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TESTING NEW SOCIAL
INNOVATION POLICIES ON
LOCAL AND REGIONAL LEVEL
EUROPEAN REGIONAL DEVELOPMENT FUND
2ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
TABLE OF CONTENT
Introduction 3
What is the purpose of this Guide? 4
Who should read this guide?  4
Step 1: Defining policies and interventions 5
Step 2: Specifying a ‘theory of change’ 7
Step 3: Defining outcomes, outcome indicators
and data collection plans  10
Step 4: Estimating the counterfactual 10
Step 5: Analysing and interpreting the effect of the
intervention 13
Step 6: Disseminating findings 14
Step 7: From local to global 14
Seven principles of socially innovative policymaking 16
1. CHALLENGE-FOCUSED  16
2. OPENNESS  16
3. HUMAN-CENTERED DESIGN (HCD)  16
4. COLLABORATION/CO-DESIGN  16
5. EXPERIMENTATION AND EVIDENCE  16
7. CONNECTING AND SCALING  17
Conclusion 18
CASE STUDY  19
3ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Introduction
IntheEU, socialinnovationhasbeenpositedasasolutiontobotholdandnewsocial
risks at a time of heightened uncertainty and pressure on public administrations
and finances.1
Across Europe there are many initiatives operating nationally and
transnationally that have been designed to support social innovation, but we’re
still some way away from a well-developed field of ‘social innovation policy’.2
 
Social innovation public policies mean developing new ideas, services
and models to help address the current societal challenges for
delivering better social outcomes. It can help nurture the current fragile
economic recovery with improved social and economic outcomes in the medium
and long term. It involves new ways of organising systems and therefore invites
input from public and private actors, including civil society.
As a tool to provide better and innovative solutions to social challenges. It also
stresses the need for modernisation of welfare states given the implications of
the demographic change and of the financial and economic crisis. Modernisation
of SI public policies requires systematic introduction of ex-ante result orientation
in financing decisions and a systematic approach of the role public policies on SI
play in the different stages in life.
The role of policy makers is crucial in guiding the reform process,
selecting the appropriate policy priorities and for an effective follow-
up and increased sustainability of the results. In order to play this function,
policy makers need tools that allow them to assess the investment returns of the
chosenpoliciesintermsofsocialoutcomes(increaseininclusionandemployment,
reduction in cost of service at same quality level, contribution to the economy...).
There are different evaluation methods available to policy makers depending on
the specific features of the policy to be assessed. These methods can provide
evidence of positive outcomes of policies and support policy decisions.
Different methods can be used to measure the impact of a policy and gain
evidence on effective social policy reforms. This guide will focus on commonly
used methods, including:
1. Randomised Controlled Trials;
2. Differences-in-Differences;
3. Statistical matching;
4. Regression Discontinuity Design.
1Bonoli 2005; OECD 2011; Sinclair and Baglioni 2014
2https://www.siceurope.eu/policy-portal/policy-social-innovation-five-ways-policy-can-support-social-
innovation
4ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
What is the purpose of this Guide?
This guide is meant as a companion to policy-makers and social service providers
wishing to implement social innovation public policies and evaluate the impact
of their interventions. It addresses three important and related questions:
How to evaluate the impact of a social innovation policy intervention. Which
methods are applicable and under which assumptions they work?
How to design an impact evaluation? The most important decisions related
to an impact evaluation will be made at the planning phase. A rushed and
superficial plan is likely to result in interesting questions remaining unanswered
or inadequately answered due to poor or missing data. This Guide sheds light
on the critical decisions that need to be made at an early stage and the trade-
offs that they involve.
How to assess and disseminate its results, on the basis of their reliability,
transferability, and sustainability?
How to use the result to create knowledge that can feed into fine-tuning
ongoing reforms, inspiring new change and building-upon to create additional
knowledge? This is about participating in a community that builds and shares
experience; this is about policy-makers sharing reliable experience across
borders.
This Guide is intended to support at national, regional and local level - Policy-
makers; i.e. those formulating policies, be it through programmes, legislation or
social dialogue. Among them, this Guide aims to support those seeking to build
evidence and/or use evidence about ‘what works’ for social innovation public
policy creations.
WHO SHOULD READ THIS GUIDE?
5ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Step 1: Defining policies and interventions
	 Policy as social innovation
Policymaking can be socially innovative in process, when it adopts the principles
and tools of social innovation. We call this ‘policy as social innovation’.
	 Policy for social innovation
Public policy can enhance supply of and demand for social innovation, as well as
creating a wider environment in which social innovations can thrive. We call this
‘policy for social innovation’.
	 Social innovation policy as intervention
An intervention is an action taken to solve a problem. In the area of medical
research an intervention is a treatment administered with the aim of improving
a health disorder. The relative simplicity of the medical treatment makes it easily
replicable; this partly explains why the whole idea of experimentation hatched
and the method is so compelling in the medical context. Social innovation policy
interventions, on the other hand, have different and arguably more far-fetched
aims. To assess social innovation policy interventions, we might need to combine
several methods.
On one hand, governments explore ways in which policy can stimulate and
support social innovation. Largely, these efforts have been concerned with
putting in place the supports and conditions needed for a thriving social market
economy. There are also examples of public officials engaging directly with social
innovators to meets citizens’ needs in new ways, for example by commissioning,
funding or partnering with social enterprises to deliver public services.
The use of social innovation tools in policymaking falls mainly into the realm of
‘public sector innovation’. This involves ‘creating, developing and implementing
practical ideas that achieve a public benefit.’
From a policy perspective, social innovation is more of a normative concept.
Policymakers are interested in social innovation for its potential to make a positive
difference to people’s lives.3
	 Selecting a relevant intervention, programme or policy
It is very important to carefully identify only the few most relevant policy
interventions to be evaluated. For instance, there is limited added value in
evaluating the impact of interventions on a very limited number of people, or in
testing a policy question that is already supported by an extensive solid evidence-
base.
3 p.7, 8; Social Innovation policy in Europe: Where next?, Social Innovation Community, 2017, Sophie Reynolds
(Nesta), Madeleine Gabriel (Nesta), Charlotte Heales (The Young Foundation)
6ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
	 Evaluating entire programmes and policies
A policy can be evaluated at different levels, from the ‘macro’ to the ‘micro’
level. The appropriate level depends on the policymaker’s needs. There is a
practical trade-off between obtaining robust evidence on the impact of a single
intervention and the concrete policy relevance that a less strict and therefore less
robust methodology might provide for a broader reform. One could first evaluate
the impact of a programme as a whole. The aim of the evaluation is then to
find out whether the programme, including all its components, made a global
difference for its beneficiaries.
	 Evaluating interventions
At a lower level, it can be interesting to test each intervention separately. By
comparing the impact of each intervention, policymakers can identify the most
effective alternative to address a given policy goal. However, an evaluation testing
different hypothesis may yield more comprehensive results.
While assessing the potential impact, it is important to keep in mind which
features of the interventions can be reliably tested; this guide is meant to help
with this. Ultimately, the decision to test a programme will rest on two legs: policy
relevance and feasibility.
7ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Step 2: Specifying a ‘theory of change’
A ‘theory of change’ (ToC) is to social innovation policy formation what plans
and foundations are to a building structure. The section below provides a fairly
succinct description of this approach. Further information on the most important
steps in a ToC is given in subsequent sections.
	 A map to the desired outcome
The emphasis on design comes from an observation that has been made
countless times by researchers, trainers and advisers: a lot of important questions
in an evaluation remain unanswered or poorly answered due to superficial design.
Whilst there is no such thing as a perfect design, some steps can be taken so that
the energy used in the development and conduct of an impact evaluation get
rewarded as it should. These steps have been integrated into a single framework
known as a ‘theory of change’.
A ToC has been defined as “the description of a sequence of events that is
expected to lead to a particular desired outcome”. It is the causal chain that
connects resources to activities, activities to outputs, outputs to outcomes and
outcomes to impacts.
	 A good ToC uses six different building blocks:
1.	 Needs: is the assessment of the problems faced by the target population.
2.	 Inputs: are the resources that will be consumed in the implementation of
the intervention. Those include the time spent by the agents implementing
and evaluating the project and the costs involved (i.e. the services and
goods service providers will need to purchase). The critical question is: to
what extent will these resources enable the delivery of the intervention?
3.	 Outputs: is what will be delivered. It can be information, a subsidy or a
service. The key question here is: how likely is the intervention to produce
the intended short-term outcome?
4.	 Outcomes: are the results of interest likely to be achieved once the service
has been delivered. Outcomes in the social policy area usually appear in the
medium-term.
5.	 Impact: is the change in outcomes that is caused by the intervention being
tested.
6.	 Finally, a ToC should document the assumptions used to justify the
causal chain. These assumptions need to be supported by research and
stakeholder consultations. This will strengthen the case to be made about
the plausibility of the theory and the likelihood that stated outcomes will
be accomplished.
8ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Figure 1 Theory of Change diagram4
4https://datajourney.akvo.org/blog/how-to-design-a-theory-of-change?
	 An essential tool in social innovation public policy creation
There are several advantages in using a ToC. Firstly, a ToC will help policy makers
make better decisions throughout the entire lifecycle of the policy. At an early
stage, it will support the formulation of a clear and testable hypothesis about how
change will occur. This will not only improve accountability, but also make results
more credible because they were predicted to occur in a certain way. During the
implementation, it can be used as a framework to check milestones and stay on
course, as well as a blueprint for evaluation with measurable indicators of success.
Once the policy is terminated, it can be updated and used to document lessons
learned about what really happened.
Secondly, a ToC is a powerful communication tool to capture the complexity
of an initiative and defend a case to funders, policymakers and boards. The
tough economic context, as well as the intense pressure on governments and
organisations to demonstrate effectiveness, means that leaders are increasingly
selective when it comes to supporting research projects. A visual representation
of the change expected in the system and how it can come about ought to
reassure them as to the credibility of the initiative. It can also keep the process
of implementation and evaluation transparent, so everyone knows what is
happening and why.
9ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
	 Doing it right
A ToC is the outcome of two parallel and simultaneous processes involving
research and participation. The research process aims to generate the evidence
base underpinning the programme and to inform its assumptions. Expectations
that a new intervention will lead to the desired outcome are often justified by
our ‘experience’ or ‘common sense’. Inasmuch as possible, impact evaluations
should refrain from relying on such subjective measures in that they are highly
debatable and do not offer any warranty that the intervention will succeed. To be
truly ‘evidence based’, the causal link between the intervention and the outcome
should rely on social science research. An effective intervention will require
insights from economics, sociology, psychology, political science, etc. Thus, it is
crucial to involve experts very early on in the project.
The participatory process usually includes a series of stakeholder workshops.
The objective is
a. to get feedback on the conclusions and implications of the preliminary
research;
b. to secure stakeholder buy-in, which is an essential success factor.
10ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Step 3: Defining outcomes, outcome indicators and
data collection plans
Step 4: Estimating the counterfactual
Impact evaluations test hypotheses regarding the expected outcome of an
intervention. But what are well-defined outcomes? What type of metric should
be used? And when should the outcome be measured? The following section
gives some guidance to make the best decisions.
Inasmuch as possible, one should try and use the same outcome indicators as in
previous evaluations of similar interventions. This includes evaluations conducted
domestically and abroad. Using the same indicator will not only make systematic
reviews and meta-evaluations easier.
We have two other guideline documents that talk about the impact
measurements, so we are kindly inviting you to refer to those two documents.
Impact evaluations seek to estimate the intrinsic value of public policies. There
are many reasons why a programme might be perceived as a success even
though it had no actual impact or vice-versa. For example, it could be that
the implementation of the programme coincided with favourable economic
conditions, in which case the situation would have improved even without
the new programme. Or, in two-group comparison, it could be that those who
benefited from the new intervention were somewhat different from those in the
control group, artificially boosting or impeding the intervention.
To take into account effects that have nothing to do with the intervention, impact
evaluations measure its observed outcome against an estimate of what would
have happened in its absence. This estimate is known as the counterfactual.
	 Individual-level vs. population-level counterfactuals
Whereas some reforms aim to modify the size and composition of the inflow into
a scheme (population-level outcomes), other seek to influence the behaviour of
participantstothescheme(individual-leveloutcomes).Itisverydifficulttomeasure
population-level outcomes and individual-level outcomes simultaneously.
To estimate the impact of an intervention on individual-level outcomes (e.g.,
labour-market participation, net income, benefit duration), one needs to build
individual-level counterfactuals. Individual-level counterfactuals amount to
comparing beneficiaries of a new intervention with beneficiaries of existing
provisions.
11ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Individual-level counterfactuals can also be used to estimate the impact of
different aspects of the reform and in this way, to elicit the most cost-effective
ones. This is highly valuable from a policy perspective, as public expenditure can
be optimised by focusing on the policy options that do have an impact on the
desired outcomes.
In order to estimate the impact of the reform on the inflow into the scheme, one
needs to build population-level counterfactuals. In this case, two similar groups
are compared: one group is given access to the new scheme, whereas the other
continues benefiting from the existing scheme.
	 Method 1: Randomized controlled trials (RCTs)
The credibility of an impact evaluation depends on the degree of similarity
between the control and the intervention group, both in terms of observable and
unobservable characteristics. Random assignment to intervention and control
groups constitutes the most reliable method; if the sample is sufficiently large,
it guarantees that the control group has the same characteristics as the group
receiving the programme. RCTs are seen as a rigorous method for constructing a
valid counterfactual.
Figure 2 The basic design of a randomised controlled trial (RCT),
illustrated with a test of a new ʻback to workʼ programme.
p.4, Test, Learn, Adapt: Developing Public Policy with Randomised Controlled
Trials, Jan. 2012
Population is split into 2
groups by random lot
Looking for work Found work
Outcomes for both
groups are measured
INTERVENTION
CONTROL
12ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
	 Method 2: Regression Discontinuity Design
This method can be implemented when there is a clear, quantitative eligibility
criterion or threshold (a cut-off score), that separate a group of people under
intervention from another (control) group. It compares people just above the cut-
off score (who qualify for the new policy or programme), with those just beneath
it (who do not).
This method relies on the assumption that the intervention strictly implements
a clearly quantifiable selection criterion, and that participants are unable to
anticipate and manipulate the scoring close to the cut-off point. The main
weakness of this method is that it measures the effect of the intervention only on
the people lying close to the eligibility threshold. If policymakers are interested
in evaluating the impact of a policy or programme on the entire population, this
method is not appropriate.
	 Method 3: Differences-in-Differences (DiD)
This method compares the change in outcomes over time among participants
and non-participants. More specifically, it measures the change in outcomes for
the control group to get an idea of what would the ‘natural change’ had been
in the absence of the programme, and tracks the change in outcome for the
intervention group to obtain a measure of the ‘natural change’ plus the change
caused by the programme. By subtracting the difference in outcomes from the
control group, to those from the intervention group, the evaluator can obtain a
measure of the change caused by the programme.
Oneoftheadvantagesofthismethodisthatitprovidesameasureoftheimpactfor
thewholepopulationofparticipants,whilecontrollingforchangingenvironmental
conditions. However, it relies on the ‘parallel trends assumption’. That is, in order
to determine that the difference in outcomes is due to the programme, the
trends in outcomes of the participants and of the non-participants should be
approximately the same in the absence of the programme.
	 Method 4: Statistical Matching
This is a collective term for statistical techniques which construct a control group
by matching each of the participants with one similar non-participant, on the
basis of observed characteristics. The aim is to match participants pairwise with
non-participants using as many variables as possible, to ensure that the sole
major difference between the two groups is the intervention. The matched non-
participants provide the counterfactual. This method provides an estimate of the
effect of an intervention for all the participants that where successfully matched
to a non-participant, and if there is enough available data, can be applied even
if the programme has already ended. However, this method relies on the strong
and untestable assumption that all relevant background characteristics can be
observed and accounted for.
13ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Step 5: Analysing and interpreting the effect of the
intervention
Impact evaluation methods estimate the impact of an intervention by comparing
the results of the intervention and of the control group. The net effect of an
intervention generally amounts to the difference in outcomes in the intervention
and in the control group. This chapter presents a general overview of some
important aspects to consider when interpreting results, relevant for all of the
different evaluation methods.
	 Choosing the time to Measure Outcomes
Certain outcomes can require some time before they fully materialize and become
observable by the researchers. It is of vital importance to choose appropriately the
time periods during which different outcomes will be measured. Similarly, and
more generally, social innovation policies may require an effort in the short term
to reap benefits in the longer term. While in the short term the policy’s outcome
may be unobservable, upon maturity these become more evident.
	 Monitoring Compliance, Limiting Attrition and Ensuring
Objectivity
Results may be misleading if some of the units assigned to the control group
receive the programme, and/or some of the units in the intervention group
do not. Partial compliance can potentially reduce the difference in terms of
exposure to the intervention of each group. By monitoring compliance while the
intervention is being implemented, researchers can take early action to ensure
that compliance rates improve. In addition to this, compliance rates must be
rigorously reported so they can be taken into account in the analysis of results. It is
of utmost importance that an objective and independent third party undertakes
the evaluation. The evaluation design and implementation must be carefully
reported, and when possible, data should be made public to enable replications.
14ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Step 6: Disseminating findings
Step 7: From local to global
When the evaluation results have important policy implications, research needs to
be translated into policy. In addition, giving other policy-makers the opportunity
to build on results, be they negative or positive, can further enhance their impact.
	 Understanding the policy relevance of an evaluation
Policy relevance is very much time-dependent: a topic might be ‘hot’ one day and
‘ice-cold’ the following week. Thus, it is important to keep an eye on the policy
agenda. A ‘window of opportunity’ may arise, for example, in the course of budget
discussions, when policy-makers set up their priorities and allocate resources.
	 Disseminating results in an accessible format
Beyond the research findings, it is also important to communicate the policy
implications of the policy evaluation/testing. A key responsibility is to make
research more accessible by extracting the most compelling results from longer
papers and reports and presenting them in non-technical language.
How does one know whether a programme that is effective on a pilot scale has the
same impact when scaled up, extended or replicated in a different location? This
is a very important question, and it relates to the external validity of an evaluation.
External validity, also known as ‘generalizability’, is the degree to which one can be
confident that the results found in a specific context will apply to other contexts.
There are four major factors that affect the generalizability of an evaluation,
including the quality of implementation, the scale of implementation, the context
and the content of the programme.
1. The quality of implementation: Pilot programmes are often implemented
with great care, and with well-trained staff. It may be difficult to keep the
same standards at a wider scale. Researchers should implement interventions
in representative locations with representative partners, and representative
samples.
2. The scale of implementation: a programme that is implemented on a small
scale may have different effects when scaled up (general equilibrium effects).
Researchers can adapt the design of the evaluation to capture these effects by
using a wide enough unit of observation.
3. The context of implementation: An intervention that proves to be effective
in one context may have a different impact in another institutional and cultural
context. Behavioural theory can help us define which aspects of the context are
likely to be relevant to a particular programme.
15ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Figure 3 Generalizability
SAMPLE
POPULATION
Select a sample
from the
population
Generalize
conclusions from
the sample to the
population
16ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
In this section we talk about the main principles that somehow differentiates
‘regular’ policymaking from socially innovative policymaking. We believe it is
an important aspect of this document, since we do talk about policy as social
innovation and policy for social innovation – and there should be evidence that
there are more socially innovative ways to implement policies also.
1. CHALLENGE-FOCUSED
Public authorities are tasked with dealing with some of the thorniest societal
challenges we face: from climate change to poverty. Socially innovative
policymaking seeks to find solutions for these complex challenges using
collaborative, social innovation tools and approaches.
2. OPENNESS
To effectively design and deliver better solutions, socially innovative policymaking
needs to be open to new insights, new methods and approaches, and new forms
of knowledge and expertise.
3. HUMAN-CENTERED DESIGN (HCD)
Policymaking is often developed in a public agency with an emphasis on
administrative rather than user needs. HCD is a process which attempts to invert
this logic, by having policymakers approach a policy challenge with ‘professional
empathy’. A number of methods and approaches support the use of HCD in
policy. User research, ethnographic methods, service safaris are just a few of the
many tools available to policymakers.
4. COLLABORATION/CO-DESIGN
Socially innovative policymaking goes a step beyond consulting users and
citizens to meaningfully involve them in the policy process. It is premised on the
belief that policy solutions will be better if they incorporate the inputs and ideas
provided by citizens and other stakeholders.
5. EXPERIMENTATION AND EVIDENCE
Socially innovative policymaking is ultimately outcomes-focused, and seeks to
identify whether a policy intervention is achieving its intended goal in a real-
world setting. Designing experimental and evidence-informed policies enables
policymakers to make better decisions, to monitor and evaluate what is working
– and stop what isn’t.
Seven principles of socially innovative policymaking
17ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
6. ITERATION
Iteration - Socially innovative policies seek to adopt an agile approach to policy
development where policy solutions are continually refined and revisited around
a series of feedback loops. In this sense, an iterative policy development approach
is at odds with traditional ‘waterfall’ or ‘big bang’ policy models - where a top-
down policy strategy is devised and the policy solution is arrived at prescriptively.
7. CONNECTING AND SCALING
Scaling up of policy refers to the expansion, replication, adaptation and sustaining
of effective policies, programmes or projects in geographic space and over time
to reach a greater number of people. Ongoing policy scaling requires political
support, and regular monitoring and evaluation to assess a policy continues
to create impact as it grows. Embedding and sustaining change also requires
creatingsynergieswithotherpoliciesandprogrammes,whileforgingconnections
and alliances with others affected by or working on the policy challenge.
Testing new policies is a time and money consuming process, but never the less
a much need one. Way in which it is done vary from sector to sector and territory
to territory. We aim to show the way that is most suitable for creating new social
innovation policies and that means we also view it as a process that needs to be
as inclusive and transformative as possible on multiple levels.
Some parts of the social innovation community have engaged a lot with
policymakers and have a good idea about how public policy could support them
better. In other areas - for instance, where social innovation networks are less
developed or formalised - there’s been less work done to date.5
 
Emancipatory transformative SI will have to tackle the challenge of accompanying
the move towards ‘doing’ with more ‘talking’ in a sense of participation in decision
making process. The notion of bottom-linked governance is an attempt to unify
‘talking’ and ‘doing’. Both academia and policy makers tend to focus increasingly
on the outputs of SI. This tendency has been accompanied by a decline in interest
for the decision-making and government processes in which the decisions are
made – or not made. More emphasis on participation processes and questions
of political representation would benefit the future of social innovation related
policies.6
Social Innovation promotes the competitiveness of the EU and its regions which
are well placed to play a leading role in this process. Regional authorities can
orchestrate the process. They can take a lead in promoting and supporting social
innovation, provide funds, bring various stakeholders together, put forward
strategic thinking and support the generation of fresh ideas to overcome societal
and socio-economic challenges.
5https://www.siceurope.eu/policy-portal/policy-social-innovation-five-ways-policy-can-support-social-
innovation. Policy for social innovation: Five ways policy can support social innovation, Madeleine Gabriel, Nesta
6p42, Social Innovation as a Trigger for Transformation, sept. 2017
18ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Conclusion
19ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
CASE STUDY
We spoke to the principal of local general high school in Slovenia, that is
considered one of the most progressive ones in Slovenia. They are a leader of
change in the school system in Slovenia and the principal Mr. Gregor Deleja
is pushing strongly to change not only the school itself, but also the policies
concerning the education system as a whole. We spoke to him at the school he
manages and tried to obtain information that fits the topic we are discussing in
the chapters above.
In the below text, we are summarizing the interview that will be available in full
on our online platform (https://socialinnovationstrategy.eu/).
Mr. Deleja is one of the most active principles in the country and the projects his
school is involved in are numerous. We will not name them all, but focus on the
socially innovative ones and the way they are testing and validating them as well
as implementing them into the existing policies or creating new ones because
of the success of the innovation. Mr. Deleja has been the principle of Gimnazija
Celje – Center since 2014 and all the projects and innovations he is implementing
started around that time.
Which changes the school is going to implement is a challenging question and
they have a team of students as well as a team of teachers that combine the
views and set the stage for changes that should be good for all involved. Everyone
should keep in mind that creating lasting changes takes time.
The innovations are implemented on both the pedagogical processes as
well as administrative/management level of the school and most of the
projects have both short-term and long long-term goals associated to them. As
specified also above in the theoretical part of the text, the innovations are being
implemented in parallel to the traditional process the school is operating in and
then the results are being compared and validated.
Some of the innovative processes currently active at the school are:
1.	 Digitalisation (pedagogical part and administrative part) of working and
communication processes; data analysis … (also due to Covid-19). There was
no real top down guide lines presented (or late in the process), so the school
needed to come up with their own solutions. Bottom up is still seen as the
way to do social innovation in any sector.
2.	 Interdisciplinary approach - Flexible forms of transition between school
and the environment for high school students. Working with gifted students
they merge different subject into a few interdisciplinary topics where
students learn about multiple subjects but focused on one general topic, i.e.
Environment studies, Public speaking, Research work.
How is a Local high school in Slovenia (Gimnazija Celje Center) testing
and validating innovative processes and trying to implement changes in
policies and the education system?
20ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
3.	 Innovative learning environments and experiential learning
4.	 Strategic planningatseverallevels(1st,2ndyear;3rd,4thyear;byprograms,
extracurricular activities)
5.	 Mystery Island (Skrivnostni otok) - strengthening the organizational
climate and defining a new vision of their school.
This brings us to the testing and validation that the school is conducting. Testing
is mostly done internally (internal validation) and between different groups
– students, teachers, management, mostly through questionnaires, discussions
and interviews. Mr. Deleja stresses that this process is very important, because
until recently some internal actors were afraid to get real results and real feedback
from the students (teachers) or teachers (management). External validation
methods they are using are many, here we will name a few:
1.	 The School Barometer is an annual survey that includes several Slovenian
vocational schools and gymnasiums since 2017, which want to find out how
different stakeholders - students, parents and employees, are satisfied with
the operation of their school. The results of the survey serve as a tool for
school principals and staff to better understand the school community and
its strengths, as well as areas for improvement.
2.	 Faculty of Economy from University of Ljubljana – has prepared a
strategy document and methodology with which the school can now more
structurally conduct innovation validations.
3.	 TALIS - The OECD Teaching and Learning International Survey asks teachers
and school leaders about working conditions and learning environments at
their schools to help countries face diverse challenges.
4.	 PISA – Programme for International Student Assessment is an international
survey on reading, math and science literacy. It is implemented under the
auspices of the Organization for Economic Co-operation and Development
(OECD).
5.	 TIMSS - Trends in International Mathematics and Science Study are
projects of the International Association for the Evaluation of Educational
Achievement (IEA). TIMSS research measures trends in student achievement
in mathematics and science by comparing achievement on uniform
knowledge tests of children of approximately the same age who have
the same number of years of schooling behind them. Achievements are
explained by the factors of knowledge acquisition in and out of school,
which are measured by means of questionnaires for students, teachers and
school management.
21ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020
Even though social impact is difficult to measure, Mr. Deleja believes the best way
to see their impact is the values that their students have after leaving school. They
also validate former students’ impression of the school and their time spent there.
The social frame that the schools are providing for students are very important
and this is one of the biggest tasks the school is performing.
There is a general idea that all the social innovations and changes the school is
conducting are at some point going to be a trigger of systemic change, that step
by step successfully implemented changes will become official guidelines or new
policies.
What they wish to integrate in the new policies:
1.	 Intergenerational dialogue – we are trying to integrate a teacher mentor
program, for young teachers to get one of the senior teachers to be their
mentor for a period of time.
2.	 Digitalisation
3.	 Interdisciplinary approach
Still a lot of work and cooperation is needed. As in the process of creating social
innovation, the school is cooperating on local level with multiple stakeholders,
i.e. all the high schools from the region, municipality, NGOs, SMEs…, similarly
on national level and also on international level with projects like UNESCO
school, ECO school, ERASMUS+, Norway Fund, … This gives them reassurance
that they will be heard and their work will be considered and valued.
At least one of the initiatives has been accepted as new policy and it is the work
being done with gifted students on the interdisciplinary approach – namely,
interdisciplinary subjects have been integrated into schools as optional
subject. As said before, the changes are a long-term process and to use the
words of Mr. Deleja ‘we sometimes need to work for future generations and be
aware that we might not see the final result during our lifetime.’

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Testing social innovation policies

  • 1. TESTING NEW SOCIAL INNOVATION POLICIES ON LOCAL AND REGIONAL LEVEL EUROPEAN REGIONAL DEVELOPMENT FUND
  • 2. 2ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 TABLE OF CONTENT Introduction 3 What is the purpose of this Guide? 4 Who should read this guide? 4 Step 1: Defining policies and interventions 5 Step 2: Specifying a ‘theory of change’ 7 Step 3: Defining outcomes, outcome indicators and data collection plans 10 Step 4: Estimating the counterfactual 10 Step 5: Analysing and interpreting the effect of the intervention 13 Step 6: Disseminating findings 14 Step 7: From local to global 14 Seven principles of socially innovative policymaking 16 1. CHALLENGE-FOCUSED 16 2. OPENNESS 16 3. HUMAN-CENTERED DESIGN (HCD) 16 4. COLLABORATION/CO-DESIGN 16 5. EXPERIMENTATION AND EVIDENCE 16 7. CONNECTING AND SCALING 17 Conclusion 18 CASE STUDY 19
  • 3. 3ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Introduction IntheEU, socialinnovationhasbeenpositedasasolutiontobotholdandnewsocial risks at a time of heightened uncertainty and pressure on public administrations and finances.1 Across Europe there are many initiatives operating nationally and transnationally that have been designed to support social innovation, but we’re still some way away from a well-developed field of ‘social innovation policy’.2   Social innovation public policies mean developing new ideas, services and models to help address the current societal challenges for delivering better social outcomes. It can help nurture the current fragile economic recovery with improved social and economic outcomes in the medium and long term. It involves new ways of organising systems and therefore invites input from public and private actors, including civil society. As a tool to provide better and innovative solutions to social challenges. It also stresses the need for modernisation of welfare states given the implications of the demographic change and of the financial and economic crisis. Modernisation of SI public policies requires systematic introduction of ex-ante result orientation in financing decisions and a systematic approach of the role public policies on SI play in the different stages in life. The role of policy makers is crucial in guiding the reform process, selecting the appropriate policy priorities and for an effective follow- up and increased sustainability of the results. In order to play this function, policy makers need tools that allow them to assess the investment returns of the chosenpoliciesintermsofsocialoutcomes(increaseininclusionandemployment, reduction in cost of service at same quality level, contribution to the economy...). There are different evaluation methods available to policy makers depending on the specific features of the policy to be assessed. These methods can provide evidence of positive outcomes of policies and support policy decisions. Different methods can be used to measure the impact of a policy and gain evidence on effective social policy reforms. This guide will focus on commonly used methods, including: 1. Randomised Controlled Trials; 2. Differences-in-Differences; 3. Statistical matching; 4. Regression Discontinuity Design. 1Bonoli 2005; OECD 2011; Sinclair and Baglioni 2014 2https://www.siceurope.eu/policy-portal/policy-social-innovation-five-ways-policy-can-support-social- innovation
  • 4. 4ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 What is the purpose of this Guide? This guide is meant as a companion to policy-makers and social service providers wishing to implement social innovation public policies and evaluate the impact of their interventions. It addresses three important and related questions: How to evaluate the impact of a social innovation policy intervention. Which methods are applicable and under which assumptions they work? How to design an impact evaluation? The most important decisions related to an impact evaluation will be made at the planning phase. A rushed and superficial plan is likely to result in interesting questions remaining unanswered or inadequately answered due to poor or missing data. This Guide sheds light on the critical decisions that need to be made at an early stage and the trade- offs that they involve. How to assess and disseminate its results, on the basis of their reliability, transferability, and sustainability? How to use the result to create knowledge that can feed into fine-tuning ongoing reforms, inspiring new change and building-upon to create additional knowledge? This is about participating in a community that builds and shares experience; this is about policy-makers sharing reliable experience across borders. This Guide is intended to support at national, regional and local level - Policy- makers; i.e. those formulating policies, be it through programmes, legislation or social dialogue. Among them, this Guide aims to support those seeking to build evidence and/or use evidence about ‘what works’ for social innovation public policy creations. WHO SHOULD READ THIS GUIDE?
  • 5. 5ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Step 1: Defining policies and interventions Policy as social innovation Policymaking can be socially innovative in process, when it adopts the principles and tools of social innovation. We call this ‘policy as social innovation’. Policy for social innovation Public policy can enhance supply of and demand for social innovation, as well as creating a wider environment in which social innovations can thrive. We call this ‘policy for social innovation’. Social innovation policy as intervention An intervention is an action taken to solve a problem. In the area of medical research an intervention is a treatment administered with the aim of improving a health disorder. The relative simplicity of the medical treatment makes it easily replicable; this partly explains why the whole idea of experimentation hatched and the method is so compelling in the medical context. Social innovation policy interventions, on the other hand, have different and arguably more far-fetched aims. To assess social innovation policy interventions, we might need to combine several methods. On one hand, governments explore ways in which policy can stimulate and support social innovation. Largely, these efforts have been concerned with putting in place the supports and conditions needed for a thriving social market economy. There are also examples of public officials engaging directly with social innovators to meets citizens’ needs in new ways, for example by commissioning, funding or partnering with social enterprises to deliver public services. The use of social innovation tools in policymaking falls mainly into the realm of ‘public sector innovation’. This involves ‘creating, developing and implementing practical ideas that achieve a public benefit.’ From a policy perspective, social innovation is more of a normative concept. Policymakers are interested in social innovation for its potential to make a positive difference to people’s lives.3 Selecting a relevant intervention, programme or policy It is very important to carefully identify only the few most relevant policy interventions to be evaluated. For instance, there is limited added value in evaluating the impact of interventions on a very limited number of people, or in testing a policy question that is already supported by an extensive solid evidence- base. 3 p.7, 8; Social Innovation policy in Europe: Where next?, Social Innovation Community, 2017, Sophie Reynolds (Nesta), Madeleine Gabriel (Nesta), Charlotte Heales (The Young Foundation)
  • 6. 6ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Evaluating entire programmes and policies A policy can be evaluated at different levels, from the ‘macro’ to the ‘micro’ level. The appropriate level depends on the policymaker’s needs. There is a practical trade-off between obtaining robust evidence on the impact of a single intervention and the concrete policy relevance that a less strict and therefore less robust methodology might provide for a broader reform. One could first evaluate the impact of a programme as a whole. The aim of the evaluation is then to find out whether the programme, including all its components, made a global difference for its beneficiaries. Evaluating interventions At a lower level, it can be interesting to test each intervention separately. By comparing the impact of each intervention, policymakers can identify the most effective alternative to address a given policy goal. However, an evaluation testing different hypothesis may yield more comprehensive results. While assessing the potential impact, it is important to keep in mind which features of the interventions can be reliably tested; this guide is meant to help with this. Ultimately, the decision to test a programme will rest on two legs: policy relevance and feasibility.
  • 7. 7ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Step 2: Specifying a ‘theory of change’ A ‘theory of change’ (ToC) is to social innovation policy formation what plans and foundations are to a building structure. The section below provides a fairly succinct description of this approach. Further information on the most important steps in a ToC is given in subsequent sections. A map to the desired outcome The emphasis on design comes from an observation that has been made countless times by researchers, trainers and advisers: a lot of important questions in an evaluation remain unanswered or poorly answered due to superficial design. Whilst there is no such thing as a perfect design, some steps can be taken so that the energy used in the development and conduct of an impact evaluation get rewarded as it should. These steps have been integrated into a single framework known as a ‘theory of change’. A ToC has been defined as “the description of a sequence of events that is expected to lead to a particular desired outcome”. It is the causal chain that connects resources to activities, activities to outputs, outputs to outcomes and outcomes to impacts. A good ToC uses six different building blocks: 1. Needs: is the assessment of the problems faced by the target population. 2. Inputs: are the resources that will be consumed in the implementation of the intervention. Those include the time spent by the agents implementing and evaluating the project and the costs involved (i.e. the services and goods service providers will need to purchase). The critical question is: to what extent will these resources enable the delivery of the intervention? 3. Outputs: is what will be delivered. It can be information, a subsidy or a service. The key question here is: how likely is the intervention to produce the intended short-term outcome? 4. Outcomes: are the results of interest likely to be achieved once the service has been delivered. Outcomes in the social policy area usually appear in the medium-term. 5. Impact: is the change in outcomes that is caused by the intervention being tested. 6. Finally, a ToC should document the assumptions used to justify the causal chain. These assumptions need to be supported by research and stakeholder consultations. This will strengthen the case to be made about the plausibility of the theory and the likelihood that stated outcomes will be accomplished.
  • 8. 8ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Figure 1 Theory of Change diagram4 4https://datajourney.akvo.org/blog/how-to-design-a-theory-of-change? An essential tool in social innovation public policy creation There are several advantages in using a ToC. Firstly, a ToC will help policy makers make better decisions throughout the entire lifecycle of the policy. At an early stage, it will support the formulation of a clear and testable hypothesis about how change will occur. This will not only improve accountability, but also make results more credible because they were predicted to occur in a certain way. During the implementation, it can be used as a framework to check milestones and stay on course, as well as a blueprint for evaluation with measurable indicators of success. Once the policy is terminated, it can be updated and used to document lessons learned about what really happened. Secondly, a ToC is a powerful communication tool to capture the complexity of an initiative and defend a case to funders, policymakers and boards. The tough economic context, as well as the intense pressure on governments and organisations to demonstrate effectiveness, means that leaders are increasingly selective when it comes to supporting research projects. A visual representation of the change expected in the system and how it can come about ought to reassure them as to the credibility of the initiative. It can also keep the process of implementation and evaluation transparent, so everyone knows what is happening and why.
  • 9. 9ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Doing it right A ToC is the outcome of two parallel and simultaneous processes involving research and participation. The research process aims to generate the evidence base underpinning the programme and to inform its assumptions. Expectations that a new intervention will lead to the desired outcome are often justified by our ‘experience’ or ‘common sense’. Inasmuch as possible, impact evaluations should refrain from relying on such subjective measures in that they are highly debatable and do not offer any warranty that the intervention will succeed. To be truly ‘evidence based’, the causal link between the intervention and the outcome should rely on social science research. An effective intervention will require insights from economics, sociology, psychology, political science, etc. Thus, it is crucial to involve experts very early on in the project. The participatory process usually includes a series of stakeholder workshops. The objective is a. to get feedback on the conclusions and implications of the preliminary research; b. to secure stakeholder buy-in, which is an essential success factor.
  • 10. 10ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Step 3: Defining outcomes, outcome indicators and data collection plans Step 4: Estimating the counterfactual Impact evaluations test hypotheses regarding the expected outcome of an intervention. But what are well-defined outcomes? What type of metric should be used? And when should the outcome be measured? The following section gives some guidance to make the best decisions. Inasmuch as possible, one should try and use the same outcome indicators as in previous evaluations of similar interventions. This includes evaluations conducted domestically and abroad. Using the same indicator will not only make systematic reviews and meta-evaluations easier. We have two other guideline documents that talk about the impact measurements, so we are kindly inviting you to refer to those two documents. Impact evaluations seek to estimate the intrinsic value of public policies. There are many reasons why a programme might be perceived as a success even though it had no actual impact or vice-versa. For example, it could be that the implementation of the programme coincided with favourable economic conditions, in which case the situation would have improved even without the new programme. Or, in two-group comparison, it could be that those who benefited from the new intervention were somewhat different from those in the control group, artificially boosting or impeding the intervention. To take into account effects that have nothing to do with the intervention, impact evaluations measure its observed outcome against an estimate of what would have happened in its absence. This estimate is known as the counterfactual. Individual-level vs. population-level counterfactuals Whereas some reforms aim to modify the size and composition of the inflow into a scheme (population-level outcomes), other seek to influence the behaviour of participantstothescheme(individual-leveloutcomes).Itisverydifficulttomeasure population-level outcomes and individual-level outcomes simultaneously. To estimate the impact of an intervention on individual-level outcomes (e.g., labour-market participation, net income, benefit duration), one needs to build individual-level counterfactuals. Individual-level counterfactuals amount to comparing beneficiaries of a new intervention with beneficiaries of existing provisions.
  • 11. 11ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Individual-level counterfactuals can also be used to estimate the impact of different aspects of the reform and in this way, to elicit the most cost-effective ones. This is highly valuable from a policy perspective, as public expenditure can be optimised by focusing on the policy options that do have an impact on the desired outcomes. In order to estimate the impact of the reform on the inflow into the scheme, one needs to build population-level counterfactuals. In this case, two similar groups are compared: one group is given access to the new scheme, whereas the other continues benefiting from the existing scheme. Method 1: Randomized controlled trials (RCTs) The credibility of an impact evaluation depends on the degree of similarity between the control and the intervention group, both in terms of observable and unobservable characteristics. Random assignment to intervention and control groups constitutes the most reliable method; if the sample is sufficiently large, it guarantees that the control group has the same characteristics as the group receiving the programme. RCTs are seen as a rigorous method for constructing a valid counterfactual. Figure 2 The basic design of a randomised controlled trial (RCT), illustrated with a test of a new ʻback to workʼ programme. p.4, Test, Learn, Adapt: Developing Public Policy with Randomised Controlled Trials, Jan. 2012 Population is split into 2 groups by random lot Looking for work Found work Outcomes for both groups are measured INTERVENTION CONTROL
  • 12. 12ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Method 2: Regression Discontinuity Design This method can be implemented when there is a clear, quantitative eligibility criterion or threshold (a cut-off score), that separate a group of people under intervention from another (control) group. It compares people just above the cut- off score (who qualify for the new policy or programme), with those just beneath it (who do not). This method relies on the assumption that the intervention strictly implements a clearly quantifiable selection criterion, and that participants are unable to anticipate and manipulate the scoring close to the cut-off point. The main weakness of this method is that it measures the effect of the intervention only on the people lying close to the eligibility threshold. If policymakers are interested in evaluating the impact of a policy or programme on the entire population, this method is not appropriate. Method 3: Differences-in-Differences (DiD) This method compares the change in outcomes over time among participants and non-participants. More specifically, it measures the change in outcomes for the control group to get an idea of what would the ‘natural change’ had been in the absence of the programme, and tracks the change in outcome for the intervention group to obtain a measure of the ‘natural change’ plus the change caused by the programme. By subtracting the difference in outcomes from the control group, to those from the intervention group, the evaluator can obtain a measure of the change caused by the programme. Oneoftheadvantagesofthismethodisthatitprovidesameasureoftheimpactfor thewholepopulationofparticipants,whilecontrollingforchangingenvironmental conditions. However, it relies on the ‘parallel trends assumption’. That is, in order to determine that the difference in outcomes is due to the programme, the trends in outcomes of the participants and of the non-participants should be approximately the same in the absence of the programme. Method 4: Statistical Matching This is a collective term for statistical techniques which construct a control group by matching each of the participants with one similar non-participant, on the basis of observed characteristics. The aim is to match participants pairwise with non-participants using as many variables as possible, to ensure that the sole major difference between the two groups is the intervention. The matched non- participants provide the counterfactual. This method provides an estimate of the effect of an intervention for all the participants that where successfully matched to a non-participant, and if there is enough available data, can be applied even if the programme has already ended. However, this method relies on the strong and untestable assumption that all relevant background characteristics can be observed and accounted for.
  • 13. 13ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Step 5: Analysing and interpreting the effect of the intervention Impact evaluation methods estimate the impact of an intervention by comparing the results of the intervention and of the control group. The net effect of an intervention generally amounts to the difference in outcomes in the intervention and in the control group. This chapter presents a general overview of some important aspects to consider when interpreting results, relevant for all of the different evaluation methods. Choosing the time to Measure Outcomes Certain outcomes can require some time before they fully materialize and become observable by the researchers. It is of vital importance to choose appropriately the time periods during which different outcomes will be measured. Similarly, and more generally, social innovation policies may require an effort in the short term to reap benefits in the longer term. While in the short term the policy’s outcome may be unobservable, upon maturity these become more evident. Monitoring Compliance, Limiting Attrition and Ensuring Objectivity Results may be misleading if some of the units assigned to the control group receive the programme, and/or some of the units in the intervention group do not. Partial compliance can potentially reduce the difference in terms of exposure to the intervention of each group. By monitoring compliance while the intervention is being implemented, researchers can take early action to ensure that compliance rates improve. In addition to this, compliance rates must be rigorously reported so they can be taken into account in the analysis of results. It is of utmost importance that an objective and independent third party undertakes the evaluation. The evaluation design and implementation must be carefully reported, and when possible, data should be made public to enable replications.
  • 14. 14ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Step 6: Disseminating findings Step 7: From local to global When the evaluation results have important policy implications, research needs to be translated into policy. In addition, giving other policy-makers the opportunity to build on results, be they negative or positive, can further enhance their impact. Understanding the policy relevance of an evaluation Policy relevance is very much time-dependent: a topic might be ‘hot’ one day and ‘ice-cold’ the following week. Thus, it is important to keep an eye on the policy agenda. A ‘window of opportunity’ may arise, for example, in the course of budget discussions, when policy-makers set up their priorities and allocate resources. Disseminating results in an accessible format Beyond the research findings, it is also important to communicate the policy implications of the policy evaluation/testing. A key responsibility is to make research more accessible by extracting the most compelling results from longer papers and reports and presenting them in non-technical language. How does one know whether a programme that is effective on a pilot scale has the same impact when scaled up, extended or replicated in a different location? This is a very important question, and it relates to the external validity of an evaluation. External validity, also known as ‘generalizability’, is the degree to which one can be confident that the results found in a specific context will apply to other contexts. There are four major factors that affect the generalizability of an evaluation, including the quality of implementation, the scale of implementation, the context and the content of the programme. 1. The quality of implementation: Pilot programmes are often implemented with great care, and with well-trained staff. It may be difficult to keep the same standards at a wider scale. Researchers should implement interventions in representative locations with representative partners, and representative samples. 2. The scale of implementation: a programme that is implemented on a small scale may have different effects when scaled up (general equilibrium effects). Researchers can adapt the design of the evaluation to capture these effects by using a wide enough unit of observation. 3. The context of implementation: An intervention that proves to be effective in one context may have a different impact in another institutional and cultural context. Behavioural theory can help us define which aspects of the context are likely to be relevant to a particular programme.
  • 15. 15ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Figure 3 Generalizability SAMPLE POPULATION Select a sample from the population Generalize conclusions from the sample to the population
  • 16. 16ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 In this section we talk about the main principles that somehow differentiates ‘regular’ policymaking from socially innovative policymaking. We believe it is an important aspect of this document, since we do talk about policy as social innovation and policy for social innovation – and there should be evidence that there are more socially innovative ways to implement policies also. 1. CHALLENGE-FOCUSED Public authorities are tasked with dealing with some of the thorniest societal challenges we face: from climate change to poverty. Socially innovative policymaking seeks to find solutions for these complex challenges using collaborative, social innovation tools and approaches. 2. OPENNESS To effectively design and deliver better solutions, socially innovative policymaking needs to be open to new insights, new methods and approaches, and new forms of knowledge and expertise. 3. HUMAN-CENTERED DESIGN (HCD) Policymaking is often developed in a public agency with an emphasis on administrative rather than user needs. HCD is a process which attempts to invert this logic, by having policymakers approach a policy challenge with ‘professional empathy’. A number of methods and approaches support the use of HCD in policy. User research, ethnographic methods, service safaris are just a few of the many tools available to policymakers. 4. COLLABORATION/CO-DESIGN Socially innovative policymaking goes a step beyond consulting users and citizens to meaningfully involve them in the policy process. It is premised on the belief that policy solutions will be better if they incorporate the inputs and ideas provided by citizens and other stakeholders. 5. EXPERIMENTATION AND EVIDENCE Socially innovative policymaking is ultimately outcomes-focused, and seeks to identify whether a policy intervention is achieving its intended goal in a real- world setting. Designing experimental and evidence-informed policies enables policymakers to make better decisions, to monitor and evaluate what is working – and stop what isn’t. Seven principles of socially innovative policymaking
  • 17. 17ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 6. ITERATION Iteration - Socially innovative policies seek to adopt an agile approach to policy development where policy solutions are continually refined and revisited around a series of feedback loops. In this sense, an iterative policy development approach is at odds with traditional ‘waterfall’ or ‘big bang’ policy models - where a top- down policy strategy is devised and the policy solution is arrived at prescriptively. 7. CONNECTING AND SCALING Scaling up of policy refers to the expansion, replication, adaptation and sustaining of effective policies, programmes or projects in geographic space and over time to reach a greater number of people. Ongoing policy scaling requires political support, and regular monitoring and evaluation to assess a policy continues to create impact as it grows. Embedding and sustaining change also requires creatingsynergieswithotherpoliciesandprogrammes,whileforgingconnections and alliances with others affected by or working on the policy challenge.
  • 18. Testing new policies is a time and money consuming process, but never the less a much need one. Way in which it is done vary from sector to sector and territory to territory. We aim to show the way that is most suitable for creating new social innovation policies and that means we also view it as a process that needs to be as inclusive and transformative as possible on multiple levels. Some parts of the social innovation community have engaged a lot with policymakers and have a good idea about how public policy could support them better. In other areas - for instance, where social innovation networks are less developed or formalised - there’s been less work done to date.5   Emancipatory transformative SI will have to tackle the challenge of accompanying the move towards ‘doing’ with more ‘talking’ in a sense of participation in decision making process. The notion of bottom-linked governance is an attempt to unify ‘talking’ and ‘doing’. Both academia and policy makers tend to focus increasingly on the outputs of SI. This tendency has been accompanied by a decline in interest for the decision-making and government processes in which the decisions are made – or not made. More emphasis on participation processes and questions of political representation would benefit the future of social innovation related policies.6 Social Innovation promotes the competitiveness of the EU and its regions which are well placed to play a leading role in this process. Regional authorities can orchestrate the process. They can take a lead in promoting and supporting social innovation, provide funds, bring various stakeholders together, put forward strategic thinking and support the generation of fresh ideas to overcome societal and socio-economic challenges. 5https://www.siceurope.eu/policy-portal/policy-social-innovation-five-ways-policy-can-support-social- innovation. Policy for social innovation: Five ways policy can support social innovation, Madeleine Gabriel, Nesta 6p42, Social Innovation as a Trigger for Transformation, sept. 2017 18ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Conclusion
  • 19. 19ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 CASE STUDY We spoke to the principal of local general high school in Slovenia, that is considered one of the most progressive ones in Slovenia. They are a leader of change in the school system in Slovenia and the principal Mr. Gregor Deleja is pushing strongly to change not only the school itself, but also the policies concerning the education system as a whole. We spoke to him at the school he manages and tried to obtain information that fits the topic we are discussing in the chapters above. In the below text, we are summarizing the interview that will be available in full on our online platform (https://socialinnovationstrategy.eu/). Mr. Deleja is one of the most active principles in the country and the projects his school is involved in are numerous. We will not name them all, but focus on the socially innovative ones and the way they are testing and validating them as well as implementing them into the existing policies or creating new ones because of the success of the innovation. Mr. Deleja has been the principle of Gimnazija Celje – Center since 2014 and all the projects and innovations he is implementing started around that time. Which changes the school is going to implement is a challenging question and they have a team of students as well as a team of teachers that combine the views and set the stage for changes that should be good for all involved. Everyone should keep in mind that creating lasting changes takes time. The innovations are implemented on both the pedagogical processes as well as administrative/management level of the school and most of the projects have both short-term and long long-term goals associated to them. As specified also above in the theoretical part of the text, the innovations are being implemented in parallel to the traditional process the school is operating in and then the results are being compared and validated. Some of the innovative processes currently active at the school are: 1. Digitalisation (pedagogical part and administrative part) of working and communication processes; data analysis … (also due to Covid-19). There was no real top down guide lines presented (or late in the process), so the school needed to come up with their own solutions. Bottom up is still seen as the way to do social innovation in any sector. 2. Interdisciplinary approach - Flexible forms of transition between school and the environment for high school students. Working with gifted students they merge different subject into a few interdisciplinary topics where students learn about multiple subjects but focused on one general topic, i.e. Environment studies, Public speaking, Research work. How is a Local high school in Slovenia (Gimnazija Celje Center) testing and validating innovative processes and trying to implement changes in policies and the education system?
  • 20. 20ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 3. Innovative learning environments and experiential learning 4. Strategic planningatseverallevels(1st,2ndyear;3rd,4thyear;byprograms, extracurricular activities) 5. Mystery Island (Skrivnostni otok) - strengthening the organizational climate and defining a new vision of their school. This brings us to the testing and validation that the school is conducting. Testing is mostly done internally (internal validation) and between different groups – students, teachers, management, mostly through questionnaires, discussions and interviews. Mr. Deleja stresses that this process is very important, because until recently some internal actors were afraid to get real results and real feedback from the students (teachers) or teachers (management). External validation methods they are using are many, here we will name a few: 1. The School Barometer is an annual survey that includes several Slovenian vocational schools and gymnasiums since 2017, which want to find out how different stakeholders - students, parents and employees, are satisfied with the operation of their school. The results of the survey serve as a tool for school principals and staff to better understand the school community and its strengths, as well as areas for improvement. 2. Faculty of Economy from University of Ljubljana – has prepared a strategy document and methodology with which the school can now more structurally conduct innovation validations. 3. TALIS - The OECD Teaching and Learning International Survey asks teachers and school leaders about working conditions and learning environments at their schools to help countries face diverse challenges. 4. PISA – Programme for International Student Assessment is an international survey on reading, math and science literacy. It is implemented under the auspices of the Organization for Economic Co-operation and Development (OECD). 5. TIMSS - Trends in International Mathematics and Science Study are projects of the International Association for the Evaluation of Educational Achievement (IEA). TIMSS research measures trends in student achievement in mathematics and science by comparing achievement on uniform knowledge tests of children of approximately the same age who have the same number of years of schooling behind them. Achievements are explained by the factors of knowledge acquisition in and out of school, which are measured by means of questionnaires for students, teachers and school management.
  • 21. 21ASIS - Guideline #4 - Testing new social innovation policies on local and regional level (Center Noordung) – June 2020 Even though social impact is difficult to measure, Mr. Deleja believes the best way to see their impact is the values that their students have after leaving school. They also validate former students’ impression of the school and their time spent there. The social frame that the schools are providing for students are very important and this is one of the biggest tasks the school is performing. There is a general idea that all the social innovations and changes the school is conducting are at some point going to be a trigger of systemic change, that step by step successfully implemented changes will become official guidelines or new policies. What they wish to integrate in the new policies: 1. Intergenerational dialogue – we are trying to integrate a teacher mentor program, for young teachers to get one of the senior teachers to be their mentor for a period of time. 2. Digitalisation 3. Interdisciplinary approach Still a lot of work and cooperation is needed. As in the process of creating social innovation, the school is cooperating on local level with multiple stakeholders, i.e. all the high schools from the region, municipality, NGOs, SMEs…, similarly on national level and also on international level with projects like UNESCO school, ECO school, ERASMUS+, Norway Fund, … This gives them reassurance that they will be heard and their work will be considered and valued. At least one of the initiatives has been accepted as new policy and it is the work being done with gifted students on the interdisciplinary approach – namely, interdisciplinary subjects have been integrated into schools as optional subject. As said before, the changes are a long-term process and to use the words of Mr. Deleja ‘we sometimes need to work for future generations and be aware that we might not see the final result during our lifetime.’