Enhancing Rural Innovation and Sustainability Through Impact Assessment: A Review of Methods and Tools
Abstract
:1. Introduction
2. Developmental Evaluation—A Theoretical Background
3. Materials and Methods
3.1. Step 1: Systematic Literature Search
3.1.1. Data Collection
3.1.2. Analytical Framework
3.2. Step 2: Selection of 18 Articles
4. Results
4.1. RQ 1. Which Methodological Approaches and Impact Areas Have Recently Been Studied in the Literature and Which of them Are Development-Oriented and Seek Adaptation by Integrating Feedback from Stakeholders?
4.1.1. Methodological Approach
4.1.2. Impact Area
4.2. RQ 2. What Challenges Are Faced in Innovation Processes in the Rural Area?
4.2.1. Identifying a Problem and Being Committed to Change
4.2.2. Co-Creating and Being Context-Dependent
4.2.3. Involving Stakeholders throughout the Process Through Interaction
4.3. RQ 3. Which of These Challenges Are Supported by Impact Assessment?
4.3.1. Responding to the Needs of Stakeholders and Their Context
4.3.2. Thinking in Terms of Complexity
4.4. RQ 4. What are the Current Challenges of Impact Assessment?
4.4.1. Co-creation and Design in Order to Respond to the Context
4.4.2. Developmental Process
4.4.3. Timely Feedback
4.5. RQ 5. What Tools and Methods Are There to Solve the Challenges of Innovation Impact Assessment and Which of the Challenges Remain to Be Solved?
5. Discussion
5.1. Developmental Evaluation Principles
5.2. RQ 6. How Can the Evaluation Approach of Developmental Evaluation Improve the Tools and Methods to Respond to Innovation?
6. Conclusions
Author Contributions
Funding
Acknowledgments
Conflicts of Interest
References
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Methodological Approaches | Methods | Example of Specific Methodologies and Tools |
---|---|---|
Conceptual | Review Theory-based | Document analysis, literature review, argumentation |
Conceptual Framework for Innovation Impact Assessment/Innovation Evaluation | Framework development based on reviews (for example, conceptual innovation) | |
Qualitative | Public participation | Questionnaire, interview, expert surveys, etc. |
Quantitative | Survey | Regression analysis, Bayesian probabilistic method |
Economic valuation | Econometric analysis, cost-benefit analysis, cost-effectiveness | |
Mixed | Participatory evaluation 1 approaches | Individual rating, group voting, actor mapping, evaluation of assessment tools |
Case studies 2 tool | Detailed analysis of individual research programs |
Methodological Approach | Impact Area | Methods and Tools Used |
---|---|---|
Conceptual (22) | Social (17) | Method: Social Impact Assessment (SIA) (Imperiale and Vanclay, 2016) [41]; Contextual Response Analysis (CRA) (Spaapen and van Drooge, 2011) [46]; case study Tool: Mixed-gendered focus group workshops, literature review |
Environmental (2) | Method: Environmental Impact Assessment (EIA) (Cong et al., 2017) [44]; Health Impact Assessment (HIA) (Del Rio et al., 2017) [18] | |
Sustainability (4) | Tool: Literature review on agricultural innovations, farmer-driven innovations, participatory technology department and innovation systems | |
Mixed-method (41) | Economic (6) | Tool: Calculation of economic indicators, face-to-face interview, static data from international organizations, community survey, Analysis of Variance (ANOVA) |
Social (21) | Method: Regulatory Impact Assessment (RIA) (De Francesco et al., 2012) [47] Tool: Focus groups, face-to-face interview, rapid appraisal workshop, survey, field work, sustainability indicators, public meetings, health impact assessment, observation, household survey | |
Environmental (17) | Method: CropWatch agroclimatic indicators (CWAIs) (Gommes et al., 2017) [48] Tool: Indicator species analysis, Mantel test of geographic distance, Bray Curtis coefficient, Life cycle environmental impact assessment | |
Sustainability (4) | Method: Life Cycle Assessment (LCA) (Tecco et al., 2016) [48]; Environmental Impact Assessment (EIA) (Cong et al., 2017) [44] Tool: Stakeholder questionnaire, focus group interview, rapid rural appraisal, observation, sustainability indicators, scenario analysis | |
Qualitative (6) | Economic (2) | Tool: Email survey, household interviews, data coding, blind interviews |
Social (3) | Method: Participatory Impact Pathway Analysis (PIPA), Social Network Analysis (SNA), Outcome Harvesting method (OH) (Quiedeville et al., 2017) [45], Participation Action Research (PAR) (Graef et al., 2018) [49] | |
Sustainability (3) | Method: Economic-Environmental Input-Output (EEIO) model (Cong et al., 2017) [44] Tool: Geographic information system (GIS), discriminant analysis | |
Quantitative (6) | Social (1) | Method: Framework for Participatory Impact Assessment (FoPIA) analysis (Pachón-Ariza et al., 2016) [50] |
Environmental (3) | Tool: Water sample analysis, skeletochronology method, life cycle analysis (LCA), land classification | |
Sustainability (1) | Method: Crop-wise analysis (Kumar et al., 2016) [51] Tool: Benefit-cost ratio, Net Present Worth (NPW) |
Author/Year | Impact Area | Tools and Methods | Co-Benefit | Main Findings |
---|---|---|---|---|
Copestake (2014) [63] | Economic, Social | Qualitative Impact Protocol (QUIP) | Better reflection of uncertain and insufficiently understood impact pathways, blind interview to avoid bias and gain explicit answers from key informants. | The balanced approaches of exploratory and confirmatory to impact evaluation gave explicit answers to the question. |
Diwakar et al. (2008) [19] | Social | Earth Observation (EO) | Data monitoring for action that brings transparency to see the developmental process of whole project. | Helps in microlevel plan preparation, concurrent project monitoring and impact assessment in multiple stages throughout the project. |
Cristiano and Proietti (2018) [52] | Social | Development-Oriented Analysis (DOA) | Focuses on interactive innovation processes and multi-actor approach. | Integrated framework with participatory and reflexive approaches that support policy and project designs promoting development in innovative capacities. |
Quiedeville et al. (2017) [45] | Social | Participatory Impact Pathway Analysis (PIPA), Outcome Harvesting (OH), Social Network Analysis (SNA) | PIPA: Participatory approach allowing actors to change and increase interactions within the innovation network. OH: Lets PIPA adapt to requirements of ex-post assessment. SNA: Identifies important actors and their statements. | Critical to the success factors of innovation were agricultural policies, economic factors, testing conducted independently by farmers and institutional framework rather than learning and interactions with farmers. |
Hall et al. (2003) [16] | Social | In-depth review of case studies of a specific project | Case study to demonstrate the importance of institutional learning. | Institutional learning must be embedded in a new perspective of innovation systems by (i) understanding how research community operates, (ii) realizing learning as part of the practice of research organizations, (iii) realizing capacity development and behavioral changes, (iv) realizing evaluation as collective task. |
Maredia et al. (2014) [60] | Social | Cost-benefit analysis; impact evaluations: decentralized participatory model; ex post assessment: partial equilibrium economic surplus model | Cost-benefit analysis: Assists in making strategic decisions and assesses potential impacts; impact evaluation: Test the effectiveness of projects and institutional innovations; ex post assessment: Analytical approach in assessing the impact on investments. | Methods took into account the variables (time frame, size of intervention, type of research question and evaluation addressed) during the evaluation process. |
Tecco et al. (2016) [48] | Sustainability | Environmental and social Life Cycle Assessment (LCA) | Assessment of achieved impacts, trade-offs, appropriateness in the context and scale of adoption. | Dynamic combination of data and information provided by stakeholders improved the decision-making process. |
Wu et al. (2014) [56] | Social | Plan Environmental Impact Assessment (PEIA) | Plan environmental impact assessment throughout various stages of the project to enhance outcome. | For the framework to become a standardized procedure, decision-makers need to accept PEIA as an internal process and not as an external intervention. |
Paz-Ybarnegaray and Douthwaite (2017) [9] | Social | Outcome-evidencing method | Identifies outcomes giving immediate feedback to ongoing project implementation and makes causal claim to substantiate or challenge the overarching program theory. | Outcome-evidencing allows agents to identify underlying causes and undertake actions along the process; it is a one-off evaluation that answers if, how and in what contexts projects are working. |
Schramm et al. (2011) [69] | Economic | Smart Science Impact (R&D impact assessment tool) | Relies on ‘voice of customer’ where explicit answers of clients provide valuable input data. | The economic, social and environmental IA tool can be easily adapted for use by government, not-for-profit or private sectors that conduct fund or contract research and development activities. |
Milley et al. (2018) [68] | Social | Concept of Social Innovation (SI) | Working with the concept of Social Innovation (SI) may lead to innovation. | To find conceptual clarity, SI and relevant evaluation practices, researchers and practitioners need to move toward a principle-based approach grounded in empirical research taking into account the SI context. |
Ton (2012) [63] | Social | Working with the client’s Monitoring and Evaluation Framework | Assessing the effectiveness of projects and programs with interventions over the value-chain development process considering changing conditions. | The structure and systematic process helps reduce the tendency to one-method design; it enhances critical reflection within the team and allows creativity to find ways to handle information. |
Vanclay (2015) [8] | Social | Literature review on qualitative evaluations, explanation of performance story-telling | Qualitative methods collect evidence about performance of a project or program and enable the collection of feedback to assist in modifying the project. | Story-telling approach can be effective if it is coherent, credible, and multi-dimensional where the different components are interconnected and the causal relations between them become clear. |
Imperiale and Vanclay (2016) [41] | Environment, Social | Social Impact Assessment (SIA) | Helps social practitioners in designing the problem with stakeholders and implementing the project with local communities, thus achieving improved social outcomes. | The framework positively changed the outcomes of sustainable development projects and took on a community-oriented approach, that understands better the needs of the affected and conceptualizes actions needed for better social outcomes. |
Graef et al. (2018) [49] | Social | Participatory Action Research (PAR) | Context-oriented and collaborative research approach: Local stakeholders and scientists together develop and select research methods, generate data and reflect in cycles on how efforts unfold and what the impacts of intervention are. | Allowed the collaborative research of different perspectives of scientists and stakeholders and the learning for scientists and stakeholders. |
De Francesco et al. (2012) [47] | Social | Regulatory Impact Assessment (RIA) | Tool for major innovation in the reform agenda in many European countries. | The RIA implementation differs by country in terms of political and economic systems and also during the process of implementation. |
Vilys et al. (2015) [14] | Economic | Public innovation support assessment | The conceptual framework proposes quantitative indicators to support effectiveness at the national level. | The assessment creates new opportunities and proposes indicators that enable the improvement of public support effectiveness. |
Cong et al. (2017) [44] | Sustainability | LCA, geographic information system (GIS) analysis, economic-environmental input-out (EEIO) model; interregional input-output module (LINE) model | LCA-GIS-EEIO framework upscales micro analysis to macro analysis to see the effects of local changes, disaster, land use changes. It integrates top-down as well as bottom-up approaches. | The framework brings environmental economic contributions with careful selection of location. |
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Lee, S.Y.; Díaz-Puente, J.M.; Vidueira, P. Enhancing Rural Innovation and Sustainability Through Impact Assessment: A Review of Methods and Tools. Sustainability 2020, 12, 6559. https://doi.org/10.3390/su12166559
Lee SY, Díaz-Puente JM, Vidueira P. Enhancing Rural Innovation and Sustainability Through Impact Assessment: A Review of Methods and Tools. Sustainability. 2020; 12(16):6559. https://doi.org/10.3390/su12166559
Chicago/Turabian StyleLee, So Young, José M. Díaz-Puente, and Pablo Vidueira. 2020. "Enhancing Rural Innovation and Sustainability Through Impact Assessment: A Review of Methods and Tools" Sustainability 12, no. 16: 6559. https://doi.org/10.3390/su12166559