Public Participation in Developing a Common Framework for the Assessment and Management of Sustainable Innovation

If you wish to cite this content please refer to:
Popper, R., Velasco, G., and Popper, M. (2017) CASI-F: Common Framework for the Assessment and Management of Sustainable Innovation, CASI project report. Deliverable 6.2.

CASI-F Glossary

  • An action or advice co-creation tool that explores ways in which critical issues may be managed at strategic, tactical and operational levels, and develops policy roadmaps for prioritised actions. The Actions Bank promotes more systematic and multi-level advice management for SI initiatives. The tool is available for all registered CASI community members and can be accessed through the navigation menu of the CASI portal on the main page of the CASI Actions Bank or by going to the following URL: https://www.futuresdiamond.com/casi2020/actions-bank/. While most actions in the Actions Bank are automatically extracted from CASIPEDIA results, users can also access a separate input form and add actions by clicking on the ‘add action’ button without mapping a case. The management of advice is structured around the three most common management levels of advice: strategic (top-level management); tactical (mid-level management); and operational (front-line management). In addition, during the fourth step of CASI-F methodology, actions are targeted at the following four actors representing the quadruple helix of sustainable innovation: (1) government; (2) business; (3) civil society; and (4) research and education. The mapping of these actions can be conducted individually by the innovator (self-assessment), a trained mapper (CASI team member or country correspondent) or collectively by a group of experts or CASI community members invited to contribute to a given SI initiative.

  • An idea (aka critical issue) co-creation and management tool, which draws on over 500 Sustainable Innovation cases from across Europe and the world. Of these, the 202 most CASI-relevant cases were selected for further analysis, which helped gather a wide range of ideas that contributed to the co-creation of the CASI Ideas Bank. These ideas or critical issues represent existing and potential barriers, drivers, opportunities and threats that can influence the success (i.e. uptake, implementation or diffusion) of sustainable innovation. The tool is available for all registered CASI community members and can be accessed through the main navigation menu of the CASI portal, by clicking on the ‘add an idea’ button on the main page of the CASI Ideas Bank. The mapping of these critical issues can be conducted individually by the innovator (self-assessment), a trained mapper (CASI team member or country correspondent) or collectively by a group of experts or CASI community members invited to contribute to a given SI initiative. The following seven categories of ideas are considered in CASI-F: technological, economic, environmental, political, social, ethical and spatial.

  • A vision is a picture or imagination of a desirable future, which may be based upon hopes and dreams - but also upon concerns and fears in relation to problems or imagined threats that are not desirable. The aim of the Visions Bank is twofold: (1) to openly share the results of a highly participatory citizens engagement process resulting in 50 visions on sustainable futures, with a time span of 30-40 years from now, developed during CASI citizen panels in the following 12 EU countries: Austria, Belgium, Bulgaria, Czech Republic, Denmark, Finland, Germany, Italy, Poland, Portugal, Slovenia and the United Kingdom; and (2) to activate the vision-based track of the CASI framework for the assessment and management of sustainable innovation (CASI-F) so as to allow for a systematic mapping of critical issues (barriers, drivers, opportunities and threats) associated with SI visions, and to promote a more public assessment and management of possible actions linked to such issues. The Visions Bank allows for further exploration of the original 50 visions created in CASI citizen panels, but it also allows CASI community members to add their own vision to the Visions Bank and to share their views about the most critical issues associated with that vision.

  • A unique bank of sustainable innovation initiatives mapped by the CASI project, where activists, experts and supporters of sustainability agendas can find various initiatives combining the environmental, economic and social dimensions of sustainability. CASIPEDIA supports the mapping of practices, outcomes and players related to seven types of SI, namely product, service, social, organisational, governance, system or marketing innovations.

  • This refers to something that is done or shared by two or more (groups of) actors. In the context of CASI-F, ‘common’ indicates that the framework for the assessment and management of SI could be used by the quadruple helix of SI stakeholders in multiple contexts.

  • This refers to both the physical or virtual platforms (tools) around which something is developed, and the system of ontologies, methods and procedures (protocols) to inform and support decision-making.

  • This refers to the generation of a portfolio of sub-actions supporting the transition management related to the implementation of a given ‘SI Management Action’ (see below).

  • This involves two complementary analyses: on the one hand, the identification, analysis and prioritisation of ‘SI critical issues’ (see below) associated with sustainability-oriented aspirations, policies and innovations and, on the other hand, the generation, analysis and prioritisation of ‘SI actions’ addressing prioritised critical issues.

  • This refers to the 50 factors (clustered around 10 SI Management Key Aspects) influencing the sustainability of innovations.

  • This refers to technological, economic, environmental, political, social, ethical and spatial (TEEPSES) issues shaping the present and/or future of a given sustainable innovation.

  • This refers to any kind of existing limitation or obstacle – whether technological, economic, environmental, political, social, ethical or spatial - of a given sustainable innovation initiative.

  • This refers to any kind of existing force, trend or enabler – whether technological, economic, environmental, political, social, ethical or spatial – that fosters a given sustainable innovation initiative.

  • This refers to any kind of future possibility for a given sustainable innovation initiative to achieve something desirable, such as a technological, economic, environmental, political, social, ethical or spatial goal.

  • This refers to any kind of future possibility for a given sustainable innovation initiative to affected by something undesirable, such as a technological, economic, environmental, political, social, ethical or spatial risk.

  • This refers to the process of generating multi-level and multi-stakeholder actions responding to multiple types of critical issues.

  • This refers to any kind of managerial activity of a sustainable innovation at strategic, tactical or operational level.

  • This action involves the definition of high-level aims, challenges, goals, objectives and priorities that require strategic attention or orientation from top-level decision-makers in government, business, civil society, research and education organisations.

  • This refers to actions from mid-level decision-makers aiming to translate strategic level objectives and priorities into tactical interventions, such as investment, research or knowledge-transfer programmes and calls, funding schemes or instruments as well as development and implementation mechanisms.

  • This action requires the intervention of front-line decision-makers - policy makers, civil servants, entrepreneurs, citizens, researchers and workforce - who are directly responsible for the operationalisation of day-to-day activities linked to tactical and strategic actions.

  • This refers to any of the following four specific areas where managerial actions are almost certainly required for sustainable innovations: context, people, process and impact. A total of 50 critical factors were identified in these four dimensions.

  • This dimension consists of 17 critical factors clustered around four key aspects: Momentum, reflecting the potential space for innovation, i.e. expectations of entrepreneurs and other actors, political drive from regulators or procurement, exemplars from other technological or social enterprises, and the perception of problems that call for solutions; Foresight, showing the capacity to anticipate, strategise and overcome gaps in the innovation curve; Resources, emphasising the need for healthy combinations of skills, finance, location, markets, etc; and Mobilisation, including champions and facilitators, civil society engagement, government engagement, research and education engagement, business engagement and proactive participation.

  • This dimension consists of eight critical factors clustered around two key aspects (i.e. aptitude and attitude) shaping the activities of the quadruple helix actors involved in sustainable innovation. Many objectives remain unfulfilled when innovations fail to connect or mobilise the right people, or do not provide the right incentives or skills for key people. ‘Aptitude’, refers to the actual skillset or competences of people involved in the design, development, implementation and diffusion of a sustainable innovation; ‘attitude’, means the type of behaviour of the same people.

  • This dimension consists of 14 critical factors clustered around two key aspects: ‘Catalysts’, contributing to initiate, develop and implement the innovation; and ‘Fosterers’, including factors that further consolidate and diffuse the innovation.

  • This dimension consists of 11 critical factors clustered around two key aspects: ‘Transformation’, meaning the capacity to make positive changes in the quadruple helix of SI and knowledge production; and ‘Sustainability’, referring to changes in the socio-technical system where the SI operates that lead to positive environmental, social, economic, government and infrastructure transformations without compromising the needs and welfare of future generations.

  • This refers to 10 types of building blocs (momentum, foresight, resources, mobilisation, aptitude, attitude, catalysts, fosterers, transformations and sustainability) related to the four SI management dimensions (context, people, process and impact).

  • This refers to the force that gets a sustainable innovation moving forward. There are three critical factors linked to this SI key aspect: political setting (including regulations, decisions, rules, policies, guidelines, etc); exemplars (including pioneering or leading models, standards, prototypes, examples, etc); and problems (including challenges, complications and difficulties as drivers of change).

  • This refers to the future-oriented strategic driver of a sustainable innovation. There are three critical factors linked to this SI key aspect: horizon scanning-based approach (proactive mapping of critical issues, e.g. barriers, drivers, opportunities and threats); trends-based approach (reacting to current developments); and strategic targets approach (aligning goals with STI priorities of the system).

  • This refers to the means that can be drawn on by a sustainable innovation in its design, development, implementation and diffusion. There are five critical factors linked to this SI key aspect: geographical setting (both environmental and demographic conditions); funding (internal and external); infrastructure (physical and virtual); data (including hard and soft, e.g. statistics and insights); and scalability (potential to grow).

  • This refers to the capacity of a sustainable innovation to reach and involve key stakeholders. There are six critical factors linked to this SI key aspect: champions and facilitators (to engage stakeholders); civil society engagement (to promote democracy); government engagement (to ensure governance and regulation); research and education engagement (to promote evidence-based decision-making); business engagement (to promote public-private partnerships to address market issues); and proactive participation (to address the needs of the quadruple helix SI players).

  • This refers to the actual skillset or competences of people involved in the design, development, implementation and diffusion of a sustainable innovation. There are four critical factors linked to this SI key aspect: leadership (to guide the innovation team); charisma (to inspire and mobilise key people); creativity (to reach original and innovative solutions); and knowledge (to make sound and informed decisions).

  • This refers to the type of behaviour of people responsible for the design, development, implementation and diffusion of a sustainable innovation. There are four critical factors linked to this SI key aspect: enthusiasm (to spread interest and excitement); empathy (to be more responsive to the needs of potential SI users and beneficiaries); involvement (to promote cooperation and networking); and commitment (to achieve shared ownership and co-create success).

  • This refers to critical factors enabling the design and development phases of a sustainable innovation process. There are seven critical factors linked to this SI key aspect: compressibility (to offer user-friendly solutions); crowd-sourcing (to achieve truly bottom-up financial support); learning-by-doing (to promote more assertive evolution and incremental innovation); supportive services (to deal with specific bottlenecks in the innovation process); absorptive capacity (to generate and act upon valuable information or intelligence); ex-ante impact evaluation (to recognise and measure important benefits and possible risks); and piloting and experimenting (to avoid disappointments and manage expectations).

  • This refers to critical factors supporting the implementation and diffusion phases of a sustainable innovation process. There are seven critical factors linked to this SI key aspect: incentives (to further position the innovation); coordination (to manage the relationship between the innovation team, sponsors, supporters and beneficiaries); networking and synergy (to better capitalise momentum-related critical factors); knowledge management (to reinforce the innovation capacity of the team); intellectual property management (to improve the competitive advantage of the innovation); ex-post impact evaluation (to promote improvements through learning and demonstrate the positive environmental, social and economic impacts of an innovation); and communication and dissemination (to increase the sectoral and geographical transferability).

  • This refers to positive changes in the quadruple helix of SI and knowledge production. There are six critical factors linked to this SI key aspect: values and lifestyles (to promote knowledge- and media-based cultural and behavioural change); entrepreneurship (to innovate and create new business opportunities); knowledge-based products and services (to increase academic, cultural or scientific advances); capacities and skills (to support workforce development, competences and jobs); stakeholder development (to consolidate new/existing players and promote spin-offs and networking); and multi-challenge approaches (to better manage the complexity of dynamically changing socio-technical systems, visions and paradigms).

  • This refers to changes in the socio-technical system in which the SI operates that lead to positive economic, societal, infrastructure, environmental and government transformations. There are five critical factors linked to this SI key aspect: economic sustainability (to improve consumption, production, labour conditions, trade, etc.); societal sustainability (to improve social cohesion/interaction, community sense, education, etc.); infrastructure sustainability (to improve the energy, water and food supply system, waste management, settlements and cities, transportation, distribution and knowledge-transfer channels; environmental sustainability (to protect cultural/ecological heritage, species, resources, environmental protection laws and policies, etc.); and government sustainability (to improve public participation and democracy, etc.).

  • This refers to the systematic process of nominating and assessing sustainable innovations in terms of their practices, outcomes and players.

  • This refers to the process of seeking the engagement and commitment of the quadruple helix of stakeholders in the systematic process of scoping, anticipating, recommending or transforming sustainability-oriented transition and futures.

  • This refers to the participatory multi-stakeholder process of mapping, assessing and/or managing sustainability-oriented aspirations, policies and innovations.

  • This refers to the process of engaging the quadruple helix of SI stakeholders (i.e. government, business, civil society and research/education actors).

  • Is ‘any incremental or radical change in a socio-technical system leading to positive environmental, economic and social transformations without compromising the needs, welfare and wellbeing of current and future generations’.

  • Is ‘any incremental or radical change in the social, service, product, governance, organisational, system or marketing landscape that leads to positive environmental, economic and social transformation without compromising the needs, welfare and wellbeing of current and future generations’.

  • This refers to the introduction of a good that is new or significantly improved with respect to its characteristics or intended uses (OECD, 2005). Product innovations include: scientific advances with innovation potential, industrial innovations with deployment potential, and new products on the market with sustainability potential.

  • This refers to the introduction of a service that is new or significantly improved with respect to its characteristics or intended uses. For example, efficiency or speed improvements, new functions or characteristics of existing services, or the introduction of entirely new services (OECD, 2005).

  • This refers to new solutions (including products, services, models, markets, processes, etc.) that simultaneously meet a social need (more effectively than existing solutions) and lead to new or improved capabilities and relationships and better use of assets and resources. In other words, social innovations are both good for society and enhance society’s capacity to act (Caulier-Grice et al., 2012).

  • This refers to the implementation of a new method in business practices, workplace organisation or external relations to increase performance by: reducing administrative costs or transaction costs, improving workplace satisfaction (and thus labour productivity), gaining access to non-tradable assets (e.g. non-codified external knowledge) or reducing costs of supplies (OECD, 2005). This includes business model innovations such as: new business/financial/infrastructure models, e.g. car/bike sharing or crowd-funded solutions.

  • This refers to new forms of citizen engagement, new democratic institutions, new public and user participation in service design and delivery, and the use of public boards to govern particular choices. It includes new political arrangements in local and national governments as well as changes in the organisational form and arrangements for the planning and delivery of public services (Hartley, 2005). Governance innovations may also include: local policy innovation, i.e. policy transfer from other places, or public service reform.

  • This refers to a set of interconnected innovations, where each is dependent on the other, with innovation both in the parts of the system and in the ways that they interact (Caulier-Grice et al., 2012). This normally involves a complex interaction of public policy and reforms to legislation, changes to business cultures and practices, as well as shifts in consumer attitudes and behaviour. System innovations also include combinations of two or more types of innovations but such cases are not always labelled ‘systems’.

  • This refers to the implementation of a new marketing method involving significant changes in product or service design or packaging, placement, promotion or pricing (OECD, 2005). Sustainable marketing innovations are aimed at better positioning the social, economic and environmental benefits of new/improved products, services and processes.

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This project has received funding from the European Union's Seventh Framework Programme for research, technological development and demonstration under grant agreement number 612113.

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