! mo-
ments!of! their!development,!what!guides! the! policy!
making!to!develop!fields!of!exploration!of!innovative!
solutions! to! the! anomalies! of! the! institutional! con-
text.!
In! the! light! of! these! assumptions,! a! model! of! a!
social! innovation’s! cycle! according! to! four! main!
phases!is! proposed.! Each! phase! implies! a! relation-
ship! between! driver,! barrier! and! impact.! As! shown!
in!figure!2,!the! scheme! suggests!two!different!insti-
tutional! contexts! (institutional! context! 1! and! 2).! In!
the!first!context,! we!explain!the!cycle! of!a!social! in-
novation!(linear!model)!which!goes!from!the!anoma-
ly!created!in! a!mainstream!(1)! towards! the!integra-
tion! of! innovative! solutions! in! a! new! mainstream!
(2).!This!means,!the!change!of!the!mainstream!by!an!
expansive! effect! of! a! social! innovation.! For! each!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!!!!!!! !
3!! Social!innovations!have!a!non-linear!and!interactive!nature.!
However,! for! the! purposes! of! conceptual! exploration! (to!
guide!the!empirical! research!and! production! of!indicators)!
it!is!assumed! as! a!linear! model! structured! in!phases! of! se-
quential! development! that! enables! the! identification! of!
drivers/barriers!and!impacts!of!social!innovation.!
'
'
phase! within! the! linear! model! it! is! suggested! that!
there!are! drivers!(D)! and!barriers! (B).!At! the!higher!
end!of!the!figure!it!is!suggested!that!a!social!innova-
tion! developed! in! an! institutional! context! 1! can! be!
transferred!to!an!institutional!context!2.!The!scheme!
indicates!that! scaling!a!social!innovation!is!an!exter-
nality!and!that!the!main!objective!of!a!social!innova-
tion! is! to! resolve! (interacting! with! it! during! the!
whole! cycle)! and! integrate! an! innovative! solution!
into!the!mainstream!transforming!it!by!colonisation.!
DE%)=$0>'#-)
An!anomaly!(A)!expresses!a!kind!of!social!prob-
lem! that! cannot! be! solved! with! the! resources! and!
knowledge!available!in! the! mainstream.!In!the! pro-
posed!scheme,!the!anomaly!is!expressed!as!the!point!
of!origin!of!a!social!innovation,!this!is,!a!social!prob-
lem!that!generates! vulnerabilities!(social,!economic,!
political! and! environmental)! for! which! the! main-
stream! does! not! have! the! appropriate! answers.! A!
social!problem! is!such!as!long!as!it!is!persistent!and!
creates! dynamics! of! vulnerability! for! one! or! more!
different!social!groups.! Thus,! the!more!heterogene-
ous! the! affected! social! groups! are,! the! higher! the!
anomaly’s! impact,! the! higher! the! difficulty! to! find!
innovative! solutions! and!the!greater!the! urgency! to!
find!these!solutions.!!
DE%)F%/90$/%/)0G),E%).$/,+,",+0$'#)10$,%2,)H>'+$*
/,&%'>)?I))
There! are! three! kinds! of! responses! to! an! anomaly:!
(a)!the! non! response.! This! means:! the! institutional!
context! does! not! answer! to! the! vulnerability! prob-
lems! created! by! the! anomaly! and! le ts! the! problem!
persist! (this! option! is! related! to! the! costs! of! inac-
tion);!(b)!the!inadequate!response.!This! means:! the!
institutional!context!gives!a!response!to!the!anomaly!
with! inadequate!resources! and! solution! criteria! for!
the! social! problem! and! therefore! the! problem! per-
sists! although! some! of! its! impacts! may! be! reduced!
(this! option! is! related! to! knowledge! asymmetries!
and!the!costs!of!action);!(c)!the!innovative!response.!
The!institutional!context!provides!a!new!response!to!
the!anomaly.!
!
!
!*&"%7("--*0%'"*-(+/."#/(|(9(
!
Figure'3.' Lifecycle'of'Social'Innovation'
!
Thus,!social!innovation!can!reduce!the!impact!of!
the!problem!and!resolve!the!conditions!linked!to!the!
production! of! the! anomaly! and! mitigate! its! conse-
quences.! However,! innovative! responses! may! fail!
due!to!the!context’s! resistance!(social,!institutional,!
economic,! cultural! resistance,! etc.)! in! any! of! the!
phases!of!a! social!innovation.!This! way,!three! kinds!
of!failures!in!the!response!(resolution)!to!an!anoma-
ly!can!be!identified.!
(a) Q0-6>+2(H<( -.0;8-*.?!when! the! institutional! con-
text! does! not! give! a! response! to! the! anomaly!
and! the!problem! increases! and! develops.! This!
failure! is! linked! to! the! barriers! of! Type! 1! (B1,!
figure!3).!
(b) Q0-6>+2( H<( -.042R>0;<?!when! the! institutional!
context!gives!a! non-innovative! response! that! is!
inadequate! to!resolve!the!anomaly.!This!failure!
is!linked!to!the!barriers!of!Type!2!(B2,!figure!3).!
(c) Q0-6>+2( H<( -..*508-*.?!when! the! institutional!
context! offers! an! innovative! response! (social!
innovation)! that! is! adequate! to! resolve! an!
anomaly! but! the! innovative! process! does! not!
succeed!in! overcoming!the!barriers!imposed!by!
the!institutional!context.! This!failure!has! differ-
ent!barriers!according!to!the!phase!in!which!the!
process!of! social!innovation!is!situated!(B3,!B4,!
B5,!B6!and!B7,!figure!3).!
J0K+'#)L&0,0*.$$0!',+0$)
This!phase!of! social!innovation!is! characterised!
by!a!process!of! divergent! interpretation!and!a!con-
vergent!proposal!of!innovative!ideas!to!design!a!sus-
tainable!solution.!The!prefix!«proto»! suggests!that!it!
is!a!social!innovation! in! its!potential!form.!This! is! a!
phase! of! reflective' action!on! the! conditions! in!
which! the! anomaly! is!produced,! replicates! and! im-
pacts!on!the!vulnerable!groups.!In!this!phase,!organ-
isations! mobilise! essentially! three! types! of! capaci-
ties:!(a)!capacities!of! interpretation!and!acquisition!
of! heterogeneous! knowledge;! (b)! capacities! of!
knowledge! integration! and! modelling! of! ideas! (de-
sign);!(c)!capacities!of!connection!with!stakeholders!
(in!figure!3,! these!drivers!are! identified!as!D1).!The!
main!impacts!that!can!be!expected!in!this!phase!are!
related!to!the!modelling!of!solutions,!conceptual!and!
methodological! designs,! development! of! networks!
with!vulnerable!groups!and!with!other!organisations!
concerned! by! the! same! anomaly! for! the! identifica-
tion! of! causal! hypotheses! and! innovative! solutions.!
D1
D2
D3
D4
D5
B1 B2 B3 B4 B5 B6 B7
Inaction Inadequacy
A
Proto-SI
Explorative SI
Expansive SI
Meta-SI
Scaling-up SI
P
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MAINSTREAM 2
MAINSTREAM 1 SOCIAL INNOVATION
INSTITUTIONAL CONTEXT 1
A = Anomaly
B = Barrier
D = Driver
SI = Social Innovation
INSTITUTIONAL CONTEXT 1 INSTITUTIONAL CONTEXT 2
10(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
In!this!phase,!the!prototyping!of!potentially!effective!
ideas!to!solve!the!social! problem!that!represents!an!
anomaly! prevails.! Proto-innovations! fail! when! they!
cannot!model!ideas!and!go!on!to!the!exploration!and!
testing!phase!(in!figure! 3,! these!barriers!are! identi-
fied!as!B3).!It!is!a!creative!failure.!
M29#0&',+!%)J0K+'#).$$0!',+0$)
The! explorative!phase! is! characterised! by! the!
implementation! of! experimentation! processes.! So-
cial!innovation!has!already!been!modelled!in!its!pre-
vious!phase!and!is! tested.! This! is!a!phase! of! &%K"&*
/+!%),%/,+$6!of!the!causal!hypothesis!and!the!innova-
tive! solution! in! a! practical,! systemic! and! planned!
way.!In!this!phase!of!social!experimentation!organi-
sations!mobilise!essentially!three!types!of!capacities:!
(a)! capacities! of! exploration! and! recombination! of!
acquired!knowledge;!(b)!capacities!of!evaluation!and!
systematisation;! (c)! capacities! of! connection! with!
stakeholders.!Social!innovations!can!remain!during!a!
long! period! in! this! experimental! phase! generating!
innovative! evidence! without! be ing! able! to! model! a!
social! innovation.! However,! at! this! experimental!
stage! there! are! diversifications! by! interaction! (new!
ideas,! practices! and! externalities)! w hich! can! result!
in!other!innovative!ideas!(social! proto-innovations).!
This! phase! can! be! considered! as! social! innovation!
since! social! experiments! are! piloted,! and! therefore,!
there!is!a! level!of!impact! and!empowerment!of!vul-
nerable! groups.! Explorative! social! innovations! fail!
when!they!cannot!overcome!the!barriers!that!hinder!
passing! from! the! experimentation! to! the! modelling!
of!social!innovations!(in!figure! 3,!these!barriers! are!
identified!as!B4).!
M29'$/+!%)J0K+'#).$$0!',+0$)
This!phase!is! characterised!by! the! implementa-
tion! of! continuous! improvements! to! the! model! of!
social!innovation.!Innovation!has!already!been!mod-
elled,! tested! and! evaluated.! It! is! a! phase! based! on!
+$K&%>%$,'#) +$$0!',+0$.! In!this! phase,! a! body! of!
empirical! evidence! has! been! integrated! in! a! tested!
model!that!is!able!to!transform!resources!into!capac-
ities.! Incremental! innovations! do! not! only! explain!
the!anomaly!(divergent!interpretation)!but!they!also!
offer! a! way! to! intervene! (convergent! practices)! to!
resolve!the!anomaly!either!from!its!causes!or!by!mit-
igating! part! of! its! consequences.! T he! characteristic!
of! this! phase! is! the! expansion! of! solutions,! this!
means,!the! regular!implementation!of!innovation!in!
the! problems! of! the! same! nature! within! the! same!
context! (scaling-deep;! Santos! et! al.,! 2013).! In! this!
phase,! organisations! mobilise! following! capacities:!
(a)!capacities! of!knowledge! exploitation;!(b)! capaci-
ties! of! social! and! institutional! diffusion;! (c)! capaci-
ties!of!scaling-up!of!social!innovations.!In!this!phase,!
the! impact! of! social! innovation! is! increased! (either!
processes!of!scaling-deep!or!scaling-up)!and!it!grad-
ually! permeates! the! mainstream’s! network! of! poli-
cies!and!epistemic! communities!from!verifiable!and!
measurable!evidence!in!a!countless!number!of!cases!
which!show!the!model’s!effectiveness!to!solve!or!re-
duce!the!anomaly!and/or!its!effects.!
N%,')J0K+'#).$$0!',+0$)H>'+$/,&%'>)AI)
In!this!phase,! social!innovation!is! a!trace.!It! has!
been! integrated! in! the! mainstream! transforming! it!
and!improving!its!institutional!and!cognitive!compe-
tences! to! provide! satisfactory! responses! to! social!
problems!that!once!were!part! of!an!anomaly.!It!is! a!
performative!integration!that! changes!the!direction!
of!the!mainstream!network!of!policies!and!epistemic!
communities!linked!to!an!anomaly.!!
Table! 1! summarises,! the! relationship! between!
drivers!and!barriers!that!facilitate!and/or!hinder!the!
development!of! a!social! innovation!according! to!the!
innovative!cycle.!
!
!
!*&"%7("--*0%'"*-(+/."#/(|(11(
!
Table'1.' Social'Innovation'Drivers'&'Barriers'by'Development'Stage'
4 SOCIAL(INNOVATION(REGIME(
As! highlighted! in! the! previous! section,! the! dif-
ferent!approaches!to! build!indicators!of!social!inno-
vation!are!focused! on!various! levels!of!analysis! and!
units! of! measurement! that! do!not! reflect! the! com-
plete! picture! of! the! context! and! dynamics! of! social!
innovation.! The! challenge! then! is! to! integrate! the!
meso! and! micro! perspectives! in! a! coherent! frame-
work!of!relationships!and!interactions.!This!is!a!dif-
ficult!and!complex! task!which!goes! beyond!the! pur-
pose! of! the! paper.! Rather! the! aim! is! to! indicate! a!
possible!path! to!explore!these!meso-micro!relation-
ships!from!an! integrated!model!of!social!innovation!
indicators.!
With!the!objective!of!offering!a!complete!picture!
of!the!interaction! between!the!meso! and!micro!lev-
els!(context!and! dynamics)!of!social! innovation,!the!
concept!of!J0K+'#).$$0!',+0$)F%6+>%!F!"EG!is!intro-
duced.! The!concept!bases!on!the! works! carried!out!
around! the! concept! of! 4%#G'&%) &%6+>%((Benjamin-
sen!&!Andrade,!2015,!Esping-Andersen,!1990).!This!
perspective! offers! an! interesting! framework! of! ex-
ploration!of!the!structural!conditions!through!which!
a!region! presents!a!set!of!vulnerabilities!which!gen-
erate!social!problems!(effective!and!potential!ones).!!
Indeed,! welfare! regimes! examine! the! advanced!
economies!relating!market!dynamics!and!social!pol-
icies.!The!thesis!of!welfare! regimes!refers!to!the!de-
gree!in!which!individuals!or!families!are!included!in!
an! acceptable! standard! of! living! regardless! of! their!
participation!in! market! relations!(Esping-Andersen,!
1990).! Welfare! regimes! are! a! theoretical! construc-
tion! (with! controversial! empirical! evidence)! that!
enables! a! comparative! analysis! between! different!
national!realities,!which!differ!in!the!different!articu-
lations! between! state,! market! and! family.! Different!
articulations! result! in! different! relationship! pat-
terns.! From! this! pioneer! work! by! Esping-Andersen!
(1990)!welfare!regimes!can!be!classified!as!follows:!
(a) The!6-H2+06!one,!which!associates!a!high!degree!
of! commodification! in! labour! relations! with! a!
residual! role! in! the! public! sector! and! families.!
Individuals! are! responsible! for! the! welfare!
from!the!moment!they!enter!the!labour!market!
and!the!solidarity!mechanism!is!the!market.!
(b) The!;*.:2+508-52!one,!which!gives!a!strong!role!
in!welfare! to!families!and!a!residual!role!to!the!
state!and!the! market.! Family!and!corporations!
play! a! central! role! as! the! articulation! core! of!
solidarity.!
(c) The!:*;-06(427*;+08-;!one,!where!welfare!is! as-
sociated! to! the! construction! of! public! institu-
tions! with! a! residual! role! for! the! market! and!
families,! where! the! solidarity! core! is! the ! State!
DEVELOPMENT STAGE DRIVERS/BARRIERS
Failue by interaction » B1: Failure of the state or the
market
Failure by inadequancy » B2: Failure of the state or the
market
Social proto-innovation
(searching innovative
solutions)
» B3/D1: Express the relation-
ship between drivers and
barriers that facilitate/
hinder modelling innovative
ideas
Explorative social
innovation (testing
innovative solutions)
» B4/D2: Express the relation-
ship between drivers and
barriers that facilitate/
hinder modelling innovative
ideas (formalise the exper-
iences in a SI pattern)
Expansive social
innovation (incremental
innovative solutions)
» B5/D3: Express the relation-
ship between drivers and
barriers that facilitate/
hinder incorporating incre-
mental improvements (ex-
pand) in a modelled social
innovation (scaling-deep).
Meta social innovation
(transformative
integration)
» B6/D4: Express the relation-
ship between drivers and
barriers that facilitate/
hinder modelling the incor-
poration of social innovation
into the mainstream (and
transforming it into a para-
digm).
Transfer social innovation
(scaling-up)
» B7/D5: Express the relation-
ship between drivers and
barriers that facilitate/
hinder the transfer of
modelled social innovation-
towards other social
contexts.
12(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
and!with!a!universal!treatment!for!all!individu-
als!in!society.!
!
This! first! classification! has! been! extended! by!
other! theoretical! and! empirical! works,! and! as! a! re-
sult!other! welfare!regimes! such!as! the!Mediterrane-
an! or! the! socialist! have! been! conceptualised!
(Moghadam!Saman!&!Kaderabkova,!2015a,!2015b).!
In! view! of!social! innovation,! welfare! regimes!
have!limitations!to!explain!the!conditions!in!which!a!
diversity! of! social! problems! that! constitute! the!
source! of! socially! innovative! solutions.! As! we! will!
see!below,!SIRs!may!be!more!appropriate!to!explain!
the! contexts! of! social! innovation! by! identifying! re-
gional!vulnerability!patterns:!social,!economic,!insti-
tutional! and! environmental! ones.! The! interaction!
between! these! types! of! vulnerability! generates! so-
cial!problems,!many!of!which!question!the!effective-
ness!of! rules!and!available!resources!of!a!particular!
institutional! context! to! resolve! these! problems!
(anomalies).!
As!has!been!pointed!out,!when!a!social!problem!
is!not!solved! in!an!acceptable! way!creating!the! nec-
essary!welfare!standards!for!a!determined!context,!it!
tends!to!become!an! anomaly.! An! '$0>'#-!is!a!per-
sistent! problem! whose! consequences! (impacts! and!
effects)!are!intolerable!(actively,!passively,!effective-
ly! or! potentially)! for! a! part! of! the! mainstream .! The!
>'+$/,&%'>!manages!relations!between!state,!soci-
ety!and! market!for!a!particular!context!according!to!
a! paradigm! (set! of! rules! and! stable! resources! diffi-
cult!to!modify!in!the!short!term).! Thus,!the!anomaly!
represents!the!mainstreams’! inability!to!give! an!ap-
propriate,!effective!and!inclusive!response!to!the!ac-
cepted!welfare!standard.!
The!concept!of!vulnerability!is!one!that!is!closely!
linked! to! the! concept! of! anomaly.! 7"#$%&'(+#+,-!al-
ways! refers! to! an! inadequate! response!to! a! poten-
tially!high-impact! problem! (either! social,! economic,!
institutional!or!environmental! one).!From! this!point!
of! view,! vulnerabilities! are! potentially! creators! of!
social!innovations.!Therefore,!it!can!be!assumed!that!
by!identifying!vulnerabilities,!anomalies!(effective!or!
potential)!are!indirectly!identified.!
Figure! 4! illustrates! the!approach! of! a! SIR.! Vul-
nerability!is!in!the!middle!of!the!approach.!7"#$%&'*
(+#+,-) '&,+K"#',%/) ,E%) >+K&0) 5-$'>+K/) H0&6'$+/'*
,+0$/I)4+,E),E%) >%/0)K0$,%2,/)H&%6+0$/IO!It! creates!
a!bridge!between!these!two!levels!of!the!institution-
al!context.!The! model! is!based!on! the! following!hy-
pothesis:!
!
HYPOTHESIS^('C5(C@HC5=(=5H@1;G2(F32;5=GV@2@<W(@D_(<C5(
H=5G<5=(<C5(E=1VGV@2@<W(<CG<(D1?@G2(@;;1FG<@1;D(545=H5A(
!
The!hypothesis!suggests!that!in!vulnerable!insti-
tutional!contexts!the!problems!that!affect!a!diversity!
of!social! groups!are!multiplied!and!interrelated! and!
the!mainstream’s!response! capacity!to!find! satisfac-
tory!social!integration! solutions! according!to!an!ac-
cepted!standard!collapses.! In!conditions!of! vulnera-
bility,!problems!are!confused!and!connected!to!each!
other!increasing!their!complexity!(associated!diver-
sity).! This! in! turn! calls! for! systemic! solutions! for!
which! neither! necessary! capacities! nor! resources!
are! available.! Forasmuch,! a! situation! occurs!where!
for! a! systemic! problem! a! systemic! solution! is! not!
available!within!the!mainstream.!As!has!been! point-
ed!out,!the!institutional!context! responds!to!this!sit-
uation! in! different! ways! (see! social! innovation! cy-
cle).! The! innovative! response! (social! innovation)!
undergoes!several!stages!until!it!becomes!a!systemic!
response!(transformative!integration).!Indeed,!there!
are!different!innovative!solutions!to!an!anomaly!that!
are!tested.!They!are!fragmented,!partial,!local,!exper-
imental!solutions.!Only!one! or!an!integrated! system!
of! solutions! is! able! to! be! modelled! and! succeeds! in!
colonising!the!mainstream!and!giving!an!acceptable!
sustainable!answer!to!the!anomaly.!!
However,! the! degree! of! vulnerability! is! not!
equivalent! in! all! institutional! contexts.! We! find! re-
gions!that!are!more!vulnerable!than!others.!Each!in-
stitutional!context!has! different!vulnerability!condi-
tions! derived! from! their! endogenous! development.!
This!is! what!we! call!&%6+0$'#)!"#$%&'(+#+,-.!The! re-
gional! vulnerability! is! a! synthetic! concept! that! ex-
press!the!integration!of!different!types!of!vulnerabil-
ity! (social,!economic,! institutional! and!environmen-
tal)!for!a!particular!institutional!context.!The!region-
al!vulnerability!enables!the!comparison!between!dif-
ferent! institutional! contexts! (various! regions)! ob-
served!in!a!range!that!goes!from!a!greater!to!a!lesser!
degree!of!vulnerability.!
The! argument! suggests! that! vulnerability!is! re-
lated!to!the!production!of!anomalies.!Thus,!the!high-
er!the! degree!of!regional!vulnerability,!the!higher!is!
!
!*&"%7("--*0%'"*-(+/."#/(|(13(
the! probability! of! a! context! developing! anomalies!
and! therefore,! the! higher! will! be! the! probability! of!
producing!social!innovations.!
P04)K'$)&%6+0$'#)!"#$%&'(+#+,+%/)(%)0(/%&!%5Q)
As!figure!4!suggests,!regional!vulnerability!should!be!
explored!according!to! four! main!vulnerabilities:!so-
cial,!economic,!institutional! and!environmental!(see!
Annex!I!for! an! exploration!of!these! vulnerabilities).!
These!distinct!types! of!vulnerability!have!particular!
effects! in! a! determined! institutional! context;! they!
create! specific! and! different! kinds! of! problems! and!
forms!of!exclusion!for! each! context.!This!is!the! rea-
son!why! social!innovations!are!contextual,!focal!and!
difficult! to! scale.! Every! institutional! context! has! a!
degree!of!regional!vulnerability! and! this!is!the!rea-
son!why!even!in!institutional! contexts! with! low!re-
gional!vulnerability!it!is!possible!to!find!some!degree!
of!social!innovation.!
In!short,!the!suggested!concept!of! regional! vul-
nerability! formed! by! four! types! vulnerability! is! an!
appropriate!concept!to!understand!the!emergence!of!
social! innovations.! Accordingly,! regional! contexts!
should!not!be!interpreted!and!classified!according!to!
the! degree! of! institutional! capacity4!of! the!main-
stream!to! sustain!social!integration!in!the!long!term!
as! suggested! by! the! model! of! the! welfare! state! re-
gimes.! On! the! contrary,! institutional! contexts! must!
be! understood! by! their! degree! of! vulnerability,! i.e.,!
by! the! level! of! institutional! inability! to! respond! to!
the! dynamics! of! inclusion/exclusion! in! the! long!
term.! The! mainstream’s! institutional! inability! cre-
ates!the!«favourable»!scenarios!for!the!emergence!of!
social!innovations.!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!!!!!!! !
4!! The! institutional! capacity! of! an! institutional! context! must!
not! be! understood! as! the! capacity! of! the! public! sector! to!
meet! social! demands! by! means!of! specific! policies,! but! as!
the!capacities!and!resources!that! the!State,! the!market! and!
the!family!are!able!to!mobilise!in!order!to!sustain!a!specific!
pattern! of! social! integration! as! suggested! by!the! model! of!
the!welfare!regimes.!
!
Figure'4.' Social'Innovation'Regimes'–'Interplay'between'Context'
and'Dynamics'of'Social'Innovation'
P04)50)4%)0(/%&!%)/0K+'#)+$$0!',+0$/Q))
With!the!proposed!SIR!it!is!suggested!to!explore!
social!innovations!by!analysing!the!social!innovation!
capacities! mobilised! by! a! plurality! of! organisations!
at!the!regional!level!(micro;!see!figure!4).!In!order!to!
observe!these!social!innovation!capacities,! the!mod-
el! of! components,! objectives,! principles!and! impact!
(COPI)!is!utilised!(Rehfeld!et!al.,!2015).!
This!model!suggests! that!social!innovations!are!
integrated!by!different! levels:!the!level! of!actor!net-
works! and! relations! between! actors,! a! level! of! re-
sources! (combination! between! several! kinds! of! fi-
nancial,! organisational,! technological! capital,! etc.)!
and! an! institutional! level! (social! capital).! In! the!
model,!these!dimensions!are!integrated!into!what!is!
defined!as!the! R10>90$%$,/S!of! social!innovation.!
These! components! relate! in! different! ways! accord-
ing!to! the!RT(U%K,+!%/S!of!social!innovation.!As!has!
been!mentioned,! social!innovation!seeks!to!empow-
er!and!improve! the!inclusion!conditions! of!vulnera-
ble!groups!by!reducing!either!their!social,!economic!
institutional! and/or! environmental! vulnerability.!
These! objectives! are! developed! through! projects!
(cohesive!set!of!actions!and! resources!implemented!
in!a!specific!time!frame)!that!are!carried!out!accord-
ing!to! efficiency!(degree!of!relationship!between!re-
sources,! time! and! impact)! and! governance! levels!
(degree!of!inclusion!of!the!target!population!in!social!
innovation!activities).!These!dimensions!are!defined!
Meso Level (region)
Micro Level (organisation)
Social Innovation
Impact
Objectives
PrinciplesComponents
Regional Vulnerability
Environmental
Economic
InstitutionalSocial
Vulnerability
DYNAMICS OF SI
VULNERABILITY CONTEXT
INDICATORS
INDICATORS
SOCIAL INNOVATION REGIME
14(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
in! the! COPI! model! as! social! innovation! RL&+$K+*
9#%/S.! Finally,! the! model! suggests! th at! this! specific!
cohesion!between!components,! objectives!and! prin-
ciples! has! an! R.>9'K,S!not! only! at! a! social! level!
(empowering! effect),! but! also! at! an! organisational!
level!(learning! effect)!and!at!a!spatial!level!(scale!ef-
fect;!see!Annex!II).!
Previously,!it!has! been! argued! that!social!inno-
vation!has!four! stages!in!its! development.!Now!it! is!
further! suggested! that! for! each! stage! th ere! is! a! dif-
ferent! combination! between! components,! objec-
tives,!principles!and!impact.!Thus,!for!example,!for!a!
social! proto-innovation,! its! degree! of! networking,!
efficiency,!governance!and!impact!is!not!the!same!as!
the!one!of!a! social! innovation! in! the!exploratory!or!
expansive!stage.!This!way,!what!is!meant!by!innova-
tion! dynamics! is! the! active! relationship! between!
components,! objectives,! principles! and! impact! (CO-
PI)!and!the!stages!of!social!innovation.!
This! 4<.07-;!suggests! that! social! innovations!
mobilise!drivers!according!to!the!barriers!they!have!
to!overcome!and!that!the!pairing!driver/barrier!has!
different! characteristics! according! to! the! phase! of!
the!innovative!process.!
Social! innovation! dynamics! are! structured! in!
what! we! could! call!modes! of! social! innovation,! de-
fined!as!the! ways! in!which!social! innovations! inter-
vene!in!order! to!empower!and! integrate!vulnerable!
social!groups!into!a!welfare!standard!considered!ac-
ceptable!by!a!specific!institutional!context.!
Finally,! as! depicted! in! figure! 4! the! relationship!
between!meso!and! the!micro!level! can!be!observed!
from!a!two-way!corridor.!Vulnerabilities!connect!the!
meso!with!the!micro!level!(top-down)!and!the!micro!
with!the!meso!level!(bottom-up).!On!the!one!hand,!at!
the!meso!level!(region),!the!institutional!context!has!
a! level! of! vulnerability! that! causes!social! problems,!
some! of! which! become! anomalies.! On! the! other!
hand,!the!dynamics!of!social!innovation,!at!the!micro!
level! (organisations),! combine! components,! objec-
tives,! principles! and! impacts! and! are! structured! in!
innovative! actions! to! resolve! these ! anomalies.! That!
is,!to!find!acceptable! solutions!that!seek!to! integrate!
themselves! and! transform! the! mainstream! (trans-
formative!integration;!bottom-up).!
A! SIR!can! be! defined! as! 0( ;*7H-.08-*.( *9( 262D
72.8:( 8308( +2/-*.06( ;*.82I8:( ;0.( 42526*1( 8*( ;+2082(
:*;-06(-..*508-*.:(0:(0(+2:1*.:2(8*(832(0.*706-2:(0.4(
+2/-*.06( 5>6.2+0H-6-8-2:( *9( 832-+( 2.5-+*.72.8=!They!
can! be! explored! according! to! two! major! variables:!
First,! the! 42/+22( *9( 5>6.2+0H-6-8<!resulting! from! a!
combination!of!four!types!of!vulnerabilities,!namely!
social,! economic,! institutional! and! environmental.!
The!degree!of! vulnerability!enables! the!comparison!
of! different! regional! contexts.! Second,! the! 7*42:(*9(
:*;-06( -..*508-*.,! including! cultural,! technological,!
organisational,! legal! and! infrastructural! innovation!
(Castro-Spila!&!Unceta,!2015)!which!structure!social!
innovation! in!patterns!according!to! the!COPI!model!
(Rehfeld!et!al.,!2015).!
5 CONCLUDING(REMARKS(
Social! Innovation! lacks! a! common! conceptual!
and!methodological!framework!to!build!a!system! of!
indicators!capable!of!measuring!its! processes,!prod-
ucts!and!impact.!!
In!this!conceptual!and!methodological!effort,!the!
SIMPACT!project!offers! a! definition!and! an! analysis!
that!is!key!for! the! development! of! indicators.!Thus,!
Social!Innovation! is!understood! as!the! novel!combi-
nation!of!ideas! and! different!forms!of! collaboration!
that! transcend! the! institutionally! established! con-
texts! with! the! effect! of! empowering! and! involving!
certain!vulnerable!groups!during!the!process!or!as!a!
result! of! the! innovation.! This! definition! focuses! on!
the! actors! identified! as! vulnerable! groups! and! the!
dynamic! of! social! innovation! is! aimed! at!
(re)incorporating! these! groups! into! welfare! stand-
ards.!Vulnerability!is!not!the! result!of!a!personal!in-
adequacy,! but! rather! the! result! of! institutional! ob-
structions! that! unable! the! solution! of! the! social!
problem! increasing! regional! vulnerability.! This! is!
what!we!have!called!an!anomaly.!Given!that!margin-
alised! and!vulnerable! groups! are! very! heterogene-
ous! (there! are! different! forms! of! exclusion),! the!
forms!of!social! inclusion! are!heterogeneous!as! well.!
Therefore,!social!innovations!are!“pluralistic”!by!def-
inition.!The!analysis!of!social!innovations!shows!that!
there! are! various! paths! and! phases! which! explain!
the!social!innovation!processes!linked!to!the!resolu-
tion!of!anomalies!by!means!of!different!modes!of!so-
cial!innovation.!
The!present!paper!explores!the!concept!of!Social!
Innovation! Regime! defined! as! 832(7*42:(>:24(H<( +2D
/-*.06(;*.82I8:(8*(42526*1(:*;-06(-..*508-*.:(8308(0.D
:C2+(8*(832( 0.*706-2:( 0.4(+2/-*.06(5>6.2+0H-6-8-2:(*9(
!
!*&"%7("--*0%'"*-(+/."#/(|(15(
832-+( 2.5-+*.72.8:.! The! model! suggests! a! path! for!
the!development!of!indicators!aimed!at!mapping!so-
cial! innovation! contexts! (meso! level)! and! social! in-
novation! dynamics! (micro! level)! in! an! integrated!
model! whose! guiding! element! are! the! different!
forms!of!vulnerability.!
The!model!of!Social!Innovation!Regime!helps!us!
guide! the! development! of! social! innovation! indica-
tors! in! three! different! ways.! The! first! one! refers! to!
the! understanding! and! measurement! of! the! condi-
tions! of! the! institutional! context.! The! regional! vul-
nerability!is!made!up!of!four!kinds!of!vulnerabilities!
(social,! economic,! institutional! and! environmental)!
that!provide!a!clear!view!of!the!inabilities!of!an!insti-
tutional! context! to! resolve! social! problems! accord-
ing! to! a! welfare! standard.! This! path! enables! the!
comparison! of! regions! according! to! their! degree! of!
vulnerability,! which! is! the! proper! ground! for! the!
emergence! of! anomalies.! The! second! one! refers! to!
the!understanding!and! measurement! of!social! inno-
vation!dynamics!at! an!organisational!level!to!estab-
lish! the! social! innovation! modes! and! cycles! (pat-
terns)!according!to! a!diversity!of!innovative! agents.!
Finally,! the! third! way! is! about! understanding! the!
dynamic! of! a! Social! Innovation! Regime! (by! linking!
regional!vulnerability!with!social!innovation!dynam-
ics)!for!the!design!of!public!policies!promoting!social!
innovation.!
!
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!
!*&"%7("--*0%'"*-(+/."#/(|(17(
(
(
%--/`("(
Regional(Vulnerability(
(
a+5H@1;G2(X45D1(25F52Y(";>@?G<1=Db(
!
18(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
!
The!regional!vulnerability! is!a!unit! of!measure-
ment!that!includes!four!types!of!different!vulnerabil-
ities:!a)! social!vulnerability,!b)!institutional!vulnera-
bility,!c)!economic!vulnerability!and!d)!environmen-
tal! vulnerability.! For! each! of! these! dimensions! of!
vulnerability!a!set!of!specific! indicators!are!suggest-
ed! in! order! to! operationalise! the! different! types! of!
vulnerabilities.!
!
1.(SOCIAL(VULNERABILITY(
Social!vulnerability!is!related!to!the!socially!vul-
nerable!groups,!whose!identification!is!due!to!differ-
ent!criteria:!a!given!contextual! factor!that!increases!
their!chances!to!face!adverse!circumstances!for!their!
social!inclusion! and!personal!development;! the!per-
formance! of! behaviours,! which! ent ail! greater! expo-
sure!to!harmful! events,! or!the!presence! of! a!shared!
basic!feature!(age,!sex,!ethnic!background),!which!is!
supposed! to! give! them! common! risks! or! problems!
(Cannon!et!al,!2003;!Birkmann,!2006).!
From! a! regional! perspective,! some! possible! in-
dicators! to! identify! the! social! vulnerability! may! be!
the!following:!
• D0,'#) %29%$5+,"&%) 0$) E%'#,E) HV) 0G) ,E%) 8:LI:!
the! total! expenditure! on! health! is! the! sum! of!
public!and! private!expenditure!on!health.!It!co-
vers!the!provision!of!health!services!(preventive!
and! curative),! family! planning! activities,! nutri-
tion! activities! and! emergency! assistance! desig-
nated! for! health,! but! it! does! not! include! water!
supply!and!sanitation!services.!
• D0,'#) 9"(#+K) %29%$5+,"&%) 0$) %5"K',+0$!HV) 0G)
,E%)8:LI:! the! public! expenditure! on! e ducation!
as! a! percentage! of! the! GDP! includes! the! total!
public!expenditure! (current!and!capital)!on!ed-
ucation!expressed!as!a!percentage!of!the!GDP!in!
a!given!year.! The!public! spending!on!education!
includes! Government! spending! on! educational!
institutions! (public! and! private),! e ducation! ad-
ministration!and! subsidies!or! transfers!for!pri-
vate! entities! (students/households! and! other!
private!entities).!
• D0,'#)!"#$%&'(#%)%>9#0->%$,)HV)0G),0,'#)%>*
9#0->%$,I@!vulnerable! employment! refers! to!
unpaid! family! workers! and! self-employed!
workers! as! a! percentage! of! the! total! employ-
ment.!
!
2.(INSTITUTIONAL(VULNERABILITY(
Institutional! vulnerability! is! understood! as! the!
inability! to! properly! communicate! and! coordinate!
different!institutional!levels,!what!expresses!institu-
tional!rigidity!and!also!its!low!capacity!to!respond!to!
risk!situations!(Porfiriev,!2007).!The!greater!or!less-
er! capacity! to! respond! appropriately! to! risk! situa-
tions!would!be!linked!to!a!greater!or!lesser!degree!of!
institutional! vulnerability! and! to! the! capacity! of! in-
stitutional!governance.!
• 70+K%) '$5) 'KK0"$,'(+#+,-@!it! measures! the! ca-
pacity! of! a! country’s! citizens! to! participate! in!
the!selection!of!their!government,!as!well!as!the!
freedom! of! expression,! freedom! of! association!
and!free!media.!
• 80!%&$>%$,'#) %GG%K,+!%$%//@!it! measures! the!
quality!of!public!services,!bureaucracy,!the!qual-
ity!of!the!public!administration!as!well!as!its!de-
gree! of! independence! from! political! pressures,!
the!quality!of!policy!formulation!and!implemen-
tation,! and! the! credibility! of! the! government’s!
commitment!to!those!policies.!
• F%6"#',0&-) W"'#+,-@!it! measures! the! govern-
ment’s!capacity!to!design!and!implement!sound!
policies! and! regulations! that! permit! and! pro-
mote!the!development!of!the!private!sector.!
• F"#%) 0G) #'4:! it!measures! the! extent! to! which!
agents!have!confidence!in!and!abide!by!the!rules!
of! society,! in! particular,! the! quality! of! contract!
enforcement,!police!and!courts.!
• 10$,&0#)0G)K0&&"9,+0$:!it!measures!the!extent!to!
which! public! power! is! exercised! for! private!
gain,! including! both! small! and! large! forms! of!
corruption!as!well!as!the!control!of!the!State!by!
elites!and!private!interests.!
!
3.(ECONOMIC(VULNERABILITY(
The!economic!vulnerability!refers!to!the!institu-
tions’! inability! to! manage! a! financial/economic! cri-
sis.!This!is!the!inability!to!return!to!the!starting!point!
prior! to! the! risk! situation! or! crisis! (Mechler! et! al,!
2004).! More! specifically,! the! greater! the! financial!
!
!*&"%7("--*0%'"*-(+/."#/(|(19(
institutions!and!organisms’! capacity!to! evaluate!and!
react!to! economic!losses! caused!by! a!socioeconomic!
or!financial!crisis,!the!lower! is!the!economic!vulner-
ability.! Both! the! strength! and! adaptive! capacity! of!
the!economic!system!are!decisive!in!this!process.!
• 8:L) 9%&) K'9+,'! (HXJY) +$) K"&&%$,) 9&+K%/I@) The!
GDP! per! capita! is! the! gross! domestic! product!
divided!by!the!population!mid-year.!The!GDP!is!
the!sum!of!the! gross!value!added!of!all!resident!
producers! in! the! economy! plus! all! taxes! on!
products,!minus!all!subsidies!not!included!in!the!
value!of!products.!It!is!calculated!without! doing!
depreciation!deductions!of!manufactured!goods!
or! for! depletion! and! degradation! of! natural! re-
sources.!Data!in!US$!in!current!prices.!
• M29%$5+,"&%)0$)&%/%'&KE)'$5)5%!%#09>%$,)HV)
0G) ,E%) 8:LI@!expenditure! on! research! and! de-
velopment! is! current! and! capital! expenditure!
(public! and! private)! on! creative! work! carried!
out! systematically! in! order! to! increase!
knowledge,!even!knowledge!on!humankind,!cul-
ture! and! society! and! the! use! of! knowledge! to!
create! new! applications.! The! research! and! de-
velopment! area! comprises! basic! research,! ap-
plied!research!and!experimental!development.!!
• 10$/">%&) 9&+K%) +$G#',+0$) H'$$"'#) VI@!the! in-
flation! measured! by! the! consumer! price! infla-
tion! reflects! the! annual! percentage! change! in!
the!cost!for!the!average!consumer!of!acquiring!a!
basket!of!goods! and!services!which! can!be!at! a!
fixed! or! variable! rate! at! determined! intervals,!
for!example,!annually.!In!general,!the!Laspeyres!
formula!is!used.!
!
4.(ENVIRONMENTAL(VULNERABILITY(
Environmental!vulnerability!refers!to! the!extent!
to! which! natural! and! environmental! resources! are!
susceptible! to! being! damaged,! degraded! or! de-
stroyed! by!their!exposure!to!a! hostile! agent! or!fac-
tor.!This!factor!is!often! uncontrollable! (natural! dis-
asters)!or! may! be!related! to!the!mismanagement! of!
natural!resources!or!of!the!pertinent!environmental!
sustainability! policies.! The! mismanagement! thereof!
provokes!a! greater!or!lesser!degree!of! environmen-
tal! vulnerability! that! together! with! the! natural! un-
predictability! determines! to! a! greater! or! lesser! ex-
tent! the! risk! of! environmental! disaster,! affecting! at!
the! same! time! populations! and! ecosystems! of! the!
places!where!these!disasters!happen.!
• 10$/">9,+0$)0G)%#%K,&+K)%$%&6-)HZ[E)9%&)K'9*
+,'I@!the! consumption! of! electric! energy!
measures!the!production!of!power!stations!and!
cogeneration! plants! minus! the! losses! occurred!
during!the!transmission,!distribution!and!trans-
formation! and! the! own! consum ption! of! the! co-
generation!plants.!!
• 1TA) %>+//+0$/) HZ,I@!carbon! dioxide! emissions!
come!from!the!burning! of! fossil! fuels!and!from!
the!production!of!cement.! They!include! the!car-
bon! dioxide! produced! during! the! consumption!
of!solid,!liquid,!gaseous!fuels!and!gas!flaring.!
• D0,'#)'$$"'#)%2,&'K,+0$)0G)G&%/E4',%&)H+$),&+#*
#+0$) K"(+K) >%,&%/I@!the! annual! extraction! of!
freshwater! refers! to! the! total! extraction ! of! wa-
ter! without! counting! the! evaporation! losses! in!
storage!basins.!The! extraction!also!includes!the!
water! from! desalination! plants! in! countries!
where!these!are!an!important!source.!
• F%$%4'(#%) G"%#/) '$5) 4'/,%/) HV) 0G) ,E%) ,0,'#)
%$%&6-I@!renewable!fuels!and!wastes!form!solid!
and! liquid! biomass,! biogas! and! industrial! and!
municipal! waste,! measured! as! a! percentage! of!
the!total!consumption!of!energy.!
20(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
(
(
%--/`(""(
Dynamics(of(Social(Innovation(
(
a*=HG;@DG<@1;G2(X4@?=1(25F52Y(";>@?G<1=Db(
!
!
!*&"%7("--*0%'"*-(+/."#/(|(21(
In!this!section,!a!scheme!for!the!development!of!social!innovation!indicators!at!micro!level!is!provided.!For!
this!development,!the!COPI!model!(Rehfeld!et!al.,!2015)!is!operationalised,!which!enables!the!exploration!of!so-
cial!innovation!dynamics!at!organisational!level:!
'
Dimensions'
Factors'
Definition'
Indicator'
1.(COMPONENTS(
:A:A(%?<1=D(
%?<1=D(=5\5=(<1(<C5(>5H=55(1\(
>@F5=D@<W(1\(<C5(=52G<@1;G2(?GEU
@<G2(1=HG;@DG<@1;D(CGF5(OC5;(
<C5W(>5F521E(D1?@G2(@;;1FGU
<@1;(G?<@F@<@5DA(
:A:A:A(&11E5=G<@1;(EG=<;5=Dc(>5H=55(1\(>@F5=D@<W(
X1=HG;@DG<@1;G2(E=1T@4@<W(<1(>5F521E(D1?@G2(@;;1U
FG<@1;DA((
:A:ABA(&11E5=G<@1;(EG=<;5=Dc(>5H=55(1\(H51U
H=GEC@?G2(>@F5=D@<W(XH51H=GEC@?G2(E=1T@4@<WY(<1(
>5F521E(D1?@G2(@;;1FG<@1;DA((
:ABA(+5D13=?5D(
+5D13=?5D(=5\5=(<1(<C5(25F52(1\(
C34G;_(<5?C;121H@?G2(G;>(
1=HG;@DG<@1;G2(?GE@<G2(1=HG;@U
DG<@1;D(CGF5(OC5;(<C5W(>5U
F521E(D1?@G2(@;;1FG<@1;(G?<@F@U
<@5DA(
:ABA:A([5H=55(1\(>@F5=D@<W(@;(<C5(\1=4G<@1;(1\(
C34G;(?GE@<G2(@;(<C5(1=HG;@DG<@1;(XC34G;(?GE@U
<G2Y(<1(>5F521E(D1?@G2(@;;1FG<@1;DA(
:ABABA([5H=55(1\(>@F5=D@<W(@;(<C5(<WE5D(1\(<5?CU
;121H@5D(GFG@2GV25(@;(<C5(1=HG;@DG<@1;(X<5?C;1U
21H@?G2(?GE@<G2Y(<1(?G==W(13<(D1?@G2(@;;1FG<@1;DA(
:ABAIA([5H=55(1\(>@F5=D@<W(1\(<C5(25G=;@;H(G?<@F@U
<@5D(G;>(@;<5=;G2(<=G;D\5=(1\(<C5(1=HG;@DG<@1;(
X>5H=55(1\(1=HG;@DG<@1;G2(?GE@<G2Y(<1(>5F521E(
D1?@G2(@;;1FG<@1;DA(
:AIA(";D<@<3<@1;D(
";D<@<3<@1;D(=5\5=(<1(<C5(25F52(
1\(D1?@G2(?GE@<G2(X=325D_(FG235D(
G;>(D1?@G2(G;>(@;D<@<3<@1;G2(
?1;\@>5;?5Y(1=HG;@DG<@1;D(
CGF5(OC5;(<C5W(>5F521E(D1U
?@G2(@;;1FG<@1;(G?<@F@<@5DA(
:AIA:A([5H=55(1\(>@F5=D@<W(@;(<C5(<5?C;@?G2UD1?@G2(
?1;\@>5;?5(<1OG=>D(1<C5=(?11E5=G<@1;(EG=<;5=D(
XD1?@G2(?GE@<G2Y(\1=(<C5(>5F521E45;<(1\(D1?@G2(
@;;1FG<@1;DA(
2.(OBJECTIVES(
BA:A(/?1;14@?(
/?1;14@?(1Vd5?<@F5D(=5\5=(<1(
<C5(5?1;14@?(@;?23D@1;(1\(
F32;5=GV25(H=13EDA(
BABA:A([5H=55(1\(?1F5=GH5(@;(<C5(1Vd5?<@F5(1\(
@;?23D@1;(G;>(5?1;14@?(54E1O5=45;<(1\(<C5(
<G=H5<(E1E32G<@1;(X=5>3?<@1;(1\(<C5(5?1;14@?(
F32;5=GV@2@<WYA(
BABA(!1?@G2(
!1?@G2(1Vd5?<@F5D(=5\5=(<1(<C5(
D1?@G2(@;?23D@1;(1\(F32;5=GV25(
H=13EDA(
BABA:A([5H=55(1\(?1F5=GH5(@;(<C5(1Vd5?<@F5(1\(
@;?23D@1;(G;>(D1?@G2(54E1O5=45;<(1\(<C5(<G=H5<(
E1E32G<@1;(X=5>3?<@1;(1\(<C5(D1?@G2(F32;5=GV@2U
@<WYA(
BAIA(";D<@<3<@1;G2(
";D<@<3<@1;G2(1Vd5?<@F5D(=5\5=(
<1(<C5(E12@<@?G2(@;?23D@1;(1\(
F32;5=GV25(H=13EDA(
BAIA:A([5H=55(1\(?1F5=GH5(@;(<C5(1Vd5?<@F5(1\(
@;?23D@1;(G;>(E12@<@?G2(54E1O5=45;<(1\(<C5(D1U
?@G2(@;;1FG<@1;cD(<G=H5<(E1E32G<@1;(X=5>3?<@1;(1\(
<C5(@;D<@<3<@1;G2(F32;5=GV@2@<WYA(
BAKA(/;F@=1;U
45;<G2(
/;F@=1;45;<G2(1Vd5?<@F5D(=5U
\5=(<1(<C5(>5H=55(1\(5;F@=1;U
45;<G2(@;?23D@1;(1\(F32;5=GU
V25(H=13EDA(
BAKA:([5H=55(1\(?1F5=GH5(@;(<C5(1Vd5?<@F5(1\(@;U
?23D@1;(G;>(5;F@=1;45;<G2(54E1O5=45;<(1\(<C5(
<G=H5<(E1E32G<@1;(X=5>3?<@1;(1\(<C5(5;F@=1;45;U
<G2(F32;5=GV@2@<WYA(
3.(PRINCIPLES(
IA:A(/\\@?@5;?W(
/\\@?@5;?W(=5\5=D(<1(<C5(?GEG?U
@<W(<1(455<(D1?@G2(@;;1FG<@1;(
IAIA:A([5H=55(1\(5\\@?@5;?W(G?C@5F5>(@;(<C5(@4U
E2545;<G<@1;(1\(<C5(D1?@G2(@;;1FG<@1;A(
22(|(JAVIER'CASTRO'SPILA,'ÁLVARO'LUNA'&'ALFONSO'((
Dimensions'
Factors'
Definition'
Indicator'
1Vd5?<@F5D(VW(4GT@4@e@;H(=5U
D13=?5D(G;>(4@;@4@e@;H(?1D<DA((
IABA(.1F5=;G;?5(
.1F5=;G;?5(=5\5=D(<1(<C5(>5U
H=55(1\(@;?23D@1;(1\(F32;5=GU
V25(H=13ED(X<G=H5<(E1E32G<@1;Y(
@;(<C5(D1?@G2(@;;1FG<@1;(E=1U
?5DD(@<D52\A(
IABA:([@F5=D@<W(1\(<C5(45?CG;@D4D(1\(@;?23D@1;(1\(
<C5(<G=H5<(E1E32G<@1;(@;(<C5(D1?@G2(@;;1FG<@1;(
G?<@F@<@5DA((
4.(IMPACT(
KA:A(*=HG;@DGU
<@1;G2(
*=HG;@DG<@1;G2(@4EG?<(=5\5=D(
<1(<C5(@4E=1F545;<D(
G?C@5F5>(@;(<C5(1=HG;@DG<@1;(
\1=(>5F521E@;H(D1?@G2(@;;1FGU
<@1;(G?<@F@<@5DA(
KA:A:A([@F5=D@<W(1\(1=HG;@DG<@1;G2(25G=;@;H(G?U
f3@=5>(\1=(CGF@;H(>5F521E5>(G(D1?@G2(@;;1FG<@1;A(
KABA(+5H@1;G2(
+5H@1;G2(@4EG?<(=5\5=D(<1(<C5(
>5H=55(1\(H51H=GEC@?G2(D?G2U
@;H(1\(D1?@G2(@;;1FG<@1;A(
KABA:([@F5=D@<W(1\(H51H=GEC@?G2(G=5GD(@;(OC@?C(
D1?@G2(@;;1FG<@1;(CGD(V55;(D?G25>A(
'
!
