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This case illustrates how the work of leaders and analysts in the Delaware Department of Education (DDOE) and the agency’s partnership with the Strategic Data Project (SDP), a program of the Center for Education Policy Research at Harvard University, created momentum for statewide policy change.  By exploring Delaware leaders’ use of data and analytics to challenge assumptions and inform the development of better policies and practices, the case illustrates the importance of leadership, analytic and technical competency, and strategic partnerships when leading education reform.  The case specifically highlights the power of human capital analytics to diagnose the current status of Delaware’s educator pipeline, from preparation through development and retention, and how effectively communicating with these analyses built coalitions of support and drove a culture of data use at both the state and district level. Download the case study [SDP website]

This case study, published by Harvard Education Press, describes how to use data to challenge assumptions, reveal student needs, address these needs programmatically, and evaluate results. It shows a team of data specialists and educators working together, across institutional and departmental boundaries, to determine why some high school seniors who intend to go to college after graduation do not enroll in the fall. Together, they develop, implement, and evaluate a summer counseling intervention program called Summer PACE to ensure that more students enroll seamlessly in college.

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Whether working for students or bringing knowledge directly to the public, the protagonists in the following cases engage in a range of management and leadership tasks. Not limited to school reform or education policy, the cases in this section allow instructors to inspire discussion on program analysis, philanthropy, strategic planning, and other topics touching on or situated within the educational sphere.

LasTesis and the New Feminist Anthem: Performing against Moral Violence in Chile and Beyond

Publication Date: November 17, 2022

In 2019, over ten thousand women took the streets in Chile to engage in a collective performance called Un Violador en Tu Camino (“A Rapist in Your Path”). Similar to a flash mob, the crowds chanted and moved in sync, demanding an...

"Doing Something with Nothing" Trying to Make Kampala's Primary Schools Healthier and Safer Practitioner Guide

Publication Date: July 19, 2022

This practitioner guide accompanies HKS Case 2238.0. By late 2012, well into Jennifer Musisi’s second year as executive director of the Kampala Capital City Authority (KCCA), city revenues were improving. But there was little in...

"Doing Something with Nothing" Trying to Make Kampala's Primary Schools Healthier and Safer

By late 2012, well into Jennifer Musisi’s second year as executive director of the Kampala Capital City Authority (KCCA), city revenues were improving. But there was little in the budget for schools, and no further assistance was...

An Intractable Challenge? HIV Among Adolescent Girls and Young Women in Zambia

Publication Date: March 4, 2022

This multimedia case is set in the Southern African country of Zambia, where the rates of HIV new infections, especially among adolescent girls and young women, remain high in spite of recent government efforts. After laying out the history of...

United States Department of Education: Launching the College Scorecard, a Digital Service

Publication Date: October 20, 2021

The goal of the case is to understand how to design, build, and engage with digital technologies as they relate to civic participation, equity, governance, and accountability. Delivering critical services to the public requires building...

Cuna Más: Peru’s Home Visiting Program Evolves into a Comprehensive Early Childhood Development Strategy

Publication Date: May 5, 2021

The first case in this series describes the creation and initial expansion of Cuna Más, a national home visiting program in Peru. This second and final case in the series picks up a few years after Cuna Más was launched and charts...

Crianca Feliz: Brazil’s Ambitious Early Childhood Program

Publication Date: April 30, 2021

In October 2016, Brazil launched one of the largest home visiting programs in the world—Criança Feliz (or Happy Child). The flagship program aimed to reach the country’s most vulnerable pregnant women and young children. Even...

Change at the Speed of Trust: Advancing Educational Opportunity through Cross-Sector Collaboration in Louisville Practitioner Guide

Publication Date: March 19, 2021

This Practitioner Guide accompanies HKS Case 2215.0. At the turn of the twenty-first century, Louisville, Kentucky, found itself in the middle to the back of the pack among peer cities along a number of key measures of prosperity and quality of...

Change at the Speed of Trust: Advancing Educational Opportunity through Cross-Sector Collaboration in Louisville

At the turn of the twenty-first century, Louisville, Kentucky, found itself in the middle to the back of the pack among peer cities along a number of key measures of prosperity and quality of life. Since then, two consecutive mayors had advanced...

Pratham: The Challenge of Converting Schooling to Learning in India

Publication Date: November 18, 2020

This multimedia case brings video, text, and graphics together to offer a rare, immersive experience inside one of the developing world's most pressing challenges, low levels of learning. Pratham, counted among India's largest non-profits, has...

The Boston Public Schools' Student Assignment Process

Publication Date: August 27, 2018

The assignment of students to schools is often a controversial process that requires a delicate balance between operational needs (school capacity and costs) and student and community needs (quality of school and community cohesion). In 2016,...

District of Columbia Public Schools: Politics, Jobs, Race, Children & Reform

Publication Date: May 25, 2018

After nearly four years of controversial reform that included layoffs, school closures and battles with the Washington Teachers’ Union over tenure and seniority, Michelle Rhee resigned as Chancellor of DC Public Schools on October 13, 2010...

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At the start of the 2010–2011 academic year, in a packed lecture hall at the Harvard Graduate School of Education, University of Maryland Baltimore County (UMBC) President Freeman Hrabowski addressed… READ MORE

University of Utah

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During the late 1990s, the University of Utah faced a number of formidable technology challenges. With the new millennium rapidly approaching, the university’s mainframe computer system appeared vulnerable to several… READ MORE

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Dr. Wong wandered past the bulletin boards and posters that lined Josiah Quincy Upper School’s (JQUS) halls… He marveled at how far the school had come, and how much they… READ MORE

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Sheldon Caplis knew that this pledge was a philanthropic coup. UMBC’s original campaign strategy had assumed that only $1.8 million of the institution’s $50 million “stretch” goal would come from… READ MORE

Institutional Advancement at the University of Maryland Baltimore County (A)

During a visit to the University of Maryland Baltimore County (UMBC), David Oros stood on the roof of the ten story Administration Building as President Freeman Hrabowski completed one of… READ MORE

Academic Leadership at Bradford College

In August 1982 Arthur Levine arrived as the new President of troubled Bradford College with plans for a bold new curriculum. The Bradford Plan For A Practical Liberal Arts Education… READ MORE

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Michigan Technological University

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The sun was beginning to set and it was still snowing. Students were preparing for the start of Winter Carnival. Through the large window in his office, Associate Dean Terry… READ MORE

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In 1994, University of Southern Maine President Richard Pattenaude sat with his administrative cabinet to review the institution’s financial condition. The recession of the early 1990s (between 1990 and 1994)… READ MORE

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The NCCSTS Case Collection, created and curated by the National Center for Case Study Teaching in Science, on behalf of the University at Buffalo, contains over a thousand peer-reviewed case studies on a variety of topics in all areas of science.

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• > The Case for Case Studies
• > Connecting Case Studies to Policy and Practice

Book contents

• The Case for Case Studies
• Strategies for Social Inquiry
• Copyright page
• Contributors
• Preface and Acknowledgments
• 1 Using Case Studies to Enhance the Quality of Explanation and Implementation
• Part I Internal and External Validity Issues in Case Study Research
• Part II Ensuring High-Quality Case Studies
• Part III Putting Case Studies to Work: Applications to Development Practice
• 9 Process Tracing for Program Evaluation
• 10 Positive Deviance Cases: Their Value for Development Research, Policy, and Practice
• 11 Analytic Narratives and Case Studies
• 12 Using Case Studies for Organizational Learning in Development Agencies
• 13 Connecting Case Studies to Policy and Practice

13 - Connecting Case Studies to Policy and Practice

Practical Lessons from Operational Experience

from Part III - Putting Case Studies to Work: Applications to Development Practice

Published online by Cambridge University Press:  05 May 2022

Gonzalez and Widner reflect on the intellectual history of a science of delivery and adaptive management, two interlinked approaches to improving public services, and the use of case studies to move these endeavors forward. They emphasize the ways in which case studies have become salient tools for frontline staff whose everyday work is trying to solve complex development challenges, especially those pertaining to the implementation of policies and projects, and how, in turn, case studies are informing a broader turn to explaining outcome variation and identifying strategies for responding to complex challenges and ultimately seeking to enhance development effectiveness. The chapter discusses seven qualities that make a case useful to practitioners and then offers reflections on how to use cases in a group context to elucidate core ideas and spark innovation.

13.1 Introduction

Former UK prime minister Tony Blair once said: “The problem isn’t vision. Often we know what to do. The real problem is getting things done.” Footnote 1 In 2013, the World Bank Group embraced this challenge as a part of a new “science of delivery” initiative championed by its president, Footnote 2 building on an ambition that Sir Michael Barber articulated in the service of the Blair government, manifest most conspicuously in his deployment of dedicated delivery units (see Reference Barber Barber, 2015 ). At issue was whether organizations could develop and formalize reliable guidance about how best to translate good ideas into real impact.

As part of this effort to improve implementation, the qualitative case study has a special place. Randomized controlled trials and other tools used to assess program design or evaluate the effectiveness of specific interventions provide little leverage or practical insight when the breakdown between ideas and impact lies in the hows – the specific steps taken to deliver a service or change an institution. A case study can help improve the translation of policy into results by tracing these pathways, illuminating the effects of context, process, politics, and capacities on intermediate achievements and broader outcomes.

But practitioners can also use case studies to improve performance in a variety of other ways. While previous chapters have laid out a social scientific rationale for the use of qualitative case studies, proposed standards for assessing rigor, and offered examples, this chapter focuses on employing case studies for adaptation and learning, especially in governments or organizations that seek to promote economic growth and development. It proposes that case studies useful for this purpose have seven specific qualities, though they may differ widely in other respects. Additionally, it offers a brief user’s guide for policy planners, managers, and instructors.

Our observations build on insights from two programs: the World Bank’s Development Research Group and its leading operational unit deploying case studies, the Global Delivery Initiative (GDI), and Princeton University’s Innovations for Successful Societies (ISS) program, which develops policy-focused case studies of development. Footnote 3 Both programs worked for many years with people leading change in different contexts. From 2008 through 2021, the Princeton program helped a rising generation of leaders address the institution-building challenges facing governments in fragile states and neighborhoods, low-income countries, and crisis situations. Case studies were, and remain, the program’s medium for enabling public servants to share experience with each other in an accessible manner. Similarly, the World Bank-based GDI, which launched in 2014, began as a collaboration among various development partners to help practitioners build a more systematic understanding of program implementation, promote policy dialogue, and improve operational effectiveness. The Global Delivery Library, one of the GDI resources, became an open repository of cases that tapped the tacit knowledge of field-level practitioners about how to navigate delivery challenges, enabling future operations to draw upon wisdom from past interventions.

13.2 From the Science of Delivery to Adaptive Management

Blair’s observation – it’s not the vision but the how that’s the problem – had its roots in a prime minister’s struggle to improve service delivery across different sectors, especially education, health, and policing. In the United Kingdom, as in every country, implementation is often the great bugaboo on which great ideas stumble. But offering reliable generalizations to help guide the work of front-line providers, managers, and ministers poses many challenges. The social world cannot be reduced to a set of laws or principles as easily as the natural world.

Efforts to frame a science of delivery exposed two different policy worlds: one in which it was possible to base generalizations on credible evidence, and another in which tracing the influence of actions on impact was more difficult, though still valuable. In medicine and education, for example, there were some strong points of agreement about measures that could have a big impact on broad outcomes, as Reference Wagstaff Wagstaff (2013) has correctly noted. Take the example of vaccination against childhood diseases. There is mounting evidence about how best to scale vaccination campaigns. Though not completely reducible to a formula – at least not to one that works the same way to the same extent in every setting – it is possible to think systematically about how to achieve results, including estimates of the participation rates needed to create herd immunity and innovations to help maintain the cold-chain when lack of electricity threatens vaccine viability. Reference Wagstaff Wagstaff (2013) points out that it is unsurprising, then, that champions of a science of delivery – the testable, relatively stable understanding of cause and effect within the implementation process – often started their careers in a field such as public health and that journals such as Implementation Science were specific to this policy area.

This science came together as the confluence of many strands of research and multiple methods of investigation. It is notable that the contributions in the pages of the Centers for Disease Control’s Morbidity and Mortality Weekly Report have included not only analysis of epidemiological data, but also case studies based on field interviews. Footnote 4 The qualitative case studies help identify the nature of the many gaps between the release of a vaccine to a health worker and actual protection of an individual against the disease, and often to point to remedies. By tracing the breakdowns in the process, they spur adaptation that could help improve the match between the numbers of people a campaign aimed to protect and actual levels of vaccine administration. Through multiple cases, as well as larger tracking studies, practitioners are able to come closer to answering the key “How?” questions that Reference Behn Behn (2017 : 94) rightly highlights as essential elements of a science of delivery: “How does this strategy produce results? What exactly are the causal connections between the strategies employed and the resulting outputs or outcomes?” Footnote 5

Case studies have also aided understanding by enabling us to probe why outliers – exceptional successes or failures – differed from the patterns normally observed, thereby illuminating possible ways to improve performance across the board. This was the approach adopted by Reference Brixi, Lust and Woolcock Brixi, Lust, and Woolcock (2015) to learn from local service success stories in parts of the Middle East and North Africa. Household survey data from several countries in the region indicated that student performance was often poor, despite the fact that school access and facilities had improved. If all schools in a country operated under the same set of regulations, these authors asked, why do some areas perform so much better than others, controlling for demographics? Did the differences stem from a condition outside the control of managers, or was it something that principals and teachers in one area just decided to do differently – a practice that, at least in principle, others could replicate? The household surveys did not contain the type of information that allowed them to answer these questions, so the team went to the successful schools and studied them. One hypothesis was that degree of parental engagement affected both teacher behavior and student performance. The questions the team posed therefore included several about interaction between school officials and the community. The case studies found that the successful schools were those where principals and teachers met with residents and there was more communication with families. The challenge was then to figure out how to generalize a practice that was at least partially sensitive to the orientations and aptitudes of school leaders. In this instance, qualitative case studies supported development of alternative explanations and illuminated a potential solution to the problem of low-performing schools.

Not all policy spheres look like either of these examples, however. In some, policy arenas, implementation involves multiple changes at once, which means there are several possible causal explanations for outcomes. In Reference Behn Behn’s (2017 : 96) words: “Thus, the manager’s ability to assign causal credit is difficult. And if the management team is just starting out – if this is the team’s first effort to improve performance – which of the team’s multiple actions deserves how much of the credit?” The answer to this question cannot be called “science,” he says. “It could, however, be an intelligent guess.”

An intelligent guess is a step in the right direction, a hypothesis rooted in facts, though it isn’t the same as an evidence-based handbook, the kind of product Reference Behn Behn (2017) suggests a science would produce. Where it is hard to winnow out which conditions, circumstances, or actions carry the most weight in delivering a development outcome, and where we are therefore likely to have a high ratio of intelligent guesses in decision-making, implementation may adhere to a different model. Continual review, learning, and mid-course correction become essential. Though long practiced, this approach has more recently gone under names such as “adaptive management” or AdaptDev, which now has its own Google Group, Footnote 6 “Doing Development Differently” (DDD Footnote 7 ), and “Problem-Driven Iterative Adaptation” (PDIA Footnote 8 ). The common idea across these new platforms is that where a traditional after-action review, for example, is conducted at the end of an initiative, the push instead should be for feedback and learning to occur throughout an effort to implement a policy or institutional change. Reference Booth, Balfe, Gallagher, Kilcullen, O’Boyle and Tiernan Booth et al. (2018 : 8) point to a process in which implementers, in response to complex challenges, “deliberately set themselves up to learn by trial and error, testing initial approaches and adjusting rapidly as evidence on possible avenues of change is acquired.” Matt Reference Andrews Andrews (2018 : 1), one of the key contributors to this approach, has written on the basis of his long experience: “We always ask of PDIA in practice: What did we do? What results emerged? What did we learn? What did we struggle with? What was next?”

Although both policy learning and learning-by-doing have a long history, the ambition of the Doing Development Differently and AdaptDev communities that have emerged in this space is to expand the practice of experimenting, learning, and adjusting in domains where broad evidence-based generalizations about implementation are out of reach. In these areas, the people responsible for translating ideas into practice will almost certainly encounter challenges and unexpected obstacles ( Reference Schon Schon 1983 ; Reference Pritchett, Samji and Hammer Pritchett, Samji, and Hammer 2013 ). If they do not step back, reflect, learn, and adapt, they risk persisting with interventions or strategies that are not well suited to the situation that they face. Therefore, these teams must be ready and willing to adapt mid-course, to experiment and scale up what works, and to iterate and integrate feedback into implementation. Together with careful planning and the elaboration of a clearly articulated theory of change, the incorporation of “rapid feedback loops” into an endeavor is crucial, as is using these processes for “learning in response to ongoing challenges” ( Reference Pritchett, Samji and Hammer Pritchett, Samji, and Hammer 2013 : 1).

In this corner of the policy world, where causal relationships are less straightforward than they are in public health (and elsewhere), case studies help practitioners pool observations, recognize what has worked, identify where things aren’t turning out as anticipated, flag surprises, and open up space for adaptation. They help make the tacit knowledge practitioners have accumulated as explicit possible. Although they may draw on focus groups, surveys, and quantitative evidence, they employ interviews to help trace the steps taken, departures from the roadmap, and intermediate results in order to help us better address both anticipated and unexpected circumstances and increase the probability of generating intended impacts.

In early experiments, embedding case development and data collection directly into projects not only strengthened the quality of evidence produced but also enabled managers to make mid-course corrections and secure stronger buy-in from other stakeholders. Innovative elements have sometimes included smartphone surveys to check whether a service reached intended beneficiaries or assess satisfaction, geotagged information displayed on maps to help spot service coverage issues, satellite photography to track crop conditions, and other information generated with relatively low-cost and flexible tools that have a broad variety of applications (e.g., see Reference Danquah, Hasham and MacFarlane Danquah et al. 2019 on Sierra Leone). Workshops to document and review implementation steps taken to date help staff members spot omissions and bottlenecks and discuss creative ways to surmount unanticipated obstacles.

The World Bank’s Global Scaling Up Rural Sanitation program aptly illustrates this kind of effort. With the goal of making a dent in the 2.5 billion people worldwide without access to improved sanitation, the project launched pilots in three countries, which served as learning laboratories for developing a theory of change. After this pilot phase concluded, the project then made the necessary adjustments and scaled up to a further 10 countries; to date, it has provided some 22 million people in 13 countries with improved sanitation.

The use of pilots in the initial “learning laboratory” countries provided crucial knowledge about what worked and what did not. This information was then disseminated through a global network, allowing team members to reflect on and analyze the results of their actions. Team leaders were able to learn from these initial lessons in real time, allowing for quick adaptation. An iterative and adaptive approach was also hardwired into the program, giving task team leaders both the freedom and the mandate to apply lessons learned in their countries or areas of responsibility, while also adapting and correcting course as they scaled up and collecting their own evidence locally to target effective behavior changes and interventions.

A second example from the GDI illustrates a slightly different approach, this time in the context of improving access of Nigerians to sustainable, clean, potable water. A case study indicated that governance reforms were difficult to implement, trust in the system was low, and monitoring was weak – with the result that progress had stalled. It was crucial to establish trust, build networks, and enhance relationships with a wide variety of stakeholders. To design a new phase of the project, the World Bank decided to share the case study and solicit ideas from each major stakeholder. It organized a series of meetings to invite observations and proposals. The first convened its Nigeria task team leaders. The subsequent meetings took place in Abuja and involved participation from representatives of more than sixty agencies, including the head of the Federal Program Implementation Unit, the high representative of the Federal Ministry of Finance, State Ministers of Water, State heads of the program implementation units, and the World Bank Country Director. Participants had a chance to discuss the case itself and introduce other information, then they charted out concrete recommendations.

13.3 Seven Qualities That Make a Case Useful for Practitioners

For purposes of learning and mid-course adjustment, not all case study formats are created equal. Moreover, the information and format needed are not always the same that academic colleagues seek. The GDI and Princeton’s ISS program both ambitiously tried to tailor what they do to serve three distinct audiences: practitioners who want to improve implementation success, policy researchers or scholars who want to ground a (social) science of delivery, and aspiring leaders completing courses of study in universities and staff colleges or executive education programs. The jury is still out on whether it is possible to serve three masters equally well. Nonetheless, the experience to date has generated some wisdom – not yet formally tested! – about what helps a case to meet the needs of practitioners. This wisdom can be spelled out in seven principles:

1. A good case draws on a clear, shared lexicon.

A good part of what makes some cases more useful than others in development policy is the conceptual structure that underlies them, the lexicon. A good case is far more than a heap of facts the reader must somehow fit together. A good case focuses on subject matter that is central to a decision or series of decisions and helps reveal the development challenge and choice architecture, as well as the conditions or circumstances that affected the options available and the degree of success. The utility of a case depends on the ability to attach general names to the core challenges and in so doing facilitate comparison and consideration of alternatives.

A lexicon precedes a theory. It is a conceptual map, the key or index a practitioner, instructor, or researcher needs to identify other instances in which the same issue arose. For example, the difficulty people have in coming together to provide a public good, like a litter-free street, is a collective action problem. To be useful, qualitative cases that address this issue either have to use the term or employ the definition, minus the jargon, so that we can draw them into the pool of shared experience.

To employ an analogy, many of us have probably had the experience of moderating a discussion in which people with diverse experiences share their recent work. The moderator’s job is to find the common ground, the shared problem on which the participants have something to say and could learn from each other. That job is much easier when the presenters share a lexicon and use that reference to define their focus and structure their remarks. Otherwise the moderator has to try to discern points of congruence based on fragmentary information – or ask the author, “this is a case of what?”

The ease with which we can learn from qualitative cases hinges partly on the degree to which the general names unlock the experience of others. It goes without saying that to be useful to development practitioners, this lexicon has to respond to how those practitioners think about their work and to what they seek to know. For example, to assist with implementation, both ISS and the GDI developed frameworks that featured a variety of delivery challenges (such as geographic fragmentation) and common impediments to success in achieving a broader development outcome (such as better health). But the aim was also to link users to broader theories and toolkits helpful for thinking outside the box and developing new approaches.

Located in an academic institution, ISS defined its lexicon by matching the problems governmental leaders said they encountered in trying to build more effective and accountable government with existing conceptual vocabularies in the social sciences. For example, some cases focus on coordination problems, and the program treats these in several different domains or policy spheres, including cabinet offices (centers of government), public financial management, disaster response, and business process improvement. In addition to coordination, collective action, and principal–agent/agency issues, the program focuses on problems that are especially difficult because they can lock a country into subpar performance: institutional traps, capacity traps, norm coordination traps, or thresholds, for example. (This approach led one reviewer to term the program’s work “trapology.”)

The GDI tried to secure a tighter fit between its lexicon and the mental maps of people in its diverse user base. Footnote 9 It reviewed more than 160 development publications to identify the delivery challenges most often encountered and conducted a text analysis on more than 4,000 Implementation Completion Reports from projects supervised by the World Bank and other development organizations. Focus groups reviewed the draft lists. The final result was a taxonomy with two levels. At the higher level, the program chose fifteen broad types of implementation problems across three dimensions: stakeholders, context, and project. Footnote 10 Below that were fifty-two additional keywords that presented a more granular view of specific delivery challenges. In the end, the effort yielded a taxonomy that included a mix of challenges, in several domains of application, mirroring the way many potential users searched for information and advice.

2. A good case has a structure that communicates what a practitioner needs to know and facilitates cross-case comparison.

Whatever the realm of use, a good case is a story with a particular spin, in the sense that it helps the user focus in on the information needed to draw conclusions. Structure is important for this reason, and the right structure depends on the intended purpose. If the focus is on implementation, then the case should track the stages of the implementation process, for example: problem recognition, likely delivery challenges, framing and strategy, steps taken to implement, adaptation processes, results obtained, and thoughts about what one might do differently. This ideal-type may not perfectly mimic the actual policy process in a given setting, but a decision-maker can easily follow the case narrative and relate to the subject matter if arrayed in this way, as well as compare and contrast with other cases.

The ISS program and the GDI both adopted templates to facilitate comprehension and comparison. With a few exceptions, the main actors – the “voice” of the story – are civil servants, civic leaders, task managers of projects, and occasionally managers based in international organizations. The text walks the reader through the context and the anticipated challenges (a set of hypotheses about potential sources of difficulty), and shows the options considered and the program design or strategy adopted to address these. Each case documents the new practices or policies a reform team created and the steps they took to win support, secure authorization, build awareness, reshape organizational cultures, and do the many other things often required to put a new system in place. In this respect, the approach resembles the classic Harvard Business School management case that puts the reader into the driver’s seat alongside the person who has to solve a problem. The cases also document unanticipated obstacles and happy surprises, then conclude with results and participants’ reflections on what they would do differently next time or in a different context.

3. A good case entertains multiple hypotheses.

Many different possible causes may account for an outcome. The case should make these visible to the reader and indicate where one or another appears to influence implementation, independently shape outcomes, or affect the scope conditions attached to solutions decision-makers employed. If the influence is negative, a work team can then think about how to solve the problem or mitigate the effects. If the influence is positive, the team might ask itself whether there are ways to amplify the impact. In this way, making hypotheses explicit facilitates adaptive management as well as instruction. This step also enhances the usefulness of a case for social scientists and policy-makers who aim to conduct cross-case comparison or internal process tracing to try to adjudicate among theories.

One sometimes hears that a good case must leverage a single underlying theory. But is that necessarily true? This approach is often too restrictive in practice, though it has its place. It would mean that, as in some kinds of social science research, the purpose of a case is to help us decide whether to accept or dismiss a particular account of results or impact. In areas where conditions may make a science of delivery achievable, as in aspects of public health, education, or economic policy, there is a rationale for constructing cases in this way. But for the purposes of adaptive management, in policy spheres where multiple causes are in play, it is preferable to entertain a range of theories and the hypotheses that flow from them.

There can be tension between the ultimate use of the case and making hypotheses explicit up front. The ISS program wrestled with this problem, sometimes with mixed success. Each series of its cases begins with a research design that highlights the many influences it wants to trace. Most of these become part of the challenges the decision-makers in the case confront, laid out in the second section. However, to ensure cases are engaging to read, ISS does not tag its hypotheses as such. Moreover, not all appear in the same section in every instance. Separate cross-cutting analysis carries the weight of this need. The decision to proceed in this way has consequences, however, and one is that many see the cases as purely inductive, scoping exercises. To conform more fully to a social science model, the program would have to produce a second, stylized version of each case that directly engaged hypotheses and shed other detail.

On the basis of its early experience, the GDI discerned five core categories of causal influence that development practitioners valued highly. Though not each was equally important in every instance, these dimensions provided an instructive set of entry points for assessing the dynamics of implementation and gradual accumulation of granular knowledge about these effects of contextual characteristics, political factors, and the actions of implementation teams on outcomes and impact.

The five dimensions (outlined below) were interconnected, complementing and enabling one another. Cases examined how particular challenges encountered along the way were managed with respect to:

a. Citizen demands and citizen outcomes : defining the goal as measurable gains in citizens’ well-being; identifying the nature of the problem based on a thorough understanding of citizens’ demands and local context; staying attentive to all factors that influence citizen outcomes, including, but not limited to, grassroots representation and bottom-up political pressure.

b. Collaboration : facilitating multistakeholder coalitions and multisectoral perspectives to identify and prioritize problems and coordinate (possible) solutions; convening varied development partners and building on their competitive advantages; tracing the impact of coordination structures on development outcomes.

c. Evidence to achieve results : using the best available evidence to identify problems and solutions; developing local evidence to refine solutions; collecting evidence of results throughout the project cycle; contributing to the global body of knowledge with the evidence collected for scaling up; whether outcomes were driven by evidence.

d. Leadership for change : understanding local political economies and drivers of change; identifying the incentives that motivate behaviors and integrating these into designing delivery solutions; evaluating whether incentive systems or political will accounted for outcomes.

e. Adaptive implementation : developing an adaptive implementation strategy that allows for iterative experimentation, feedback loops, and course correction; building a committed team with the right skills, experience, and institutional memory; maintaining the capacity to reflect on actions and their results; assessing whether institutional capacity for learning helped drive results.

GDI cases also included hypotheses drawn either from practitioner experience or research.

4. A good case contains essential operational detail . To serve development practitioners well, a case must speak to the issues that managers face with sufficient granularity that a counterpart in another country can follow the steps laid out. This quality often runs counter to what we seek in academe, where the aim is to test highly parsimonious theories that have broad applicability or scope, and where both the content and analysis of cases focuses on just a few key variables. The difficulty is to discern the difference between extraneous information and pertinent operational elements, which may include legal authority to act, the impact of political structures on jurisdiction, organizational routines, budget calendars, costs, information architecture, algorithms, and other elements, depending on the subject matter. From the perspective of someone trying to lead institutional change or implement a complex program, the devil is often in these details. An expert should see what she considers essential in a case and a novice should find the language easy enough to follow that the technical detail is clear.

When the person or team researching and writing the case (or facilitating case development) is unfamiliar with a subject area and the specific issues managers confront, reaching the right level of granularity may pose a problem. In some technical areas, both the ISS program and the GDI engaged experts to partner with them or to review initial briefings before case development began. Employing questions broad enough to allow practitioners to discuss their work in their own terms also helped the cases reach essential detail. It was always useful to ask, at the end of a conversation, “What would you like to know about how your counterparts in other countries have tried to reach the outcome you wanted to generate?”

5. A good case pays attention to political will but need not make political will its focus . Whether in the limited sense of having approval (authorization) from a department head or in the larger sense of having the backing of the head of state, implementation cases usually cut into a problem after there is at least a modicum of political will to proceed with a program and after an opportunity or ripe moment has already materialized. Sometimes sustaining political will is indeed one of the obstacles, but usually addressing this issue is antecedent to the steps taken to deliver a result. If there is no will, there is no policy intervention, and for those of us interested in improving implementation know-how, the “no will” cases are generally less interesting than others (though sometimes good ideas and initiatives bubble up without leadership).

A good practitioner case identifies the source of political will, as well as changes in intensity or motivation that may flow from political transitions, rotation in office, changes in popular opinion, unexpected events, etc. The case should identify how political backing was sustained or grew, or whether it was simply irrelevant and why. Were there self-reinforcing incentives built into the program design? Did program popularity make it difficult to change once the program started to deliver results? Were citizens groups able to lobby? Did leaders become part of a professional community favorable to a program’s continued operation? It may be tempting in some instances to attribute a project’s initiation or durability to outside pressure from a development partner, but rarely is that true. A good case explains why officials acceded, if in fact they did so.

6. A good case discusses scope conditions . One of the criticisms of randomized controlled trials is that they have limited external validity ( Reference Pritchett and Sandefur Pritchett and Sandefur 2015 ). We often just do not have the information to know whether the same result would occur in other places, for other people, or during different periods in history ( Reference Woolcock Woolcock 2013 ). Learning from qualitative case studies can be prone to this same problem, but an implementation case usually provides some grist for thinking more systematically about whether the experience highlighted holds lessons for others. That grist comes in the form of a clear specification of context and analysis of how context shaped the steps taken and the results achieved. Such an analysis provides some basis for understanding how a change in implementation circumstances (context, scale, population) might alter the result.

Beyond encapsulating these broad principles, both ISS and the GDI made it a practice to offer the people who did the hard work of putting a program into practice a chance to think about how their experience generalizes, thereby capturing some of the tacit knowledge in the heads of these experts. For analytical purposes it is important to establish the parameters within which the findings of a given case apply, and experienced practitioners are often keenly aware of how slight differences in legal authorization, public opinion, or institutional capacity could make it hard for others to emulate their successes.

7. A good case is fun to read . Our two programs differ with respect to this seventh quality: the “engagement factor.” People are busy. Senior officials, especially political leaders, are exceptionally so, and gaining their attention can be hard. If the purpose of a case is adaptive learning or diffusing experience, then a case ought to draw the reader in and get to the point fast. For this reason, the ISS program opted to follow a Harvard Business School management case model that puts a decision-maker in the driver’s seat, uses names and quotes (cleared with the people interviewed), and keeps jargon to a minimum. Its cases put the reader right at the coal-face.

This approach had its pros and cons, however. In the program’s view, while it boosted engagement with many practitioners and with students, it sometimes hurt credibility with a social science research audience, for whom this approach seemed to imply a “great man” theory of history. In the program’s view these concerns were often misplaced. The style was similar to highly commended scholarly work on political development. The social science translation problem more often lay in the release of individual cases separately from cross-cutting analysis – and outside the realm of peer-reviewed journals.

For its part, the GDI, initially hosted within a multilateral organization, chose a different approach. Its cases usually treated an agency within a government or an institution as the lead actor, though it may mention the names of those involved. By virtue of being a consortium of more than forty partner organizations, of necessity the case writing style adopted had to balance ensuring adequate cross-program coherence with fitting the particular preferences and imperatives of its affiliate members. This approach also came at a cost, sometimes obscuring the internal negotiation dynamics within the agency in favor of a cleaner or more administratively procedural account. That said, adopting such an approach also allowed communities of practice to stand back and evaluate a situation more dispassionately.

13.4 Putting Cases to Work: Moderating a Case Discussion

A case is not usually a stand-alone document, though it can be so. If an important purpose of case studies is to promote learning and adaptation, then much rides on their capacity to stimulate group reflection, deliberation, and innovation. This in turn raises another question: How does one effectively moderate a case discussion?

Coming forward to the present, in our experience, the tone, sequence, and focus vary depending on whether the aim is to teach – to introduce key concepts and ways of thinking about a problem – or to help people who have participated in implementation reflect on their work. For the first purpose, the moderator may play a strong role in directing the discussion so that a group reaches key points, pausing to elaborate these. By contrast, for adaptive learning, where the point of a discussion is to help the people who carried out the work reflect and solve problems, the moderator may stand back a bit more to give participants a bigger opportunity to shape the agenda and to get into specific operational details in more depth than one might in a classroom setting. In both situations, however, there are some shared objectives, most importantly stimulating creative thinking about ways to: overcome obstacles that continue to impede success; mitigate the downsides of a generally successful response; reach difficult (isolated, marginalized) communities; take the intervention to scale; or adapt an approach for different circumstances.

To use a case for classroom purposes, we usually begin by reminding the group of the broader issues at stake. Every case has a development challenge at its core, the public value the people at the center of the action seek to create: the desired impact on citizens’ lives. Every action also has an author, so naming names is important, or at least naming offices: “Minister Marina da Silva wanted to reduce the rate of deforestation in order to adhere to a new climate regime and preserve water quality and availability in her country”; “Sudarsono Osman wanted the land registries in Kuching to serve citizens faster, with fewer errors.” The discussion leader may want to add some additional facts to situate the issue, identify what created the space for change, and add some more detail about the lead decision-makers.

Next comes the dramatic moment: “But … something stood in the way.” The discussion leader then poses a series of questions, beginning with “What was the main problem, the main delivery challenge ?” At this stage, it is important to ensure that everyone can identify the general form of at least the major implementation problem in a case – process efficiency, aligning the interests of a principal and an agent, collective action, or coordination, for example: “Mr. X is responsible for making the program work, but he’s stuck. At the start, what is his main problem? What is the general form of this problem?” Knowing the general form enables the case user to link to a general toolkit and consider whether solutions often considered in other settings might be useful in the circumstances at hand. The ability to abstract in this way enlarges problem-solving capacity. It is important to pause and sharpen familiarity with the general concept and the standard toolkit at this point.

Third, we help users connect with the context: “What do we know about the setting and the elements of context that might shape which tactics Mr. X can deploy?” Context is something that will come up throughout the discussion but especially at the end, when the focus is often on scale, scope conditions, and adaptations required to help a similar approach work in another setting. Context may include resource levels, diversity, socioeconomic conditions, government structure, legal authority, and many other conditions or circumstances, some of which may be malleable, while others remain fixed.

The real focus of the discussion comes after this point: “What options did they consider? Were there other possibilities and, if so, do we know why they weren’t considered? What motivated the choices they made?” And then: “Let’s work through the steps the team takes … ” The central objective is to develop a clear outline of the strategy and tactics employed. If the real issue the instructor wants to use as a focal point occurs later in the case, then it may be perfectly acceptable to expedite the discussion and simply throw the key elements of the initial response into a Powerpoint slide. “So here are the steps they initially took … Have I got it right?” Usually, however, the aim is to pause to consider the purpose of each step, the appropriateness of the design, what proved difficult to do, any pleasant surprises, and how sensitive the actions taken were to the aptitudes of team leaders or context.

In the classroom, the instructor’s job is to help participants identify concepts useful for analyzing problems that emerge at each step, as well as to bring external information to bear, where warranted. One of Princeton’s Ebola response cases, for example, focuses on carrying out contact tracing in a very difficult context. If the group is unfamiliar with the key elements of contact tracing, it is helpful to call a short “time out” and explain these in some detail. Even if the elements are in the case text, pausing to reinforce the ideas is often helpful for nonspecialists.

Sometimes the focus of the discussion is not on the strategy or the main steps taken, but on an unanticipated obstacle a team confronts: “There is a big unanticipated obstacle in this case … They struggle to adapt. Put yourself in their shoes. How would you deal with this situation?” If the obstacle is minor and the response is successful, it is possible to fold this discussion into the previous stage of the conversation. If the obstacle is significant and incompletely resolved, the major part of the discussion could focus on this matter. The aim is then to help participants identify possible solutions by abstracting from the specific – giving the problem a general name that links to a toolbox – or by inviting each person to tap his or her own experiences and intuitions about how to solve the problem.

At this stage the moderator’s role is to ensure everyone has a chance to contribute and to provide two or three alternative ways to structure the problem under discussion, in the event that everyone is stuck. For example, in one Smart City case, a public health unit used sophisticated math modeling to identify households at risk of lead poisoning, but the effort temporarily ground to a halt over the question of whether it could enter houses at risk and intervene, given concerns for privacy, personal autonomy/consent, and data security. Did it matter that those most at risk were too young to make informed choices on their own behalf? Would the answer to these questions be different if the issue was secondhand cigarette smoke or some other kind of risk – and if so, why? The moderator stimulated thinking by highlighting the ethical principles at issue and inducing participants to think about the implications by pointing to analogous issue areas where the same quandary was a matter of settled law or procedure.

The discussion moderator may want to summarize the results actually achieved and move on, but it is also possible to craft two important conversations around this segment of the case: one focused on causation and the other focused on metrics. Often the conversation will jump to the impact on the broad development challenge, the outcome highlighted in the beginning. In most instances many things affect this type of outcome, so it is important to identify the other things that contribute – the potential confounders – and then try to identify the specific lines of influence through which policy implementation shaped this “public value.” To establish these lines of influence, we usually have to focus on intermediate outcomes or outputs: faster delivery times, lower rates of error, more inclusive coverage, etc.: “Were these the right metrics? Can you think of better metrics? If your office didn’t have much money, is there a way to assess effectiveness inexpensively?” “What contributed most to these improvements?” “On one important dimension, there was little improvement … Why?”

Finally, if the purpose of the discussion is to assess the extent to which lessons from the case are applicable in other contexts, then it is possible to skim through some of the other stages and focus on this matter. Identifying the scope conditions, or the central factors and processes shaping the effectiveness of the solution case protagonists deploy, is central to this task. It is also possible to focus this part of the discussion on ways to improve further, to mitigate the downsides of the tactics selected, or to borrow from other fields to get around some of the limitations associated with the tactics actually used.

Some moderators subdivide the cases, asking participants first to read just the opening sections that outline the problem and the delivery challenges (possibly also the options considered and framing), so that the group has a chance to think about tactical toolkits available and how to proceed. The moderator then hands out further sections of the case, and the next phase of the conversation picks up with what the decision-makers actually did and the pros and cons of the approach, improvements, etc. A third handout might focus on an unanticipated obstacle or on results, prompting another turn in the conversation.

Over the years we have come to share the view of Harvard Business Case Publishing that providing moderators with teaching notes or discussion guides improves usage and enhances the quality of discussion. These notes provide some of the general concepts, toolkits, conceptual puzzles, options, and additional background information that moderators often need to move a conversation forward and inspire creative thinking. Generating them should become a part of the case development process, and they usually flow well from the initial research design and the cross-cutting analysis produced at the end, if there is such.

13.5 Using Case Studies as Part of Adaptive Management

Using cases for problem-solving or improvement within an organization entails a slightly different approach. In this setting, the case study becomes part of a participatory process designed to improve problem identification, foster development of solutions, and win agreement on accompanying changes in practice, including monitoring results. Since 2012, this form of adaptive management, long practiced in many major companies, has attracted a following in public sector development organizations. The United States Agency for International Development’s adaptive management principles, treated as requirements in some of its assistance packages or awards, include elements such as regular monitoring of results; practices to support mid-course review of strategy and implementation and course correction; rewarding “candid knowledge sharing” and collaborative learning; and sharing results widely. Footnote 11

The qualitative case study can play an important role in this approach. In some instances, the case writer’s role is to conduct interviews before a mid-course review begins and to assemble observations of individual team members and beneficiaries in a form the moderator can use to structure discussion of what has worked, why some steps did not succeed to the degree anticipated, and what to do next. The project manager may then use the results of the conversation to revise the program so that there is a record for comparison after the next attempt to improve delivery. Alternatively, a designated writer may skip the first step and become the recorder for the group discussion, creating a case as a record or after-action report. Qualitative cases drawn from other settings may also enter the moderated discussion at various points in order to spur reflection and creative thinking about what decision-makers should do next.

Those developing the PDIA approach have given this issue a lot of thought. In their experience, one of the challenges associated with learning and adaptation is to induce team members to think hard about the sources of success and difficulty. For this purpose, they employ some of the tools of the trade that Toyota has developed – for example, the “Five Whys” exercise that asks participants to push themselves beyond an initial statement about the proximate cause of a problem to deeper reasons: If A was the cause, why did A happen? If B caused A to happen, what caused B? Footnote 12 They go through this exercise at multiple points, creating a “fish diagram” to help provide a record of the discussion (see Figure 13.1 ). This discussion generates information and insight to incorporate in the next case draft, rendering the case study a collective, participatory product.

Figure 13.1 Example of fishbone diagram in adaptive management and participatory case study

The next step is to encourage people to think outside the box in generating solutions for each problem the process identifies. The aim at this stage is to encourage people to draw on their own thinking. At this point it may be helpful to consider what others who have faced similar problems have done, drawing on cases from the libraries that the GDI and the ISS offer, or some other source. These stories take people out of their circumstances and surroundings, reduce defensiveness, and trigger new lines of thought. These conversations about other places usually quickly lead back to a more open discussion about the issues on the table. The moderator may summarize what another government or agency tried and then simply ask, “Would that work here, in your view?” “What would you do differently?” “What is the theory of change behind this idea?” “How will we know if this idea works?” Again, this part of the discussion can go into the case draft, if the case serves as the collective record.

But there is also a further step in adaptive learning. The PDIA authors ask participants to identify the space for change in connection with each problem identified in the previous step. That space includes three elements: Authority (who has the authority to act?), Acceptance (Do the people who will be affected recognize the need for change?), and Ability (Is there capacity – time, money, skill – to act?). This phase of the discussion may help set priorities – if the suggestion is to move where there is space or leverage – or it may lead to creative thinking about how to expand the space for change. This information may also become part of the case record.

Both the GDI and the Princeton ISS program have contributed to learn-and-adapt initiatives. In its first years, the GDI’s Science of Delivery team helped more than sixty different projects use cases to broaden or deepen thinking during review of the initial concept note, decide how to address operational challenges, or present results. Participants sometimes convened their project staff to discuss and record their experiences as their work moved forward, resulting in the gradual development of a case, or they assembled at the conclusion of a project to develop an after-action report that documents the steps they took.

The GDI described its method, the Delivery Lab, as an opportunity to bring together thematic experts with specific operational knowledge from GDI’s partner organizations and other invited guests who are working to overcome the obstacles and bottlenecks that can impede development efforts. Each lab began with a practitioner (the challenge holder) sharing an operational challenge that he or she currently faced in the context of an ongoing project. This brief presentation was followed by a facilitated group discussion and brainstorming session where experts shared relevant experiences. Ultimately, participants worked together to cocreate actionable solutions. The sessions allowed for peer exchange of experience-based knowledge, as practitioners explore problems and think through potential solutions.

13.6 Conclusion

Implementation-focused case studies play a vital role within the development community in the three key respects described here: (a) helping to develop better understanding of implementation dynamics (a science of delivery), (b) training, and (c) supporting adaptive management. But both the GDI and ISS program observe that practitioners have often employed qualitative cases for other purposes too.

Sometimes the aim is simply to help a manager or public servant structure a problem and think about the menu of options others have tried. A case study can provide a quick guide to key issues and enough operational knowledge to enable the decision-maker to figure out what s/he needs to know so as to pose the right questions in a more detailed person-to-person follow-up conversation. For instance, Princeton’s ISS program has documented the efforts of a number of governments to improve cabinet office coordination and support for policy decisions. These cases have helped chiefs of staff and deputy ministers learn from each other without having to take valuable time to travel abroad in search of ideas. But they have also facilitated face-to-face small group meetings that have matched those who have led impressive reforms with those who are just beginning to think about what to do.

To take another, similar example, the GDI used a case on accountability for mineral royalty funds to support Colombia’s peace process. In Colombia, royalty funds from mining and natural resources held potential for financing local projects and building legitimacy. However, early experiences in managing natural resource funds were unsuccessful in part because local governments lacked capacity to avoid misallocation, corruption, and poor planning, and the central government had no mechanism to remedy this problem. As a result, instead of building peoples’ confidence in their governments, the initial program undermined trust and the sense of government efficacy. The National Planning Department then created a new program that had flexibility to help local governments to build their capacity to implement projects, while also mobilizing community members to carry out “citizen visible audits.” The case study on this program, which helped ensure that money was not stolen or misplaced and that projects met the real needs of the citizenry, helped foster agreement among parties to the peace process. In Colombia, an actual example of how to build local accountability and legitimacy and equitably use natural resources to develop the country moved policy conversations forward.

Apart from this kind of use, the programs have also found that people who have played important roles in the changes a case documents value the record of achievement. Those who labored hard to make something happen often immediately move on to the next project or crisis. The case provides welcome recognition and helps them explain their own contributions to others. They say the acknowledgment helps fuel another round of effort. Indeed, organizations often ask the programs whether they will commit to develop a case study on a specific program so that managers can say to team members, “If we do well, we will become a model … ”

In other instances, people have written to say that they have used a case as a briefing to prepare for deployment to a new post. Operations documents and technical reports rarely contain names, but cases often do, thereby helping newcomers know to whom they can reach out for additional information while also offering historical context and an implicit heads up about sensitivities.

Finally, the case study is a vital tool for communicating to a wider audience what purpose a development initiative serves, the human story that unfolds around and within it, and the results achieved. It gives form and spirit to the numbers we often use to analyze policies. In an era when trust in governments and international organizations is low, the case study is a way to make the work practitioners do more accessible to fellow citizens and to rebuild shared understandings about the missions we pursue.

1 Blair spoke these words at several meetings. For example, see his speech at a forum sponsored by the Center for Global Development in December 17, 2010. “The vision thing is often the easy part. Where you need to get to, is reasonably obvious. What is really hard is getting there and doing it. It is the nuts and bolts of policy. It is strategy. It is performance management. It is delivery. It is the right expertise in the right place. It is ministers who can focus. It is organizing and communicating it.” Available at www.cgdev.org/article/speech-text-tony-blair-making-government-work-will-transform-africa

2 See Reference Behn Behn (2017) for a brief history of the term ‘science of delivery’ and a critique of the idea. Reference Kim Kim (2013) provides an outline of how the World Bank’s president (at the time) envisioned a ‘science of delivery’ would function in a multilateral agency.

3 The Global Delivery Initiative’s case studies are available via the Global Partnership for Effective Development Cooperation, accessed (by selecting “Case Studies” in the “Resource Type” category) at www.effectivecooperation.org/search/resources . Details on Princeton University’s Innovations for Successful Societies program, along with all its published material, can be found at https://successfulsocieties.princeton.edu .

4 See www.cdc.gov/mmwr/index.html .

5 Reference Behn Behn (2017 : 94) underscores this point, going on to argue that “For there to be any ‘science’ – anything close to ‘science’ – this experimentation has to result in an explanation about how, in a specific situation, specific management actions caused changes in human behaviors that produced better results.”

6 Accessed December 13, 2021 at https://groups.google.com/g/adaptdev?pli=1 .

7 Since 2014, a series of DDD workshops have been held around the world – Boston (2014), Manila (2015), London (2016), Jakarta (2017), Nairobi (2018), and Berlin (2019) – to consider practical ways in which donors, governments, and organizations can engage more constructively with implementation challenges that prevailing administrative systems and imperatives struggle to accommodate.

8 On PDIA, see Reference Andrews, Pritchett and Woolcock Andrews, Pritchett, and Woolcock (2017) .

9 Now housed within the Global Partnership for Effective Development Cooperation’s open access resources, and the lexicon structures in the search menus for “challenge area” and “action area.” Accessed December 13, 2021 at www.effectivecooperation.org/search/resources .

10 Accessed December 13, 2021 at www.effectivecooperation.org/search/resources .

11 US Agency for International Development Learning Lab CLA Resources, available at https://usaidlearninglab.org/ . For a clear, short list of adaptive management principles see also the opening of one of USAID’s case studies on adaptive management: “Incentivizing Performance: USAID/Kosovo’s Transparent, Effective and Accountable Municipalities (Team) Program,” April 2018.

12 See Toyota “Five Whys” discussion in Reference Andrews, Pritchett and Woolcock Andrews, Pritchett, and Woolcock (2015) ; and Toyota Global on Toyota Traditions, available at www.toyota-global.com/company/toyota_traditions/quality/mar_apr_2006.html

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• Connecting Case Studies to Policy and Practice
• By Maria Gonzalez de Asis , Jennifer Widner
• Edited by Jennifer Widner , Princeton University, New Jersey , Michael Woolcock , Daniel Ortega Nieto
• Book: The Case for Case Studies
• Online publication: 05 May 2022
• Chapter DOI: https://doi.org/10.1017/9781108688253.014

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Reforming Education and Changing Schools

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The Education Reform Act introduced in England and Wales in 1988 brought about enormous changes in schools, both as management units and as educational institutions. This book, first published in 1992, was the first to look at the effects of the Act in all its aspects on the basis of empirical evidence gathered from schools over the first three years of the Act's implementation. It looks at how change is being achieved in the Local Management of Schools, the influence of the market on schools, the introduction of the National Curriculum and the place of Special Needs provision in the new education scene. This book will be of interest to all who want to know about educational reform in Britain. It will also be of interest to those in the fields of education policy, educational management and sociology of education.

TABLE OF CONTENTS

Chapter | 5  pages, introduction, chapter 1 | 18  pages, the policy process and the processes of policy, chapter 2 | 39  pages, education in the marketplace, chapter 3 | 20  pages, lms (the local management of schools)and the entrepreneurial school, chapter 4 | 38  pages, the national curriculum: subject to change, chapter 5 | 19  pages, special educational needs in a new context, chapter 6 | 42  pages, changing management and the management of change.

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Early childhood policy case studies provide concrete examples of policy efforts, success factors, and ongoing implementation challenges in the field of early childhood. Cases can be used to enhance discussion in early childhood policy courses in higher education and to provide lessons for current policymakers in the field of early childhood.

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Our multimedia cases are designed to support college instruction in early childhood policy (ECP) courses by highlighting the complexity of early childhood systems and the policies that govern them. The ECP case studies explore topics including policy goals and outcomes, ECE funding, unintended consequences, implementation challenges, organizational dynamics, and tensions. These cases are based on articles and reports and interviews with diverse stakeholders including researchers, policymakers, implementers, and the beneficiaries of the policies.

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The Early Childhood Policy in Institutions of Higher Education (ECPIHE) seeks to support the development of a new field of early childhood policy. In so doing, it strives to enhance the study of, and experiences related to, advancing early childhood policy in American institutions of higher education (IHEs).

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Published October 2022

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Case studies.

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Case studies are stories that are used as a teaching tool to show the application of a theory or concept to real situations. Dependent on the goal they are meant to fulfill, cases can be fact-driven and deductive where there is a correct answer, or they can be context driven where multiple solutions are possible. Various disciplines have employed case studies, including humanities, social sciences, sciences, engineering, law, business, and medicine. Good cases generally have the following features: they tell a good story, are recent, include dialogue, create empathy with the main characters, are relevant to the reader, serve a teaching function, require a dilemma to be solved, and have generality.

Instructors can create their own cases or can find cases that already exist. The following are some things to keep in mind when creating a case:

• What do you want students to learn from the discussion of the case?
• What do they already know that applies to the case?
• What are the issues that may be raised in discussion?
• How will the case and discussion be introduced?
• What preparation is expected of students? (Do they need to read the case ahead of time? Do research? Write anything?)
• What directions do you need to provide students regarding what they are supposed to do and accomplish?
• Do you need to divide students into groups or will they discuss as the whole class?
• Are you going to use role-playing or facilitators or record keepers? If so, how?
• What are the opening questions?
• How much time is needed for students to discuss the case?
• What concepts are to be applied/extracted during the discussion?
• How will you evaluate students?

To find other cases that already exist, try the following websites:

• The National Center for Case Study Teaching in Science , University of Buffalo. SUNY-Buffalo maintains this set of links to other case studies on the web in disciplines ranging from engineering and ethics to sociology and business
• A Journal of Teaching Cases in Public Administration and Public Policy , University of Washington

For more information:

• World Association for Case Method Research and Application

Book Review :  Teaching and the Case Method , 3rd ed., vols. 1 and 2, by Louis Barnes, C. Roland (Chris) Christensen, and Abby Hansen. Harvard Business School Press, 1994; 333 pp. (vol 1), 412 pp. (vol 2).

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• Michael Snowden   ORCID: orcid.org/0000-0003-1218-7434 1 ,
• Liz Towns-Andrews 2 ,
• Jamie P. Halsall 1 ,
• Roopinder Oberoi 3 &
• Walter Mswaka 4  

Social innovation and social enterprise are often supposed as methodological solutions to address multifaceted socio-economic problems, due to the sharing of ideas and their involvement of stakeholders from different sectors. This cooperative treatise (Ziegler in Innov Eur J Soc Sci Res 30:388–405, 2017) is striking to legislators across the political gamut. This research is therefore positioned within the broader literature on social innovation and its policy relevance; even though social innovation is not a novel thought, the application of social innovation as a policy idea and its part in relation to the restructuring of the prevailing welfare establishment has gained momentum in recent years. Hence, in their paper the authors will examine how social enterprise as a concept can act as a positive catalyst for influencing policy (i.e. public and social) in the developing world. To meet the overall aim of this paper, the authors employed a case study of India and applied a three-step approach, namely: (1) a literature review process that explored a variety of policy methods that can influence on the accomplishment and measurement of social enterprises; (2) a policy survey, which entailed desk-based searches of national and state-level policies, followed by stakeholder consultation queries to complement online results; and (3) qualitative interviews with stakeholders from government agencies and departments at national and state levels, including the Ministry of Finance, representatives of private industry, chambers of commerce, social investors, social enterprise networks, and advocacy leads. The research findings that are presented in this paper were funded by Delhi School of Public Policy and Governance, Institute of Eminence at the University of Delhi.

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Introduction

This paper presents an exploration of the various facets of the social enterprise ecosystem within India and how government, organisational, and institutional policies directly and indirectly impact social enterprises through specific targeted actions or by influencing the broader policy framework within which they operate. This can have either a positive or negative impact on the development of social entrepreneurship. When an organisational body specifically designed for social enterprises exists, it serves as a convenient ‘one-stop-shop’ for specific issues associated with social enterprise and provides a vehicle of support for social entrepreneurs. For example, the global organisation Social Enterprise Mark, which is an award-winning international social enterprise accreditation authority based in the UK that recognises and builds the capabilities of social enterprises as competitive, sustainable businesses, dedicated to maximising social impact (Social Enterprise Mark, n.d. ). The one-stop approach to social enterprise support provides a valuable support system for social enterprises and social entrepreneurs as they strive to create favourable ecosystems that support social enterprise growth and development though an holistic approach that considers the unique aspects of their business models.

Institutions internationally are increasingly acknowledging social enterprises as crucial partners in their pursuit of sustainable, inclusive, and prosperous societies. The significance of this was acknowledged in the Spring of 2023 by the United Nations Department of Economic and Social Affairs and Social Inclusion (UN, 2023 ), emphasising the contribution that social enterprise can make towards attaining the United Nations’ Sustainable Development Goals. Adoption of this unprecedented, unopposed resolution that calls upon institutions within the global community to support the development of social enterprise is a clear catalyst for the social and solidarity economy that placed emphasis on social justice.

However, social enterprise is in a state of infancy and is juxtaposed against the demands of the UNDP; this paper, therefore, addresses those facets of the social enterprise ecosystem within India and how Integration of social policy into entrepreneurship education facilitates understanding and application of social enterprise at institutional, regional, national, and international levels. The first assessment of the institutional context is broken down into three key components:

State Policy and Programmes: The assessment involves examining whether there is an established state policy, approach, action plan, or dedicated programme. These elements guide the overall direction and priorities within the institution.

Uniformity: The exploration considers legal, political, and professional standards to identify consistency and inconsistencies across administrative bodies and agencies.

Policy Framework: Understanding the policy framework requires the study of those processes that develop, implement, and monitor the institutional framework. A crucial element of this is the engagement and collaboration with relevant stakeholders and beneficiaries.

However, this cannot be simply broken down into a set of three steps. As identified by Oberoi et al. ( 2022 ), the nature of social enterprise is dynamic, multifaceted, and complex. Therefore, when assessing the interaction between institutional bodies (such as chambers of commerce) and social enterprises, several key factors influence the relationship. First, a clearly defined and informed institutional framework—whether through a nationwide policy, agreed strategic approach and plan, or a dedicated schemata—provides valuable support for social enterprise growth and development. In addition, statutory and legal frameworks that complement the policy contribute to feasibility and sustainability. Developing this framework creates a significant challenge for those disciplines that are embryonic. For example, it is well documented that the social enterprise knowledge base is poorly developed, that strategies, polices, and programmes are often untested, and that change adopted and implemented is frequently not built on an evidence base (Halsall et al., 2022a , 2022b ).

To ensure success, active engagement with other institutional bodies is vital. This involvement facilitates information sharing, connecting social enterprises and entrepreneurs with public and statutory agencies, formal and informal support networks, and financial providers. The statutory body itself can contribute by raising awareness through campaigns and by monitoring, assessing, and evaluating the implementation of social enterprise related strategies and development plans. In the Indian context, creating an enabling environment and recognising the government’s pivotal role in supporting the social enterprise sector are key considerations that influence success (British Council 2015 ; British Council 2016 ; British Council 2020 ).

Establishing a collaborative, collegial, coherent, and holistic framework to support the emergence and consolidation of social enterprises is crucial for maximising their social and economic impact. While the plans themselves are essential, policy approaches play an equally significant role. Effective policies are more likely to emerge when built through horizontal cooperation (across different administration portfolios) and vertical coordination (across various levels of administration), in collaboration with relevant stakeholders. This collaborative approach reduces the likelihood of anomalies leading to better policy consistency and overall effectiveness. The authors of this paper have identified four areas that are underrepresented within existing literature and are distinctly related to policy frameworks for innovation and social enterprise in India.

Social enterprises often operate at the juncture of different policy areas and disciplines. Consequently, their actions are entwined with various government ministries and agencies. Engaging in a collaborative dialogue with a broad range of relevant stakeholders and beneficiaries (perceived and actual) allows for a richer understanding of the presenting issues. This understanding contributes to the development of well-informed, real-world policies that effectively address emergent challenges and contribute to the sustainability and longevity of policies.

Legal frameworks play a crucial role in shaping policies. They can legitimise social enterprises and expand the legal definition of ‘enterprise’ to include entities that blend entrepreneurial approaches with social and environmental missions. The trend towards embracing legal and statutory frameworks reflects the enhanced interest in social enterprises and other entities of the social economy. These entities prioritise public and social interests and make a distinct contribution to specific policies (such as renewable energy and other green initiatives) and strategic priorities, including job creation, skills development, and public health initiatives for disadvantaged and marginalised groups. However, globally there is a reliance on working definitions (that are frequently poorly crafted) and criteria (embedded in strategies and action plans) to identify social enterprises.

The existent literature demonstrates a research topic in its infancy (Campopiano & Bassani, 2021 ; Farinha et al., 2020 ; Novak, 2021 ; Opuni et al., 2022 ; Winful et al., 2022 ) and characterised by four key themes that include social entrepreneurship, social movement, community development, and social innovation (Farinha et al., 2020 ; Winful et al., 2022 ). Academic research on social entrepreneurship has emphasised the social outcome of business activities that aim for value creation beyond profit maximisation (Campopiano & Bassani, 2021 ; Del Gesso, 2020 ). However, the research is dominated by the disciplines of Business and Management Studies; subsequently, the social impact of research is often understated (Snowden et al., 2023a ).

Social innovation is often seen as the opportunity for social enterprises to significantly invest in the creation of social outcomes to address people's needs. Social innovation and social enterprise are often proposed as a solution to address multifaceted social economic problems, by sharing ideas and involving stakeholders from different sectors. This cooperative treatise, as described by Ziegler ( 2017 ), presents an opportunity to legislators across the political spectrum.

Recent work carried out by the UK’s Quality Assurance Agency ( 2018 ) and Snowden et al., ( 2023a , 2023b , 2023c ) has illustrated that there are diverse aspects of social entrepreneurship, which have been influenced by international public policy in the context of social, economic, cultural, political, and sustainability agendas. Consequently, this has created a new emphasis on entrepreneurship, innovation, and social enterprise driven by the social justice and socio-environmental debate that has emerged strongly since the COVID pandemic. Nonetheless, it is this complexity that has resulted in conceptual challenges regarding the nature of social enterprise and its relationship with the social entrepreneur.

Social enterprise is not a new concept, but it is growing exponentially as illustrated by the post-pandemic abundance of academic literature on the rise of social enterprise (Chilufya et al., 2023 ; Halsall et al., 2022a ; Oberoi, 2021 ). This increased attention has been evident in a global context, as many governments across the world are shifting away from state-controlled, funded projects and moving towards a more social entrepreneurial approach. The emerging contemporary notions of social enterprise and the social entrepreneur are contributing to an identity and establishing some degree of clarity upon the nature and purpose of a social enterprise.

The impetus for this renewed vigour towards social enterprise is linked to the world adjusting to the demands of living in a post-COVID world (Oberoi et al., 2022 ). It is widely accepted that the global social welfare system is broken and traditional welfare models are ill-equipped to address the emerging social needs in the wake of the pandemic. As a result, there is a clear need for fresh, creative ideas to replace intransigent, archaic, and inflexible systems of welfare. Halsall et al. ( 2020 ) reaffirm this view, commenting that the traditional, rigid, institutionalised assumption of a two-sector economic model is being replaced with the view that social enterprise can provide a mitigating conduit to deal with the challenges associated with social and economic problems.

Social entrepreneurship is underpinned by strong social innovation. Despite social innovation’s long history, it remains relatively under-researched, leading to untapped opportunities (Farinha et al., 2020 ). For social enterprise to develop, it must be underpinned by strong social innovation, and ensuring the connection between social innovation and social enterprise is crucial because both address social and environmental challenges, aiming for positive change but are co-dependent on each other. These approaches provide innovative solutions for pressing issues such as poverty, inequality, environmental degradation, healthcare access, and education. By combining innovative creative thinking with practical solutions, they offer new ways to solve complex problems. Both social innovation and social enterprise prioritise long-term sustainability, moving beyond short-term fixes to address root causes. Collaboration and partnerships are essential, involving government agencies, non-profits organisations, industries, institutions, and communities collaborating towards shared goals, enhancing efficiency, scalability, and sustainability.

A contemporary popular definition for social enterprise is provided by the global organisation Deloitte ( 2018 ), which suggests that a social enterprise is an organisation that combines revenue growth and profit-making with a commitment to respecting and supporting its local community and stakeholders. A crucial element of this involves actively monitoring and adapting to the trends shaping the contemporary world or community and is built by collaborative (social) entrepreneurs who embrace their responsibility as good citizens and act as a model for others. However, this fails to acknowledge the complex and dynamic nature of social enterprise. A responsive definition is proposed within the literature that defines it as a multifaceted change process through which social entrepreneurs offer economic inclusion and social engagement to different global community and social groups through creative, solution-orientated strategies (Halsall et al., 2020 ; Oberoi et al., 2019 ). This recent definition provides and emphasises the importance of innovation underpinning social enterprise.

Contemporary social enterprise acquires a new significance that focusses upon providing innovative approaches to address pressing social needs and challenges reflected by the UN’s Sustainable Development Goals (SDGs), such as poverty, inclusion, disparity, environmental degradation, gender equality, access to healthcare, social welfare and education, and innovative solutions all embracing the notion of social justice. Joining innovative thinking with well-designed innovative solutions will enable new ways of mitigating multifaceted problems to emerge. Social entrepreneurs are the altruistic, solutions-orientated, forward-thinking characters that develop social enterprises to go beyond short-term solutions and place emphasis on creating enduring solutions that address root causes of problems. Social entrepreneurs ensure, and by their very nature emphasise and firmly embed collaboration, co-participation, and partnership working. When developing an enterprise, they bring on key participants; for example, government agencies, non-profits organisations, industries, and communities are enlisted along with actual and potential beneficiaries, all working together towards shared goals. This collaborative alliance improves the efficiency, scalability, and sustainability of the innovation in a collegial approach that embraces entrepreneurial methods to design solution and encourage imaginative thinking. By applying business principles to social and environmental challenges, they foster innovation, adaptability, and creativity.

Social enterprises aim to be financially sustainable while concurrently creating social impact. They advance business models that make revenue through the sale of goods or services, reducing reliance on external funding sources. Distinctly, social enterprises empower people and groups by providing prospects for economic participation, skills development, and social inclusion. They often prioritise marginalised groups, permitting them to become dynamic givers to the social order and agents of change, while leveraging resources like human capital, technology, networks, and funding. The collaborative approach maximises the collective impact of efforts and has the potential to energise systemic change by challenging existing systems and structures and is able to provide a full spectrum of activities, ranging from conventional to hybrid organisations, serving as a catalyst for broader societal transformation.

How are social enterprises legally defined?

Unsurprisingly, the term ‘social enterprise’ is not commonly used in legal frameworks, policies, or literature; consequently, this lack of direct terminology poses a significant challenge for social enterprises. However, several countries do recognise new forms of entrepreneurship that align with the concept of social enterprise. De jure social enterprises (i.e. legally recognised practice and actions) are legally recognised under specific legal frameworks that establish clear legal forms and statuses to support their development—examples include the ‘solidarity enterprise of social utility [ entreprise solidaire d’utilité sociale ]’ (ESUS) in France, the ‘societal impact company’ in Luxembourg, and the ‘social cooperative’ in Poland—whereas de facto social enterprises are not legally recognised through specific social enterprise designations. However, they can still be identified based on their contributions to social challenges and adopt recognised social enterprise business models.

Social enterprises can adopt various authorised arrangements and statuses that reflect their unique characteristics, including their entrepreneurial and economic approaches, societal goals, and comprehensive governance and ownership structures (OECD, 2022 ). In a strict legal context, social enterprises represent an operational archetype (Caire & Tadjudje, 2019 ) reflected by the social cultural context in which they operate and those challenges the enterprise is attempting to mitigate.

While there are inconsistencies on legal definitions of social enterprises there are some key facets that are fundamental to the nature of social enterprises.

A corporate business model generates profit solely for owners and keeps operational for cost benefit deliberation and need to obtain other ventures in line with the principles of the business. However, the social enterprise model creates value not just for the business but is driven by social and environmental impact. Legal frameworks stipulate that social enterprises must explicitly pursue a defined social objective, and some nations limit the notion of flexibility and responsiveness by defining the arenas of engagement in which social enterprises are expected to function. For example, in Luxembourg, societal impact companies must respond to at least one pre-defined area of a 2016 Law on Societal Impact Companies (European Commission, 2020 ). Similarly, in Italy, the 1991 Italian Law on Social Cooperatives requires entities to be operational in at least one sector in an A-list of activities (well-being care, conservation protection, and improvement of cultural heritage) or B-list activities (organisations that conduct entrepreneurial activity oriented to job inclusion of underprivileged or disabled workers/individuals, irrespective of the area or areas) (OECD, 2022 ). Furthermore, some nations’ social enterprises are required to implement an asset lock to ensure their long-term social purpose and prioritise social impact in decision-making. The asset lock typically involves two mechanisms: restricting or limiting profit distribution to owners and ensuring that any surplus upon dissolution is transferred to a similar initiative. For instance, in the UK, France, Italy, Belgium, and Luxembourg, social enterprises are asked to maintain a limited asset or full asset lock in order to safeguard the longevity of the social purpose and clearly prioritise social impact within decision-making processes alongside a reproducible audit of decision-making processes (Fici 2015 ). In addition, there are defined limitations on the amount of profit that can be redistributed to the owners or staff within the social enterprise. A distinct component of some legal frameworks that enhance the spirit of social enterprise is the notion of inclusive governance. Some legal frameworks require the workforce to be part of the decision-making process within a social enterprise and for this to be clearly defined and auditable. For example, within France it is obligatory to involve stakeholders in some company choices (OECD, 2022 ).

Social enterprises are organisations that take diverse legal forms across nations to pursue both social and economic goals with an entrepreneurial spirit. From a global perspective, there a set of key commercial and societal fundamentals that can be used to define social enterprises:

Social enterprises are distinct from orthodox for-profit organisations which are outrightly involved in the production and/or sale of goods and services (instead of chiefly advice-giving or grant-giving occupations);

Social enterprises are designed and fulfilled by groups of citizens and community members;

Social enterprises typically sell products and/or deliver services to members of the public and private users to produce their revenues;

Social enterprises operate in the monetary economy, and use non-commercial resources to become sustainable and;

They share a social dimension in their entrepreneurial goals, which should be based on a distinct social interest and based on unmet needs or presented and established within a legislative model (OECD, 2022 ).

Social entrepreneurship and social enterprises have existed for decades (John et al., 2024 ). The development and advent of social enterprise have taken diverse routes in different geographic areas in the world but can still be grouped according to two foremost schools of thought. One is the market-based or commercial social enterprise arrangement, and the second is more of a blended or hybrid-based form of social enterprise. The market-based formula emerged prominently in North America and Africa, while the hybrid-based plan was adopted more in European and Latin American countries. Haarich et al. ( 2020 ) propose that legal frameworks can be an authoritative tool to foster and bolster social enterprise expansion and, where these are in place, social impact is more accurately measured.

The recent report published by the European Commission ( 2020 ) identifies approximately 397 000 social enterprises among European Union member states. For example, Italy, Belgium, Luxembourg, and Hungary have over 1,600 social enterprises per million residents, while Estonia, Malta, and Greece have much less than 500 (European Commission, 2020 ). In comparison, India has around 2,000,000 social enterprises and the UK 100,000 (John  et al., 2024 ). However, this data does need to be reviewed with caution. As illustrated, there are numerous descriptions of the nature of social enterprise and inconsistencies in legal recognition for social enterprises between nations and regions.

Nonetheless, governments are increasingly looking towards external agencies to solve social and economic problems in society (Khan & Halsall, 2017 ; Oberoi et al., 2021 ). Globally, an era of social enterprise is gaining momentum and is prevalent in many debates within businesses, society, and educational institutions. However, for this to progress in an informed and systematic way, there is need for a strategic realignment of policy with key social enterprise dimensions that will be shaped by five factors:

Political Environment: The administration’s role significantly influences the emergence of social enterprises. When societal issues align with administrative priorities, natural synergies arise, especially in the context of the neoliberal paradigm.

Legal Environment: Like traditional private enterprises, social enterprises require an iterative process of refining knowledge and execution. A supportive legal environment—one that avoids excessive regulation and unwarranted oversight—facilitates this progression.

Social Environment: Favourable social and cultural conditions are essential for nurturing social entrepreneurs. A strong civil society and focus on socio-economic challenges contribute to the development of social enterprises.

Cultural Environment: The enthusiasm of civil society plays a crucial role in the rise of social enterprise. Often, social entrepreneurs emerge from within civil society, responding to socio-economic issues with innovative approaches.

Institutional Environment: To advance social enterprises from emergence to maturity, institutional support is critical. Curricula in academic institutions can prepare novice social entrepreneurs with knowledge and networks.

Despite the challenges in defining the nature and legal basis of social enterprises, they undoubtedly play a vital role in addressing social, economic, and environmental challenges. Applying this observation to the Indian context, there are four key issues that run concurrently with these factors that demand the realignment of policy and social enterprise dimensions:

The legal status of social enterprises is not clearly defined, generating issues with credibility and authenticity, which in turn undermine the development of policy and strategy.

Regarding sustainability, governments must foster an environment that encourages social entrepreneurship and innovation. India (not is isolation) faces a distinct challenge in this area.

The review of literature reveals that social enterprise in India lacks a comprehensive policy framework for understanding the complexities of the phenomenon and its determinants.

There are no clear-cut guidelines of how to improve and enhance social enterprise activities across the nation. The distribution of social enterprise is geographically inconsistent.

Methodological approach to the research

This research is positioned within broader literature on social innovation and its policy relevance. Even though social innovation is not a novel concept, the application of social innovation as a policy idea and its relationship to the restructuring of the prevailing welfare establishment is synonymous with the development of social enterprise.

Embracing the spirit of social innovation was a key feature of the methodological approach adopted in this study. The involvement of partners, prospective partners, and actual and potential beneficiaries is essential to reflect the philosophical basis of social enterprise and to provide a cross cultural and social representation of each community as part of the research and evaluation process. This will provide the firm foundation towards enabling the attainment of the study’s objectives. This study utilised an embedded a case study approach, drawing upon the approach illustrated by Yin ( 2018 ).

The case study approach is used when evaluating and exploring the nature of underlying issues with reference to an identified phenomenon (Robson & McCartan, 2016 ; Yin, 2018 ). The case study approach is the most appropriate to explore the underlying factors perceived to influence a key phenomenon under investigation and is particularly useful when the phenomenon is an under-researched subject. This approach was particularly suited to this study as it reflects the emerging and contemporary phenomenon of social enterprise, enabling the development of an explanation and the exploration of the causal relationships of underlying determinants influencing the development of social enterprise (Robson & McCartan, 2016 ). This enabled the detailed exploration of those factors that influence the determinants of social enterprise and its flexibility; it also allowed the perceptions of participants to be included, and this flexible research design enabled the researchers to evaluate the strengths and limitations of the subject studied in context. A case study effectively addresses the ‘what’, ‘how’, and ‘why’ of events, experiences, phenomena, and data collected in the process, each crucial features of this research. Enabling the researchers to gather information, understand processes, and explore reasons, and thereby facilitating effective and deeper understanding of the various facets of social enterprise and policy development within the Indian context.

Specifically, the research team adopted a mixed methods and exploratory embedded multiple case study design approach proposed by Yin ( 2018 ) was utilised as this specifically offers an insight to the micro-cultural and socio-economic and political influences upon policy development. It is this aspect of the case study that resonates with the aspirations of the study, referring, as Yin asserts, to multiple sources of evidence enables researchers to capture the perspectives of different data sets and participants, focussing on how their different meanings illuminates new perspectives (Yin, 2018 ) is appropriate for the research.

Conceptual framework

The following illustrates the processes that were undertaken to establish a model of change to promote an understanding of the policy framework, the role, forms, practice, and value of learning within social enterprise, and how this could contribute to the development of a policy framework for innovation and social enterprise in India. The model comprises a four-step cyclical process that involves assessment, solutions-orientated problem solving, implementation, and reflection and evaluation (Snowden et al., 2023a ):

Assessment—comprises a holistic method of data collection from all available sources. For the purpose of this study, this involved:

Semi-structured and focus interviews of key beneficiaries (actual and potential) and stakeholders, e.g. NGOs, statutory agencies, community members, social entrepreneurs, and representative of social enterprise groups and agencies.

A desk top review using a systematic method to assess existing research, policy, and curriculum documentation for information relevant to parameters of this study.

Online survey of actual beneficiaries and stakeholders, e.g. NGOs, statutory agencies, community members, social entrepreneurs, and representative of social enterprise groups and agencies.

Solutions-orientated problem solving—involves the development and design of recommendations and solutions to problems and challenges identified from data collected in the assessment phase.

Implementation—is an active phase delivering the solutions to the research questions presented. This stage involved: an initial dissemination of findings; peer review; design of recommendations, strategy materials, and policy based on the evaluation and analysis of data collected.

Reflection and evaluation—this required holistic evaluation and testing in addition to harnessing the reflective elements of Kirkpatrick’s model (Kirkpatrick & Kirkpatrick, 2016 ).

Data collection and analysis

The following methods were used for the data collection:

Document review

Document review within this study includes all publicly available policy, curriculum, and practice documents. The purpose of performing document analysis is to inquire in what ways and to what extent literature is presented and if it is visibly accurate and representative. A systematic approach was used to frame the document review. Documents included specific guidelines aimed exclusively at social enterprises and those additionally associated more broadly towards social enterprise, social innovation, and allied fields such as small and medium enterprise (SME) policy, and policy intents and achievements/failures each within the context of India. The data collected were used to inform and provide a meticulous summary of available data in relation to the research question and objectives of the study. Prior to analysis, data that met the criteria for the study were analysed using the Mixed Methods Appraisal Tool approach. Using content analysis (Krippendorff, 2019 ) enabled inferences to be developed regarding the content within the texts analysed.

Online survey

An online questionnaire was developed to identify those key features of social enterprise that have been influenced or constrained by developments and policies within India. Each of the questions was developed by data identified in the literature review and in consultation with the research team. The purposive sample included key beneficiaries (actual and potential) and stakeholders, e.g. NGOs, statutory agencies, community members, social entrepreneurs, and representative of social enterprise groups and agencies within India. Overall measures of the importance of the different dimensions of influence were calculated using the descriptive statistical method ‘relative importance index’ (Robson & McCartan, 2016 ), and free-text responses were analysed using content analysis.

The interview method is highly recommended when the focus of the study is to explore the meaning associated with a particular phenomenon (Robson & McCartan, 2016 ). For the purpose of this study, semi-structured interviews and semi-structured focus groups were conducted. Interview questions were informed by the literature/desk top review, the results of the online survey, and agreed within the research team. While semi-structured interviews were considered to be the most appropriate method for data collection, as this enabled the curation of views on the perspectives explored, to enhance the credibility and replicability of the study, focus groups were also conducted. This dual approach to collecting qualitative data allowed within the focus groups a sense of greater security, where the group dynamic allowed participants to build on one another's responses and generate ideas that they might not have thought of in an individual interview. Furthermore, the strategy of conducting the focus groups first provided the opportunity to follow up issues and perspectives into more detail from a single perspective.

In evaluative studies, the quality of the information collated is dependent upon the quality of the interview process; to ensure consistency, an interview guide was developed using the principles of PROMPT (Open University, 2024 ) and key suppositions based on the experiences and wisdom of the participants and available literature. This exercise contributed to the validity and credibility of the data collection tools within the evaluative framework (Robson & McCartan, 2016 ). Purposive sampling was used to conduct a series of 34 interviews and 14 focus group interviews. Data collected from both focus groups and interviews were analysed using thematic analysis (Braun & Clarke, 2006 ), transcribed verbatim, coded, and used to analyse similar and comparative themes or patterns to establish key findings.

Results from the survey

The survey posed 10 key questions:

Question 1: What is the scope of social entrepreneurship, especially in a price sensitive market like India ?

The responses (65%) indicate that many feel the scope for social enterprises is huge but that new social enterprises face fundraising challenges. Market competition hinders the growth of social enterprises and catering to Indian market. 50% of the respondents suggested that social enterprises need to price their products/services at a cheaper cost than competitors but this leads to issues with sustainability.

Question 2: Do you see a growing trend in inclination towards social enterprises among Indian youth?

Generally, the participants (70%) perceived that the youth is generally more aware about the environmental and social issues, and are able to understand the role of social entrepreneurship and social enterprise. Participants suggested that there is a sense of responsibility in the younger generation and imply that this group is more innovative and environmentally conscious, so they are more aware of the social enterprise concept as it blends social and economic strategy to respond to social challenges.

Question 3: Are there any incentives and schemes by the Indian and state governments to encourage social enterprise?

Many participants (75%) expressed that, over the past 10 years, the government has been encouraging and continues to encourage social innovation, technological solutions, and a number of schemes have been announced during the past decade to support young entrepreneurs, such as Avishay Capita, Atal Innovation Mission, Support for International Patent Protection in Electronics & Information Technology (SIP-EIT), National Skill Development Corporation, Start-Up India Programme, MeitY Start-up Hub, Start-Up India, and the Stand-Up India Scheme.

Question.5: What could the government or society do to encourage social entrepreneurship?

The respondents had many suggestions that could be taken up by the government and society to encourage and promote social entrepreneurship in the country:

The provision of incentives and financial aid to new social enterprises.

Launching courses and education programmes in schools and universities to raise awareness regarding the concept of social entrepreneurship.

Setting up incubation centres and innovation centres across the country.

The provision of tax benefits to new social enterprises, at least in their initial years.

People, as a society, need to support small-scale social enterprises over large-scale manufacturing houses who are able to provide goods and services at lower costs.

Question 6: What are the main barriers to the development of social entrepreneurship in India?

The overwhelming response was that issues linked to funding are the most critical barrier. There is also lack of awareness among participants about how to harness support for innovative ideas; educational institutions have not been teaching social enterprise courses, and complex regulatory frameworks and bureaucratic procedures are significant barriers in conjunction with a lack of skill and capability development programmes and capacity building. Some participants highlighted that they had opportunities provided by a local university; however, these were not experienced by all.

Question 7: Should the concept of social entrepreneurship and innovation be incorporated into the education curricula?

The response was distinct; it was clear that the participants viewed universities as having a role in challenging the old paradigms of business schools that prioritise profit maximisation. Higher education institutions (HEIs) were viewed by some as engaging with the social enterprise sector in order to discover sustainable solutions for concerns around economic and social disparity and justice. However, this was found to be regionally disparate. All participants agreed that universities should be promoting knowledge and understanding of social enterprise.

Question 8: Do you think the concept of social enterprise requires additional skill development training programmes in higher education settings?

Universities were perceived as income generators within a local community, and most importantly, are seen as a hub between different institutions (public, private, and non-government organisations). Each participant commented that additional skills are needed to fulfil the role of the social entrepreneur.

Question 9: Is the emergence of social enterprise a potential alternative development channel to rapidly shifting Indian policies?

Rich and uniform answers were provided as a response to this question. Participants viewed the growth of social enterprise as significant over recent years. In particular, uniformly they viewed social enterprise as demonstrating spectacular growth in India, with the country being referred to as ‘a social enterprise superpower’ by Think, a social action think-tank and action hub, as well as ‘a hotbed for social enterprise’ by Beyond Profit magazine, a leading social enterprise magazine. Social enterprises have been extremely effective in driving development in India, which is home to one of the world’s largest populations still living in poverty.

Question 10: Indian Social enterprises are very active but operate as NGOs, small- and medium-sized enterprises (SMEs) or foundations, in the absence of any legal definition that could form a basis for policy dialogue. Do you agree with this?

In spite of India having a legal form that closely mirrors the social enterprise model, 80% of the survey respondents reported that they operate as private limited

companies and they find the lack of legal clarity a huge hurdle. There is growing diversity in the way social enterprises are being registered, with participants commenting that this lack of clarity dilutes their social mission.

Findings from the literature review

The survey findings mirrored what was found within the literature. Social enterprises are perceived as positive change agents; they offer the latest methodologies, innovative solutions, and novel conceptual frameworks. Social enterprises attend to social issues and support marginalised and disadvantaged people by developing innovative community-centred methods to resolve challenging issues. Many understand social enterprise as a transformational trend in the progression towards making standard for-profit enterprises that change themselves to generate social value. Opuni et al. ( 2022 ) present the view that, in a local community context, social enterprises create opportunities and can have a real impact in the geographical area (e.g. in tackling poverty, and in employment, education, and environmental issues).

While reviewing the literature, government programmes, and policy supporting the social enterprise sector were found to be too recent to provide evidence of long-term impact. However, there are early results from adaptations to selected local contexts in developing countries that can inform policy design for those governments that are considering the social enterprise agenda as part of their strategy to achieve the UN’s Sustainable Development Goals (SDGs). Indian social enterprises are very active but operate chiefly as NGOs, small- and medium-sized enterprises (SMEs) or foundations. Enterprises operate in the absence of legal definitions or even a commonly shared operational definition that could form the basis for policy dialogue among the various stakeholders. Nonetheless, India has commenced a policy dialogue around the social enterprise sector and has recently adapted policy sections that provide a vehicle for engaging with social entrepreneurs. A special social enterprise section has been included within the Enterprise Policy, adopted in 2015 by the Ministry of Skills Development and Entrepreneurship. It provides 14 definitions and specifies forms of support for social enterprises, which includes higher education courses, fiscal incentives for social investment, incubation, grassroots technology hubs, and engagement on innovation with existing entities such as the National Innovation Foundation. Despite the government promoting an ecosystem to encourage social business, impact investment, and social enterprises, the on-the-ground realities of running a social venture remain daunting. However, these changes are pointing to a bright future for India's social entrepreneurship scene.

With an estimated two million social enterprises in India, it is one of the most dynamic social entrepreneurship environments globally. In their 12th Five Year Plan (2012–2017), the Government of India ( 2011 ) accorded priority to Bottom-of-the-Pyramid (Bop) focussed enterprises and social good ventures by declaring the period between 2010 and 2020 as the ‘decade of innovation’. The government is committed to helping social enterprises in capacity building by investing seed capital through a fund called the India Inclusive Innovation Fund (IIIF) in areas of healthcare, energy, urban infrastructure, water, and transportation. IIIF has been capitalised to INR 5000 crores (USD 780 million) and was to be allocated to social enterprises over the 10-year period starting 2010; 20% of a social venture’s funds came from this fund while the remaining 80% will have to come from private investors.

The COVID-19 pandemic has clearly highlighted the critical significance of strengthening systems and building resilience across communities—principally among those living in severe scarcity and who are most at risk during these major disruptions. A social innovation approach puts competence to harness innovation at the hub of community solution orientate problem solving. However, this necessitates a distributed and dispersed arrangement where innovation and social enterprise connects through networks. Halsall et al.( 2020 ) assert that in addition to developing the traditional learner-teacher relationship, pedagogical restructuring needs to take place in regard to social entrepreneurial skill development and that this should take two forms: (1) changes in the curriculum, and (2) changes in the techniques of teaching and learning. The illustration by Snowden et al. ( 2023a , 2023b , 2023c ) presents a conceptualisation of this remodelling of enterprise education, which is developing at various levels globally, as illustrated by the UK—the India Research Initiative ( 2019 ) annual report, the Developing Inclusive Creative Economies (DICE) ( 2019 ), and the British Council ( 2016 ).

Two projects illustrate how this remodelling is influencing the development of social enterprise. The first is a collaborative project between Kirori Mal College, University of Delhi, and the University of Huddersfield. This project formed a collaboration and works in partnership with several stakeholders, including new and existing social enterprises, and has developed a series of educational tools and packages that have advanced social enterprise within a number of different contexts. The second example is the Tamil Nadu Polytechnic College, Madurai, India, project. The aim of this project was to promote the use of ICT and smart classrooms to enhance teaching and learning. This project achieved success via a 30% improvement in teaching materials, a 40% increase in staff using integrated teaching methods, a 40% increase in acquisition of knowledge outside traditional sources of information, and a 10% overall increase in academic performance. Undoubtedly, a symbiotic relationship must develop between social enterprise to be successful, and indeed for HEIs to fulfil their role successfully.

The following assumptions were made about what policy is potentially relevant to social enterprises:

Policies or programmes affecting or targeting SMEs have the potential to include some social enterprises.

Policies and plans influencing organisation registering and governance of organisations and enterprises have the potential to influence social enterprise, given that they register in multiple forms.

Policies or programmes targeting low income and disadvantaged groups in terms of improving their livelihoods and/or access to social services have the potential to influence some social enterprises.

Policies or strategies deliberating financial growth, industrial expansion, sector-level development, or social development have the potential to affect social enterprises.

Qualitative findings

The results from focus group discussions bring out common concerns that were reflected and emphasised by further probing in the individual interviews, reaffirming the reliability of the findings. Participants expressed the consistent view that the social enterprise situation in India has changed considerably in recent years and was dynamic in response to societal trends. The participants were asked about the major objectives for setting up a social enterprise. The most frequently specified aim of social enterprises in the focus group discussions was generating employment (70% of participants), followed by social inclusion (45% of participants), improving health (40% of participants), protecting the environment (40% of participants), addressing social exclusion (40% of participants), supporting agriculture and allied activities (36%), empowering women (35%), promoting education (40% of participants), and supporting vulnerable groups (23% of participants).

At present, though the Indian government has supported social entrepreneurs there are still substantial funding challenges, meaning they often fail to secure start-up capital. There are a limited number of financial institutions that lend financial support to social entrepreneurs, as they hold a misconception that these organisations are not profitable. Participants were invited to propose how social entrepreneurship could be improved, the data collected identified three themes:

Enhancing and expanding research and education on social enterprise and social economy in schools and universities, which might help to develop both local knowledge and the talent pipeline.

Encouraging private and public procurement channels to be more inclusive, enabling the procurement of services and goods from social enterprises that impart social and environmental value.

The creation of incentives for funding and investment.

It is evident from each data set that there are significant growth plans for social enterprise; for example: the majority of surveyed social enterprises is looking to enlarge their scope, reach new areas, and increase their customer base by developing new products and services. A disturbing observation notable in both the literature review and commentary from participants was the barrier associated with recruitment. The foremost recruitment challenge was perceived to be finding and retaining junior to mid-level talent, with a lack of awareness and understanding of social enterprise identified as key contributory features. Respondents were asked during the interview discussions about funding and finance they have received since they started operating. The nature of funds received primarily consist of funding from the government; endowments from foundations; indentures from the government; fees, sales, and charges; and aids—cash and in-kind (e.g. apparatus, volunteer time, etc.). The nature of finance received comprised of: capital grants; concessional loans (loans with below-market interest rates); commercial finances (market interest rate loans); and equity or equity-like investments. Of the respondents surveyed, 40% count on grants from foundations, and 28% of social enterprises got funds from philanthropists and charities; capital grants (24%); commercial loans (27%); funding from government schemes (25%); contracts from governments (18%); and concessional advances lower than the market rate (14%).

There is a significant variance between the funding of social enterprises and conventional commercial organisations. Of the social enterprises surveyed, 40 faced difficulties gaining access to investors due to inadequate networks. This was significant in some areas, where support establishments are rare and social enterprises are limited. For example, there is significant social enterprise presence in Maharashtra and Karnataka as compared to Utter Pradesh or North East states. Nearly 30% of the social enterprises recognised a lack of access to debt/equity as a key stumbling block. New social enterprises are moving to repayable finance to establish and expand their businesses. New generation social enterprises are also tapping into diverse, non-traditional funding sources; for example: crowd funding, using social media like Facebook’s ‘internet.org;’ social loans from Milap (an online micro-lending platform); and educational institutions and consortia, etc.

An incidental issue that raised during the interviews was related to incorporation of the concepts of social entrepreneurship and innovation within high school curricula. The perception of the participants encouraged incorporation and encourage students to explore new business ventures that provide self-employment opportunities as well as enabling them to contribute to developing solutions to social problems; for example, by improving health outcomes that exploit innovative approaches. Indian social enterprises are very active but operate as NGOs small- and medium-sized enterprises (MSMEs), or foundations, and lack legal definition that could form a basis for policy dialogue. A legal definition of a social enterprise would promote a self-sustaining model that could generate the financial resources to support operations, but also to enhance scalability, develop awareness, and promote social enterprise as a career option alongside the more commonly recognised professions.

The Government of India is making positive steps towards this by promoting incentives and schemes by Indian and state governments:

The central government's Atal Innovation Mission (AIM) was established to encourage innovation and entrepreneurship throughout India. It consists of programmes that support and fund social entrepreneurs, such as Atal Incubation Centres, Atal Tinkering Labs, and Atal New India Challenges.

The National Skill Development Corporation (NSDC) supports social entrepreneurs operating in industries like healthcare, agriculture, and renewable energy with funding and training. The NSDC focuses on skill development.

Start-Up India is a programme that intends to promote the development of new businesses, especially social enterprises. It offers advantages like tax breaks, simplified compliance procedures, and access to investment through several government-backed programmes like AIM and Fund of Funds for start-ups.

While government initiatives and schemes provide a foundation of support, additional resources and partnerships are typically necessary. There are few incentives and schemes by the governments at either national or state levels to encourage social enterprises. The Atal Innovation Mission (AIM) was set up NITI Aayog in 2016, which aims to promote the innovative and entrepreneurial mindset among school and university students, and the private and MSME sectors across the nation. AIM is mandated to promote a culture of innovation and entrepreneurship in India. Through Atal Incubation Centres—or AICs—at universities, institutions, and corporations, AIM is creating an ever-evolving ecosystem of start-ups and entrepreneurs. These business incubation centres aim to foster and support world-class innovations and dynamic entrepreneurs, who want to build scalable and sustainable enterprises. To date, AIM has successfully operationalised 69 AICs in 18 states and 3 Indian union territories. These AICs support incubated start-ups by providing world-class technical facilities, resource-based support, mentorship, funding support, partnerships and networking, co-working spaces, and laboratory facilities, among other modes of support. More than 2,900 start-ups have been supported by these AICs, of which 900 + start-ups are led by women and have created 30,000 + jobs in the ecosystem. Ministry of Electronics and Information Technology's (MEITY’s) Start-up Hub (MSH): MSH acts as a national coordination, facilitation, and monitoring centre that integrates all the incubation centres, start-ups, and innovation-related activities of MEITY, which aims to promoting technology innovation, start-ups, and the creation of intellectual property. 3. Start-Up India’s Stand-Up India scheme launched on 15 August, 2015; Start-Up India is a flagship initiative of the Government of India, intended to catalyse start-up culture and build a strong and inclusive ecosystem for innovation and entrepreneurship in India. In most cases, social enterprises do need external aid, whether in the form of capital or mentorship, mostly due to lack of education about the concept and lack of financial aid schemes.

The Indian government has announced policies and 63 incentives, such as the AIM and Start-Up India schemes, to support social entrepreneurship. The UK has a vigorous legal framework for social enterprises, with the Community Interest Company (CIC) structure explicitly intended for them. The UK government has executed numerous policies and programmes, including the Social Value Act and Social Investment Tax Relief, to endorse and support social enterprises. Funding and Investment: India: Impact investment and social finance in India are rising, but access to investment for social enterprises can still be challenging, particularly for early-stage ventures. Old-style funding sources, such as banks and venture capitalists, have limited exposure to the social enterprise sector.

India has seen the emergence of incubators, accelerators, and support organisations focussed on social entrepreneurship. These organisations provide mentoring, networking opportunities, and capacity-building programmes for social enterprises. However, the ecosystem is still evolving and expanding. Nonetheless, India's social enterprise sector is growing rapidly, and the government is increasingly recognising and supporting social entrepreneurship. With the right policies and support, India has the potential to further strengthen its social enterprise ecosystem and increase its impact. A much-neglected area, as highlighted in this study, is the importance of education—in particular, the role that higher education institutions can play.

Recent studies (Halsall et al., 2022b ; Snowden et al., 2023b , 2023c ) highlight the value of delivering a curriculum that will develop the key skills and qualities of a social entrepreneur. Halsall et al. ( 2022b ) and Snowden et al. ( 2023b ) present six components of a proposed social entrepreneurship curriculum and recommend that they should be delivered within a heutagogical approach. The six characteristics include:

Institutions—structures of rules and norms that develop social change in society. In this context, an institution is a personal business, governmental, or education establishment. Here, institutions are, overall, seen to have an important effect on citizens in society.

Stakeholders—key individuals and organisations contributing to social enterprise, for example this may include: learners, i.e. those who want to learn the skills associated with social enterprise; educators, i.e. those who ‘teach’ or facilitate learning about social enterprise; entrepreneurs, i.e. those who are contributing to society and developing social enterprise.

Teaching and Learning—a process whereby the learner gains skills and understanding.

Personal Skills and Capability—a framework for skills and knowledge growth from a social entrepreneur development perspective.

Curriculum—centrally driven by knowledge, practices, and critical engagement.

Work Placement—a period in which the learner can experience expertise in the employment or specific sector they want to enter.

The data collected from the study also demonstrate that despite the importance of social enterprise in society, students are still studying theories as opposed to acquiring practical skills. Hence, there is an urgent need to encourage students to learn by doing, and to develop an understanding of how to collaborate and engage with each other to address social problems. As emphasised by Halsall et al. ( 2022a , 2022b ), engagement can only take place if the stakeholders, both actual and perceived, engage in the transformational process, providing opportunities to acquire the capability and skills through work-based learning and internship opportunities alongside constructive mentorship are offered.

However, education must also take place in practice. Strengthening of the emerging social enterprise ecosystem is achieved by:

The development of capacity building and entrepreneurship support. Developing entrepreneurship and incubation programmes that focus on social enterprise development; the provision of training, mentorship, and technical assistance to social entrepreneurs is key to this.

The promotion of partnerships between academic institutions, incubators, and industry experts to offer specialised courses and programmes on social entrepreneurship and social innovation would develop social entrepreneurs’ capability, skills, and knowledge base.

Encouragement of a community of praxis via the development of support networks and platforms that facilitate knowledge sharing, collaboration, and peer learning among social entrepreneurs and innovators.

While from a more strategic viewpoint this ecosystem can be strengthened by:

The introduction of policies that promote social enterprise and that encourage social procurement by encouraging government agencies and corporations to prioritise procurement from social enterprises rather than multinational corporations. This should include the simplification and creation of transparent procedures that allow social enterprises to access government tenders and contracts, providing them with fair opportunities to compete. Encourage corporations to include social enterprises in their supply chains and foster partnerships between social enterprises and private sector entities.

Impact Measurement and Reporting: The development of standardised frameworks and guidelines for the measurement and reporting of social impact, ensuring consistency and comparability across social enterprises. Support and training should be provided to social enterprises to build their capacity in impact assessment, monitoring, and evaluation, and the adoption of impact measurement tools and technologies should be encouraged to enhance accountability and transparency.

Collaboration and knowledge-sharing platforms should be established to connect social enterprises, government bodies, academia, civil society organisations, and traditional businesses to create a robust social innovation ecosystem. Dedicated social innovation centres and incubation hubs should be established across the country, providing physical spaces, mentorship, and networking opportunities for social entrepreneurs.

Research and development in social innovation should be promoted, with the support of partnerships between universities, research institutions, and social enterprises to enable them to address pressing social challenges.

Implementing these policy suggestions can create an enabling environment for social enterprises and social innovation in India, driving inclusive economic growth and sustainable development while addressing critical social and environmental issues.

The development and agreement of a uniformed legal framework for social enterprise development will consolidate the approach to social enterprise and promote sustainability. There is a consistent view demonstrated within the study’s findings that a legal framework will benefit social enterprise growth. The espousal of legal frameworks typically indicates that social enterprises are significant to establishments. In countries where legal frameworks for social enterprises were introduced, they have been beneficial both socially and economically. A clearly defined characterisation that is widely accepted provides structure, clarity, and additional authority as opposed to a working definition that produces de facto social enterprises. The design of a clear and uniform policy also helps to promote the identity of the social entrepreneur role, encouraging professionalisation. An enhanced and improved empathetic view of what social enterprises mean and how they function regarding funders and establishments will contribute to sustainability and advancement of the discipline.

Conclusion and recommendations

This paper provides an exploration of the issues associated with the integration of social policy dimensions into social entrepreneurship education and makes the following recommendations:

The Indian government should implement measures to foster a supportive environment by utilising suitable legal and fiscal tools. This would encourage MSMEs to transition from the unorganised to the organised sector and promote their corporatization. Furthermore, the government should stimulate higher investments in innovative and knowledge-based ventures, as well as in research and development, by enhancing collaborations between industry and academic institutions.

The social enterprise ecosystem will continue to grow rapidly and will attract interested stakeholders. Social enterprise has the potential to address societal needs, and it will bring a positive impact to society.

The social enterprise ecosystem in India operates in an unorganised fashion. It needs a platform for communicating social and economic values and to leverage business opportunities.

To streamline and establish institutional structure for standard setting and the measurement of impact.

Social enterprises in India need to develop a managerial framework that can be adapted to offer guidance to new and emerging social entrepreneurs. This could help to cut the number of errors new social entrepreneurs make and enable them to manage their organisations in a more professional manner.

There is immense potential to link social enterprise to corporate social responsibility. Social enterprises can avail numerous benefits apart from funding if policy regarding corporate social responsibility is streamlined in a coherent manner.

Furthermore, to provide support at a fundamental level, the government should aim to set up a technical advisory team whose role is to mentor emerging social enterprises and provide them with guidelines on registration, funding, management, business, networking, expansion, collaboration, and innovation. The necessity for an all-in-one, exclusive social enterprise policy in India is clear; it would act as a singular source of wisdom, guiding approaches and providing solutions to many of the issues that occur frequently in social enterprise operations.

While this research has significant limitations, it paints a common and consistent picture of the key determinants of social enterprise. Social enterprises are attracting increasing research and academic consideration around the world. By implementing supportive policies, governments can create a sustainable ecosystem that nurtures social entrepreneurship and contributes to inclusive and sustainable development.

Policymakers need to develop a clear understanding of why, when, and how to regulate social enterprises and the impact that legislation (or lack thereof) can have for their development. The need for regulation for social enterprises is context-based: motives and outcomes of legal frameworks reflect local conditions, which means that what works within the broader legal and regulatory frameworks of one country may not in another and vice versa. Legal frameworks may provide recognition and visibility, as well as access to financial incentives and support, to markets, and to support services that facilitate starting, developing, and growing social enterprises.

Higher education increasingly requires institutions to evidence their worth and address the issue of employability within the curriculum. Traditionally, the focus is largely on young undergraduates who are studying full time and preparing for their first job. However, students enrolled on higher education courses within further and higher education institutions are not primarily concerned with their ability to get that first job, but their ability to keep their current job and/or progress on to the next job. Current employability strategies are concerned with generic skill development. Drawing upon a student centred approach to learning, drawing upon the principles of heutagogy, that focuses upon the development of a social entrepreneurial skill set and related capabilities is required.

Social enterprises are promoted as a solution to the socio-economic challenges posed to the challenges presented of the post-COVID-19 pandemic world. The innovative use of entrepreneurial skills and spirit to address social issues, though not a new concept, surpasses traditional frameworks and is essential for meeting the evolving demands of the modern world. To ensure equality and parity, society today demands that graduates develop new skills, abilities, and knowledge that are responsive to the challenges of the day—i.e. that they become an individual who is able to create social value by generating innovative solutions through a process of social entrepreneurship.

This paper illustrates that social enterprise is complex and dynamic; it is a multifaceted change process through which social entrepreneurs offer economic inclusion and social engagement to different global communities and social groups through creative, solution-orientated strategies (Halsall et al., 2022b ; Snowden et al., 2021a , 2021b ; Oberoi et al., 2018 ). The global community sits on a on a fulcrum; societal and global challenges are distinct and reflect the pervasive inequalities within global society, a response to the needs of today’s dynamic global society is demanded, and social enterprise provides a resolution to these challenges. The recent statement by the United Nations issued in Spring 23 (Unted Nations 2023 ) reaffirms this and calls for global institutions and nations to enable the development of social entrepreneurship skills and capabilities to meet the goals of Sustainable Development Goals.

These include social inequality and injustice, public health, and socio-environmental issues as they present in society, and distinctly, the manner in which the issues empower communities and groups locally, nationally, and globally. Indubitably, the development of a ‘new’ curriculum to develop must be achieved within a cross-disciplinary framework that is both global and hauntological in nature. It is clear that the emerging social enterprise curriculum should be multifaceted and complex, like the concept itself; this would, therefore, enable the learning experience to be dynamic and context specific, and ensure that the needs of the social entrepreneur, community, and society are met by the training provider in the form of the higher education institution.

There is a significant opportunity for policy leaders to shape the future of Indian society. Key to this is the development and adoption of a clear policy to enable social entrepreneurs to fulfil their potential. However, to support this development, opportunities must be realised in relation to learning, and can be developed via the teaching and learning curriculum in terms of skills and development. Without the adoption of a clear pedagogic model to support policy development, the realisation of social enterprise will not be achieved.

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Acknowledgements

This paper would not have been possible without the inputs from various social entrepreneurs and directors of social enterprises and CISE students, particularly our research assistant Adarsh Sachan from KMC, who helped us to carry out focus group discussions and data collection. A special thank you to those who took time out of their busy schedules to share their entrepreneurial journeys with us.

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Department of Political Science, University of Delhi, New Delhi, India

Roopinder Oberoi

Department of Social Entrepreneurship, Rollins College, Winter Park, FL, USA

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Snowden, M., Towns-Andrews, L., Halsall, J.P. et al. Integrating social policy dimensions into entrepreneurship education: a perspective from India. Entrep Educ (2024). https://doi.org/10.1007/s41959-024-00125-6

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Making Learning Relevant With Case Studies

The open-ended problems presented in case studies give students work that feels connected to their lives.

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To prepare students for jobs that haven’t been created yet, we need to teach them how to be great problem solvers so that they’ll be ready for anything. One way to do this is by teaching content and skills using real-world case studies, a learning model that’s focused on reflection during the problem-solving process. It’s similar to project-based learning, but PBL is more focused on students creating a product.

Case studies have been used for years by businesses, law and medical schools, physicians on rounds, and artists critiquing work. Like other forms of problem-based learning, case studies can be accessible for every age group, both in one subject and in interdisciplinary work.

You can get started with case studies by tackling relatable questions like these with your students:

• How can we limit food waste in the cafeteria?
• How can we get our school to recycle and compost waste? (Or, if you want to be more complex, how can our school reduce its carbon footprint?)
• How can we improve school attendance?
• How can we reduce the number of people who get sick at school during cold and flu season?

Addressing questions like these leads students to identify topics they need to learn more about. In researching the first question, for example, students may see that they need to research food chains and nutrition. Students often ask, reasonably, why they need to learn something, or when they’ll use their knowledge in the future. Learning is most successful for students when the content and skills they’re studying are relevant, and case studies offer one way to create that sense of relevance.

Teaching With Case Studies

Ultimately, a case study is simply an interesting problem with many correct answers. What does case study work look like in classrooms? Teachers generally start by having students read the case or watch a video that summarizes the case. Students then work in small groups or individually to solve the case study. Teachers set milestones defining what students should accomplish to help them manage their time.

During the case study learning process, student assessment of learning should be focused on reflection. Arthur L. Costa and Bena Kallick’s Learning and Leading With Habits of Mind gives several examples of what this reflection can look like in a classroom: 

Journaling: At the end of each work period, have students write an entry summarizing what they worked on, what worked well, what didn’t, and why. Sentence starters and clear rubrics or guidelines will help students be successful. At the end of a case study project, as Costa and Kallick write, it’s helpful to have students “select significant learnings, envision how they could apply these learnings to future situations, and commit to an action plan to consciously modify their behaviors.”

Interviews: While working on a case study, students can interview each other about their progress and learning. Teachers can interview students individually or in small groups to assess their learning process and their progress.

Student discussion: Discussions can be unstructured—students can talk about what they worked on that day in a think-pair-share or as a full class—or structured, using Socratic seminars or fishbowl discussions. If your class is tackling a case study in small groups, create a second set of small groups with a representative from each of the case study groups so that the groups can share their learning.

4 Tips for Setting Up a Case Study

1. Identify a problem to investigate: This should be something accessible and relevant to students’ lives. The problem should also be challenging and complex enough to yield multiple solutions with many layers.

2. Give context: Think of this step as a movie preview or book summary. Hook the learners to help them understand just enough about the problem to want to learn more.

3. Have a clear rubric: Giving structure to your definition of quality group work and products will lead to stronger end products. You may be able to have your learners help build these definitions.

4. Provide structures for presenting solutions: The amount of scaffolding you build in depends on your students’ skill level and development. A case study product can be something like several pieces of evidence of students collaborating to solve the case study, and ultimately presenting their solution with a detailed slide deck or an essay—you can scaffold this by providing specified headings for the sections of the essay.

Problem-Based Teaching Resources

There are many high-quality, peer-reviewed resources that are open source and easily accessible online.

• The National Center for Case Study Teaching in Science at the University at Buffalo built an online collection of more than 800 cases that cover topics ranging from biochemistry to economics. There are resources for middle and high school students.
• Models of Excellence , a project maintained by EL Education and the Harvard Graduate School of Education, has examples of great problem- and project-based tasks—and corresponding exemplary student work—for grades pre-K to 12.
• The Interdisciplinary Journal of Problem-Based Learning at Purdue University is an open-source journal that publishes examples of problem-based learning in K–12 and post-secondary classrooms.
• The Tech Edvocate has a list of websites and tools related to problem-based learning.

In their book Problems as Possibilities , Linda Torp and Sara Sage write that at the elementary school level, students particularly appreciate how they feel that they are taken seriously when solving case studies. At the middle school level, “researchers stress the importance of relating middle school curriculum to issues of student concern and interest.” And high schoolers, they write, find the case study method “beneficial in preparing them for their future.”

September 16, 2024

Developing African-Focused Case Studies for Impact in Teaching and Learning

Why Case Studies on African Businesses?

Since the publication of the first formal standalone case study, “General Shoe Company” by Clinton P. Biddle, by the Bureau of Business Research under Harvard Business School in 1921, over 100,000 case studies have since been developed. These cases have been utilized in training, mainly at the executive education level and in academic programs in leading institutions of higher learning globally. This is not to suggest that there were no case studies before 1921; faculty most likely used real-industry examples to reinforce content based on their lived experiences. However, these instances may not have been formally documented. Further, most case studies have historically focused on organisations in more established economies.

Over time, there has been a growing demand for case studies for use in teaching and learning in higher educational institutions in Africa and other developing economies. Rather than sitting back and watching, I decided to act. With the aid of a small but dedicated team at Strathmore University Business School (SBS), we established the Strathmore Africa Case Centre (SACC). You can explore the platform and its content at https://sacc.strathmore.edu/ to get a feel of some of the case studies we have documented so far.

What is a Case Study?

A case study for teaching and learning in higher education is defined as “a story and a teaching vehicle which presents participants with a critical management, leadership, or related issue, involving a dilemma of some urgency for analysis” ( https://sacc.strathmore.edu/author_guidelines ). It engages participants in a practical, applied, and lively classroom debate as they analyse and discuss the case. A typical case ranges from 3 to 15 pages, with enough content to keep participants actively engaged for over 90 minutes. Case studies can range from “armchair” (desktop research) to field studies, or multimedia cases that combine print, audio, video, animation, and other interactive elements.

Effective Use of Case Studies in Teaching and Learning

In the advent of competency-based education, case studies, when applied effectively, provide a robust learning experience. They reflect real-life situations involving real people making real decisions in diverse contexts. Case studies reveal the dynamics of how individuals think through issues, analyse problems, and make decisions. This diversity is highlighted when a case study clearly identifies actors, the dilemma to be addressed and provides sufficient content to facilitate informed decision-making by participants.

To achieve this, the case writer must develop the study clearly, avoiding bias or “sugar-coating”. The case should be captivating, much like the stories we were told in the old days (and I believe these stories are still being told!). The facilitator must also prepare thoroughly to ensure the intended learning outcomes are well articulated and achieved. This preparation typically requires at least three times the effort needed for delivery, demanding adequate and ample time dedication for better results.

The target participants also play a crucial role. The case must be presented to an appropriate audience, eager to learn from the material. Participants should come prepared, having read and engaged with the case in advance, to contribute to meaningful discussions.

Delivering a case study discussion can involve various techniques, including simulations, role-plays, and other methods that make the experience an exciting adventure. By the end, both participants and the facilitator should feel that the discussions and decisions made during the session were worth their time and effort.

Tapping onto Africa’s organizations to develop African stories

As an academic in Africa, I first encountered formal case studies during my undergraduate studies at Strathmore University in 2006. In my third-year strategy class, I vividly remember a case study on Kenya Data Networks (which later became Liquid Telecom Ltd. after a 2013 sale of 80% stake to Altech Ltd). As a student, I initially struggled to appreciate the structured, in-depth case study compared to the shorter paragraph-long mini-cases I was accustomed to. Navigating through detailed exhibits such as organograms, financials, and other content was a daunting task for a third-year student eager to graduate! Nevertheless, and with great thanks to Dr. Ruth Kiraka (now Professor Ruth Kiraka), I was introduced to the world of real-life case studies documenting real organizations and their decision-makers.

Fast forward 18 years, and I now lead an initiative to document African case studies. Why now? For years, SBS has offered executive programs largely facilitated using case studies purchased from learning global business schools such as INSEAD, IESE, Harvard, Ivey, Stanford among others. While some of these cases focus on African organizations, they are often written by faculty from these schools and may omit certain important contextual nuances. This inspired the creation of the Strathmore Africa Case Centre, with the aim of developing African case studies written by Africans for use in teaching and learning in Africa and beyond.

Africa offers a wealth of experiences that need to be documented. In one of my conversations with a top professor from one of the leading global business schools, he remarked on the level of “resilience” required of an entrepreneur to navigate business environments in Africa, such as managing operations across countries for instance Kenya, then Malawi, onto the Democratic Republic of Congo, and then Nigeria. These experiences are vastly different from those by entrepreneurs in established economies in Europe or the Americas. I wholeheartedly agree. African entrepreneurs’ shared experiences navigating geopolitical challenges while building successful ventures deserve to be documented.

Why African Academics Should Engage More in Developing Case Studies

Developing relatable, high-quality case studies for African universities is crucial for several reasons. First, it allows faculty to connect with industry without the need to work directly in the respective organisations. Within a span of two to four months during the case writing phase, one gets to learn a lot about the target organisation. As a case writer, one gains valuable insights into corporate decision-making and way of life, especially in environments characterized by uncertainty, volatility, and complexity. Through the case writing experience, faculty at all levels can develop a broader perspective and hone their critical thinking and problem-solving skills.

Moreover, writing case studies can position faculty members for roles in the industry such as advisory or statutory board members. These engagements are useful in building one’s professional profile, attracting consultancy opportunities and even research funding. Case studies not only enrich classroom environments but also serve as a bridge to corporate players who might otherwise be inaccessible. Personally, I had the opportunity to train in SBS’s Global CEO program alongside Dr. James Mwangi, Group CEO and Managing Director of Equity Group Holdings Plc, thanks to a case study we documented on Equity Bank’s expansion into the Democratic Republic of Congo. This is just one of many examples of faculty benefiting from writing case studies. I could provide more such examples of other faculty from other institutions of higher learning.

Conclusion and way forward

With the advent of competency-based learning in Kenya and the growing need to instil practical skills in Africa’s labour force, it is essential to recognize the role of applied case studies in education. African academics should be incentivized and recognized for developing structured case studies as part of their career progression. Africa is a continent of approximately 1.5 billion people with an average age of 19, brimming with potential and entrepreneurial energy. Tapping into this potential requires properly documented, unbiased narratives that accurately reflect the realities of African businesses. Those who craft these stories should be celebrated and supported for their contributions.

By: David Mathuva, Senior Faculty, Editor-in-Chief, Strathmore Africa Case Centre, and Associate Dean, Strathmore University Business School, Nairobi, Kenya

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Andrea Padilla

September 17th, 2024, the value of ref beyond academia – from research to development impact.

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Estimated reading time: 7 minutes

The Research Excellence Framework is primarily a mechanism for assessing the quality of research and allocating research funding. However, as Andrea Padilla describes in the context of UK international development, REF outputs and in particularly impact case studies hold value for many actors outside of higher education institutions.

The Research Excellence Framework (REF) plays a crucial role in assessing the quality, impact, and environment of UK research. While it is primarily used within academia for accountability, funding allocation, and benchmarking, the REF’s value extends far beyond these purposes. For those outside academia, it provides a unique opportunity to highlight the real-world societal impacts of UK research.

This is particularly the case for organisations like ours, the UK Collaborative on Development Research (UKCDR), as we found in our recent analysis of REF 2021 Impact Case Studies (ICS). Although significant effort goes into preparing and assessing REF submissions, once the results are out, most Higher Education Institutions and researchers focus on their achievements and start preparing for the next cycle. However, the broader applications of REF’s data, especially in examining the societal benefits of research, are often overlooked.

Organisations like RAND, the British Academy, and UKCDR have taken advantage of REF’s data to explore the real-life impact of UK research.

Organisations like RAND , the British Academy , and UKCDR have taken advantage of REF’s data to explore the real-life impact of UK research. At UKCDR, we found that REF offers an invaluable resource for analysing how UK Higher Education Institutions’ research contributes to solving global challenges, such as climate change, inequality and poverty, particularly in low- and middle-income countries (LMICs). The REF 2021 ICS dataset not only strengthens the case for the transformative power of international development research , but also highlights how UK funders can effectively support impactful research.

A valuable data repository

The depth and open-access nature of REF 2021 data enabled UKCDR to identify 891 international development-related case studies. These were defined as “research that addresses global challenges, in alignment with SDGs, and results in political, economic, social, health or environmental change for the benefit of LMICs, specific regions, and/or the global community.”

Our report, The Landscape of UK Development Research Impact , analysed the non-academic impact of international development research undertaken by UK HEIs between 2013 and 2020, revealing important trends and gaps alongside links between real-life outcomes (what type of impact was achieved) and research practices (how research was conducted).

By categorising ICS based on SDG alignment, geographical impact, partnerships, research users, and funding sources, we gained an overview of development-related research across REF panels and disciplines. We also created a research impact data tool to visualise our analysis, offering an interactive way to explore these categories by REF panels, Units of Assessment (UoAs), and Higher Education Institutions (HEIs).

Insights from REF on development impact

One surprising finding was that international development research occurs across all four REF 2021 panels and all 32 UoAs, including disciplines not traditionally associated with development, such as mathematics and philosophy. Less surprisingly, (for the case studies that included funding data) we found that they were predominantly funded by UK public funds, with 37% coming from Official Development Assistance (ODA) and 63% from non-ODA sources.

One surprising finding was that international development research occurs across all four REF 2021 panels and all 32 UoAs

The ICS demonstrated UK research’s contribution to development across all SDGs, tackling issues from environmental matters like peatland management to improving healthcare practices . The most frequent addressed SDGs were Health and Wellbeing (SDG 3) and Peace, Justice, and Strong Institutions (SDG 16). Geographically, impact was concentrated in India, Kenya, South Africa, Brazil, and Uganda. Through this and other findings, REF data enabled a wider understanding of the UK’s development research and funding landscape.

Evidencing real-world impact

We also used the impact summary and details sections within REF ICS to further explore the real-life impact achieved by UK HEIs. We identified four broad categories and subcategories of development impact:

Most case studies in our study demonstrated multiple types of impact throughout their research cycle. For instance, the University of Northampton’s case study on 3D model-based ultrasonic testing for metal casting led to reduced waste, faster inspections, and cost savings for 17 Indian companies (instrumental impact). Additionally, the research fostered a new training programme for foundry technicians, contributing to long-term skills development (learning and development impact). It also forged partnerships with Indian institutions, further strengthening research and industrial collaboration (networks and connectivity impact).

Leveraging REF for best practices

As we mapped the case studies and gained interesting insights on the types of impact, we moved into exploring the research processes. We chose 10 REF case studies from across UoAs and interviewed both the research teams and end-users to gather their views on the challenges and opportunities in achieving impactful research. As a result, we identified a series of best practices compiled in a new research enablers framework. Centred on flexibility and collaboration, the UKCDR framework outlines six dimensions to support real-life impact throughout the research cycle.

But what kind of case studies featured in UKCDR’s analysis? One of the case studies that we analysed in Realising the Impact of UK International Development Research was submitted by the Royal Veterinary College on addressing schistosomiasis, a neglected tropical disease, using a ‘One Health’ approach . The case study demonstrated the value of taking advantage of various funding approaches and finding alternatives to overcome operational issues. The team used small grants to integrate veterinary and social sciences, highlighting sociocultural factors in disease transmission. Additionally, they explored alternative operational and financial routes to balance contracting requirements with local partners’ capacities and on-the ground realities. This enabled rapid fieldwork implementation, adapting to unforeseen circumstances. This is just one example from the broad range of projects that contribute to international development goals.

Strengthening research for development

Maximising the value of REF is not without its challenges. The submissions are designed for evaluation, not analysis, and the completeness of data varies. However, the publicly available REF database provides a useful resource for understanding (and underscoring) the breath and success of UK research in advancing international development. For research funders, the trends and gaps revealed by the mapping constitute a valuable tool for evidence-based policymaking, thus enhancing the overall effectiveness of the research funding landscape.

The types of impact, best practices and enablers identified through our analysis of REF impact case studies offer ways to enhance the impact of research, informing the overall research community for more coherent and effective outcomes. This contributes to the development of an evidence-based, interdisciplinary and transdisciplinary research ecosystem, crucial for tackling global challenges.

The content generated on this blog is for information purposes only. This Article gives the views and opinions of the authors and does not reflect the views and opinions of the Impact of Social Science blog (the blog), nor of the London School of Economics and Political Science.  Please review our  comments policy  if you have any concerns on posting a comment below.

Image Credit:  Alphavector  on Shutterstock . 

About the author

Andrea Padilla is a Research and Policy Officer at UKCDR. Her role involves providing UK research funders with evidence-based data and best practices to promote coherence, collaboration and joint action among them. Her interests include research impact, innovation policy, research evaluation and funding.

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Using Lesson Study as a tool to cope with instructional challenges: A case study of Chemistry teachers in Nigeria

• Olusegun Fashakin Lagos State Ministry pf Education

Educators encounter many obstacles in effectively planning and teaching students in the classroom. One of the most significant challenges is the constraints imposed by curriculum standards, which can hinder teachers from customizing lesson plans that reflect students' current situations. To address this issue, a research study was conducted to investigate how collaborative professional development using lesson study could support teachers in managing lesson planning and teaching issues in schools. Two chemistry teachers in Educational District IV Lagos State, Nigeria, participated in the lesson study process, were interviewed, and engaged in writing a reflection. The data gathered were transcribed, coded, analyzed, and the results revealed that chemistry teachers face difficulties due to curriculum standards and expectations of national and external examinations. Nevertheless, through lesson study, the teachers recognized the necessity of prioritizing students' nee ds while designing lesson plans to overcome challenges and make chemistry relevant to students.

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• Published: 17 September 2024

The impact of economic freedom on economic growth in countries with high and low regulatory quality—lessons for Viet Nam

• Nguyen Tan Hung 1 ,
• Tran Thi Kim Oanh 1 &
• Chu Thi Thanh Trang   ORCID: orcid.org/0000-0002-7104-4786 1  

Humanities and Social Sciences Communications volume  11 , Article number:  1237 ( 2024 ) Cite this article

Metrics details

This article aims to analyze the impact of economic freedom on economic growth, considering the influence of varying regulatory qualities (RQ) among nations. Analyzing data from 54 countries from 2008 to 2022, Bayesian linear regression results on two sample groups, categorized based on RQ, reveal that economic freedom positively affects economic growth regardless of high or low RQs. Additionally, separate regression analyses for Vietnam indicate no significant difference from other countries. However, control variables uncover differences between the two groups, particularly in corruption control and financial development, with their effects varying across nations. Notably, in Vietnam, government expenditure on education, inflation, fixed capital formation, and population growth rate exhibit regression outcomes contrary to those of other countries in the two groups. The suggested policy implications align with the regression results, aiming to strengthen economic freedom. They support policymakers in achieving this.

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Introduction.

Economic theory posits that economic freedom influences motivation, production efforts, and resource utilization efficiency. Since the 1980s, Ricardo advocated for free markets to stimulate the economy, while Adam Smith, alongside other economists, argued that the freedom to choose and allocate resources, competition in business, trade, and assurance of property rights are central to economic progress (North and Thomas, 1973 ). The meaning of economic freedom has been extended in Smith’s ( 2002 ) research when he elucidated how the invisible hand of the market impacts increasing economic prosperity. While Von Mises, May ( 2005 ) expounded upon the doctrine of freedom, emphasizing the harmony of rightful benefits in a free society based on the principle of private ownership of the means of production. Additionally, this study suggested that the principles of liberalism hinge on knowledge, a profound appreciation of private property, and social cooperation. Von Mises, May ( 2005 ) juxtaposed liberalism with other potential social order systems such as socialism, communism, and fascism.

In his study, Gwartney ( 2008 ) also echoed Friedman’s emphasis on the detrimental effects of restrictions on trade freedom and capital flow management, which can limit trade profits, diminish output and earnings of economic activities, and hinder investment incentives.

Hayek ( 2020 ), a key figure in neoliberalism, argued that government economic intervention would suppress freedom—the primary growth driver. Broad competition, global trade, and asset reliability are foundational pillars of economic growth (Mushtaq et al., 2022 ). It is widely believed that free societies have emerged and developed solely due to economic freedom. This approach to economic management is deemed far more effective than any alternative (Ahmed et al., 2023 ).

The empirical evidence presented thus far supports the idea above, although employing diverse research methodologies across various regions and periods has further confirmed the significant momentum that economic freedom contributes to economic growth (Abate, 2022 ; Sulasni and Surbakti, 2022 ; Sekunmade, 2021 ; Bergh and Bjørnskov, 2021 ; Wu, 2011 ; Altman, 2020 ; Gwartney et al., 2022 ; Panteli and Delipalla, 2022 ).

Economic freedom is intricately linked to institutional quality. Strong regulatory quality preserves economic freedom and fosters macro-political stability, high-quality regulations, a conducive business environment, and effective corruption control. This supports a more efficient economic system, minimizing unnecessary operational costs for businesses and stimulating economic growth (Kesar and Jena, 2022 ; Cebula and Foley, 2012 ). However, studies with controversial findings exist, such as Doucouliagos ( 2005 ) or Uzelac et al. ( 2020 ). Uzelac et al. ( 2020 demonstrated that economic freedom in certain aspects fails to yield a significant impact and may even negatively influence economic growth. Additionally, Mahran ( 2023 ) observed that organizational quality did not significantly affect development in Nigeria Mahran ( 2023 ) or China (Brkić, 2020 ).

The exception underscores the interplay between economic freedom, regulatory quality, and economic growth. This has inspired the authors to undertake extensive research using a large global sample, employing Bayesian regression methodology to analyze two groups of countries with differing levels of regulatory quality. Moreover, the authors conduct a separate analysis of Vietnam, which falls within nations with low regulatory quality. This approach allows for the identification of unique factors specific to the country. Subsequently, policy recommendations tailored to the particular contexts of the country groups and Vietnam are derived.

In addition to the general introduction, the remaining parts of the study are arranged as follows: Definitions; The relationship between economic freedom and economic growth; Description of variables and research data; Research results and discussion; Conclusion and policy implications.

Definitions

Economic freedom.

Adam Smith, a distinguished economist, addressed the concept of economic freedom early on, particularly about the free market, highlighting the pivotal role of competition and market freedom in fostering development. Indeed, economic freedom plays a crucial role in assessing and comprehending a country’s economic and political development. Factors such as private property rights, business management, and market freedom are pivotal in determining the extent of economic freedom. Economic freedom offered a robust, accurate strategy for progress and economic realization (Torstensson, 1994 ). No government can ensure absolute freedom for its citizens, and governments that permit a high degree of freedom hold varying perspectives on what constitutes essential freedoms. This aligns with the nature of freedom, enabling individuals and societies to chart a course toward prosperity (Kesar and Jena, 2022 ). Numerous empirical studies have elucidated the correlation between economic freedom and economic advancement, as Clark and Lawson ( 2008 ) and Cebula and Mixon ( 2012 ) demonstrated. However, these studies often utilize only one or two economic freedom indicators, such as property rights, labor freedom, and economic openness, or simultaneously regress multiple diverse economic freedom indicators (Kesar and Jena, 2022 ).

Later, in 1995, organizations such as the Heritage Foundation and the Fraser Institute took steps to assess economic freedom among countries by constructing indices and releasing the annual World Economic Freedom Rankings. The Heritage Foundation defined economic freedom as the absence of government coercion or restriction on the production, distribution, or consumption of goods and services beyond what is essential to safeguard and uphold citizens’ freedom. The Heritage Foundation’s rankings served as a valuable resource for research and aided businesses and investors in making informed decisions when selecting markets and business partners (Ecer and Zolfani, 2022 ).

Here are the details of the ranking from The Heritage Foundation. The Economic Freedom Index is based on four main aspects and 12 component factors, as follows:

Rule of Law is the first main criterion, including three sub-criteria such as property rights (1), government integrity (2), and judicial effectiveness (3).

Government size, the second main criterion, includes three sub-criteria such as government spending (4), tax burden (5), and fiscal health (6). Regulatory efficiency is the third main criterion, including three sub-criteria such as business freedom (7), labor freedom (8), and monetary freedom (9).

Finally, the main criterion for open markets includes three sub-criteria, such as trade freedom (10), investment freedom (11), and financial freedom (12).

The Heritage Foundation uses a simple average weight method to determine the economic freedom index, considering equal weight values for the criteria (Ecer and Zolfani, 2022 ).

Economic growth

Economic growth is commonly defined as the augmentation of a country’s production capacity, signifying its ability to produce more goods and services over time while discounting the impact of inflation. Furthermore, it is perceived as a sustainable enhancement in the quality of life, closely intertwined with the economic well-being of a nation’s populace. This progression often materializes through the accumulation of material wealth, the development of human resources, and advancements in technology (Deardorff, 2001 ).

Various indicators and methodologies have been employed to gauge the level of economic growth, including the GDP growth rate and per capita GDP growth. Additionally, indices such as the Human Development Index (HDI) and Sustainable Development Index (SDI) offer a multidimensional perspective on development, encompassing economic factors and aspects related to quality of life and social welfare.

However, economic growth is frequently quantified primarily through a country’s gross domestic product (GDP), which needs to account for unpaid social services such as childcare and housework. Nevertheless, economic growth remains a cornerstone of a nation’s economic growth, as it generates overall benefits across various economic sectors and has the potential to enhance the quality of life through the equitable distribution of assets (Razmi and Refaei, 2013 ).

Countries boasting high GDPs often foster conducive environments for private enterprises, creating employment opportunities and bolstering income levels. Higher-income consumers are empowered to make discretionary purchases, thereby augmenting the level of economic freedom within the nation. Consequently, economic freedom and economic growth are interdependent, synergistically contributing to the holistic advancement of an economy (Brkić, 2020 ).

Regulatory quality

Regulatory quality serves as a crucial determinant in the capacity of the regulatory system to ensure transparency, fairness, and efficiency in managing economic and social activities.

Assessment of a country’s regulatory quality encompasses various aspects, including the transparency and fairness of regulations, the ability to mitigate manifestations of corruption, and effectiveness in policy implementation, establishing an accessible and equitable business environment. Conversely, deficient regulatory quality can give rise to market risks and pose challenges to fairness and development (Ciftci and Durusu-Ciftci, 2022 ).

The World Bank has developed the Regulatory Quality Index, which gauged “perceptions of the government’s ability to formulate and implement sound policies and regulations that permit and promote the development of the private sector” (World Bank, 2018 ). Similarly, the Organization for Economic Cooperation and Development has devised the Policy and Regulatory Governance Index, a composite index measuring three primary principles: stakeholder participation, regulatory impact analysis, and post-implementation evaluation. However, within the scope of this article, we adhere to the methodologies outlined by the World Bank, which involve:

Scorecard criteria

Utilizing a scorecard to evaluate each country based on a spectrum of criteria related to institutional quality, encompassing transparency, fairness, and enforcement.

Opinion polls

Conducting opinions among businesses, business communities, and other stakeholders to gauge perceptions of institutional quality and enforcement efficacy.

Document analysis

Examining legal documents, reports, and other pertinent documents to understand how regulations are formulated and enforced in specific countries.

International comparison

Comparing countries’ progress in establishing and implementing policies and regulations to support private sector development.

Ultimately, countries are ranked on a scale from 0 to 100, with 0 representing the lowest ranking and 100 indicating the highest ranking (Kaufmann et al., 2011 ).

The relationship between economic freedom and economic growth in the context of regulatory quality

In the historical and theoretical context of the relationship between economic freedom and economic growth, empirical studies employing diverse research scopes and methodologies have depicted a complex, multidimensional understanding of how economic freedom influences economic growth. Additionally, the quality of regulation exhibits a degree of compatibility with economic freedom in certain aspects, thereby impacting economic growth. With such intertwined relationships, scholars have embarked on endeavors to comprehend the intricate interplay between the regime of economic freedom and its role in shaping economic growth in conjunction with institutional frameworks (Fig. 1 ).

Source: compiled by the author from previous studies.

Encouraging economic growth is a well-established endeavor governments pursue (Djankov et al., 2008 ). Economic growth can stem from endogenous resources like natural resources, capital, and human capital, as well as exogenous forces such as foreign direct investment, technology transfer, or global trade, particularly in an era where globalization is irreversible.

Consequently, governments exert considerable effort to harness all available resources to foster economic growth for their nations. Numerous studies have been conducted to assess and analyze the factors driving economic growth, with research on economic freedom holding particular significance. The findings of these studies consistently reveal a robust correlation between various indicators of economic freedom and economic growth among countries (Dawson, 1998 ; De Vanssay and Spindler, 1994 ; Spindler and Miyake, 1992 ).

One of the pioneering contributions in this field was made by Islam ( 1996 ), who highlighted that countries with higher income levels tend to demonstrate greater economic freedom, while conversely, low-income countries exhibit lower levels of economic freedom. Similarly, Acemoglu et al. ( 2005 ) observed that reduced economic freedom in low-income countries can precipitate a decline in per capita income.

Furthermore, a nation with fewer regulations tends to have greater economic freedom than one with more regulations. Greater economic freedom indicates that the government has established an adequate legal framework and robust law enforcement mechanisms to protect property rights and individual rights (Gwartney and Lawson, 2003 ). Conversely, low economic freedom is observed when the government imposes certain types of taxes, policies, or expenditures that contradict citizens’ choices, freedoms, and market coordination. Based on this observation, we can conclude that the higher a country’s level of economic freedom, the more rapid its economic growth and development.

According to Friedman ( 2010 ), economic freedom can promote economic growth by influencing the efficient utilization of resources. On the other hand, Mamun et al. ( 2020 ) focused not on external resources but on demonstrating that economic growth is driven by a range of endogenous factors, particularly capital formation, regulatory quality, research, and development. The indirect positive impact of economic freedom on economic growth through stimulating physical capital is also established by studies such as (Doucouliagos and Ulubasoglu, 2006 ; Gwartney et al., 2004 ; Chheng, 2005 ; and Al-Gasaymeh et al., 2020 ). Smaller-scale research by Bennett ( 2016 ), conducted across 50 U.S. states and 10 Canadian provinces, also emphasized the positive influence of economic freedom. Specifically, it highlights that components of economic freedom, such as government size, taxation, and labor freedom, lead to an increase in per capita income.

Endogenous growth theories offer a theoretical foundation for understanding the relationship between market openness and economic growth within the framework of deepening globalization. Numerous studies have explored the correlation between economic freedom indicators such as foreign direct investment, free trade, and economic growth. For instance, Gurgul and Lach ( 2011 ) investigated the relationship between economic freedom, foreign direct investment, and economic growth during the transition period of EU countries from 2000 to 2009. Their findings underscored the positive association between enhanced economic freedom, growth, and income development, both theoretically and empirically.

Economic freedom can positively impact economic growth through avenues such as knowledge transfer, capital accumulation, and an improved investment climate (Bayar, 2016 ). Similarly, Kacprzyk ( 2016 ) examined the link between economic growth and five dimensions of economic freedom across a cohort of 28 European Union countries over five years. Kacprzyk ( 2016 ) uncovered evidence that free trade, secure property rights, and regulatory policies positively influence economic growth.

Continuing this line of research and broadening its scope, Sulasni and Surbakti ( 2022 ) conducted a study on East and Southeast Asian countries from 2000 to 2020, a period characterized by economic globalization trends and FDI attraction strategies. Their findings again affirmed that economic freedom and foreign direct investment (FDI) positively impact economic growth, while inflation negatively influences it. Similarly, a study by Ciftci and Durusu-Ciftci ( 2022 ) provided evidence of a causal relationship between economic freedom, FDI, and economic growth for the top FDI-attracting countries between 1995 and 2019. These studies contributed to understanding the crucial role of economic freedom in promoting global competition and international trade, both integral factors for economic growth (Altman, 2020 ; Ahmed et al., 2023 ; Duan et al., 2022 ). Again, empirical evidence suggests that countries with more significant economic freedom experience higher economic growth over the long term. Furthermore, economic freedom is identified as one of the drivers behind cross-border disparities in economic growth (Duan et al., 2022 ).

Economic freedoms play a significant role in a country’s economic growth and prosperity (Brkić et al., 2020 ) and are deemed crucial for bolstering investment in some nations (Assi et al., 2020 ). Countries characterized by high levels of economic freedom typically exhibit less government intervention and enjoy stable markets (Economou, 2019 ; Puška et al., 2023 ). However, exceptions exist to the notion that economic freedom alone guarantees investment attractiveness, particularly when confronted with factors such as democracy and economic growth (Brkić et al., 2020 ). Some studies have provided cautionary assessments regarding the complexity of this relationship, suggesting that alongside its positive aspects, economic freedom may exhibit a negative correlation or be statistically insignificant concerning growth (Doucouliagos, 2005 ). Moreover, a single measure cannot adequately capture the intricate economic environment, and high composite indices may pose challenges in drawing policy conclusions. While economic freedom is crucial for economic growth, increasing economic freedom in a generalized sense may not always translate to positive outcomes for economic growth, as some components of the index may have negligible impacts on economic growth, and even some significant variables may yield adverse effects (Uzelac et al., 2020 ).

Economic freedom and regulatory quality share a close relationship, prompting research into their simultaneous impact on economic growth. Regulatory quality, as explored previously, encompasses various dimensions. La Porta et al. ( 1997 ) delved into legal variables such as adherence to the rule of law, safeguarding property rights, contract enforcement capabilities, and legal heritage, elucidating their causal connection with economic growth. Enhanced government regulations of superior quality foster a more efficient economic system, primarily by reducing interference in market activities and partly by avoiding unnecessary escalation of business operation costs, which can impede economic growth (Cebula and Foley, 2012 ). Ogbuabor, Orji, et al. ( 2020 ) further affirmed that robust institutions and creating a conducive political and legal milieu for individuals and enterprises to thrive can positively influence economic growth.

Moreover, regulatory quality encompasses corruption control and oversight efficacy. Inadequate quality undermines institutional legitimacy (Liu et al., 2018 ). Conversely, effective corruption control can bolster economic growth, a phenomenon observed across diverse economies, including Africa (Fayissa and Nsiah, 2013 ), Asia (Huang and Ho, 2017 ), and Arab nations (Drebee et al., 2020 ). Analyzing institutional variables’ impact on economic activity (GDP) in 19 Central and Eastern European (CEE) countries from 1999 to 2016 revealed significant institutional environment enhancements, particularly in corruption control. Regression outcomes underscored the positive and substantial influences of corruption control and democracy on GDP (Uzelac et al., 2020 ). Ogbuabor, Orji, et al. ( 2020 ) concluded that corruption, governmental inefficiency, weak rule of law, subpar governance quality, and political instability significantly impede growth across 13 West African countries.

Furthermore, regulatory quality can be gauged through governance quality or economic infrastructure, encompassing aspects such as marketization, governmental management capacity, and regulatory frameworks collectively termed “governance” by economists. A robust governance quality constitutes a pivotal determinant of economic growth. Good governance quality facilitates resource efficiency, mandates effective infrastructure policy implementation, safeguards fundamental individual rights, and fosters equitable opportunities for stakeholders, positively impacting growth. Additionally, effective governance, focusing on regulatory quality, optimal allocation of public capital, and efficient anti-corruption measures, can establish a conducive business environment for economic growth. The positive correlation between sound governance and economic growth has been empirically evidenced across numerous regions (Zallé, 2019 ; Drebee et al., 2020 ; Al-Saadi and Khudari, 2020 ).

Beyene ( 2022 ) studied the effect of governance on growth in 22 African countries by exploring the impact of each dimension of governance individually and creating a composite index of governance. The results showed that the aggregate governance index positively impacts growth despite the adverse effects of corruption and individual government performance. This also meant that growth is necessary to improve good governance, while governance drives growth in BRICS countries (Mahran, 2023 ).

From a different perspective, regulatory quality can be understood as the stability of politics. Kesar and Jena ( 2022 ) argued that the political stability of BRICS countries during 2002–2018 positively influenced growth. Meanwhile, Mahran ( 2023 ) demonstrated that corruption follows a U-shaped pattern, where it initially positively impacts economic growth during specific periods and then diminishes. In line with this flow of research, Uzelac et al. ( 2020 ) also affirmed that political stability drives growth, along with legal institutions and economic freedom promoting economic growth. Overall, the legal framework, political stability, and economic freedom shaped the economic reality in the CEE region (Uzelac et al., 2020 ).

Despite experimental results from various studies emphasizing the crucial role of regulatory quality and economic freedom in economic growth across nations, a few studies also highlight these factors’ negative impact. For instance, Ogbuabor, Onuigbo, et al. ( 2020 ) found that organizational quality had an insignificant influence on Nigeria’s development when using an autoregressive distributed lag model. Another exceptional result pertains to China, a unique case where improvements in economic freedom do not always correlate positively with actual GDP growth (Wu, 2011 ). This exception underscores the complexity of the relationship between organizational factors and economic growth.

The above findings underscore the multidimensional nature of economic freedom intricately intertwined with economic growth. Economic freedom emerges as a catalyst for fostering economic advancement. Employing Bayesian research methodologies, this study broadens its scope to encompass 54 nations globally, categorizing them into high and low-regulatory-quality groups. This approach aims to delineate the correlation between economic freedom and economic growth with greater clarity. By delving into the specifics of the Vietnamese case, the study furnishes unique insights into policy implications tailored for both country groupings and Vietnam. These insights are pivotal for optimizing the potential of economic freedom to propel economic progress. Thus, this research augments the ongoing discourse surrounding economic freedom and economic growth, offering nuanced perspectives tailored to diverse regulatory landscapes.

Description of variables and research data

Description of variables, economic growth (gdp).

The economic growth rate (GDP growth,%) determines the economic growth variable. Economic growth is pivotal in a nation’s economic growth, heralding overarching advantages across diverse economic sectors and potentially enhancing the quality of life through equitable asset allocation (Razmi and Refaei, 2013 ; Carlsson and Lundström, 2002 ).

Economic freedom (EF) is measured using the Economic Freedom Index, with the annual Economic Freedom Index from The Heritage Foundation (IEF) considered a paramount yardstick for assessing economic freedom across nations (Ecer and Zolfani, 2022 ). The Economic Freedom Index evaluates ten facets of economic freedom, assigning scores ranging from 0 to 100 to each factor, where 100 denotes maximum liberty. These scores are then averaged to derive each country’s overall economic freedom score. The ten elements encompass business freedom, trade freedom, financial freedom, government spending, monetary freedom, investment freedom, property rights, freedom from corruption, and labor freedom (Wu, 2011 ).

In this investigation, the economic freedom index is not segmented into specific categories; instead, the aggregate levels of economic freedom from The Heritage Foundation, Fraser Institute, and Freedom House have been utilized.

The author employs the RQ Index from the World Bank, designed to assess perceptions regarding the government’s competence in crafting and executing sound policies and regulations conducive to private sector advancement. This index furnishes a country’s score on a composite scale, measured in units of standard normal distribution, spanning from −2.5 to 2.5.

Evaluation criteria encompass a spectrum of factors, including the prevalence of regulations, bureaucratic hurdles confronting businesses, governmental intervention in economic affairs, labor market regulations, tax system intricacy and efficacy, investment appeal, and numerous other considerations deemed pertinent for incorporation into the composite index reflecting institutional quality (Saravakos et al., 2022 ).

In addition, the study also uses a group of control variables included in the model based on previous studies, along with measurement methods and symbols detailed in Table 1 .

Data and model research

Based on Hayek’s 2020 theory on promoting economic growth and inheriting studies on the relationship of economic freedom with economic growth when considering the role of regulatory quality of Abate ( 2022 ), Panteli and Delipalla ( 2022 ), the study’s model is delineated as follows:

\({{GDP}}_{i,t}\) : The economic growth rate of country i in year t

\({{EF}}_{i,t}:\) Economic freedom index of country i in year t

\({{FCF}}_{i,t}\) ; \({{TAX}}_{i,t};{{EX}}_{i,t}\) ; \({{CC}}_{i,t};\) \({{GEOE}}_{i,t};\) \({{FDI}}_{i,t};{{POP}}_{i,t}\) ; \({{LABOR}}_{i,t};\) \({{INF}}_{i,t};\) \({{UNE}}_{i,t};\) \({{FD}}_{i,t}:\) are respectively: Fixed capital formation, Tax revenue, Government expenditure, Corruption control, Government expenditure on education, Foreign direct investment, Population growth rate, Labor force, Inflation, Unemployment rate, and Financial development.

\({\varepsilon }_{i,t}\) : Residual.

The research data includes 54 countries, the period from 2008 to 2022 will be divided into two groups, with differences in regulatory quality. Table 1 below describes in detail the variables and the expected sign of the variables along with the reference source and collection of the variables used in the research model.

Methodology

Bayesian Regression has many outstanding advantages compared to traditional frequentist methods (Berger and Sellke, 1987 ; Allenby, 1990 ). Winter et al. ( 2017 ) conducted a comprehensive assessment spanning 15 years, noting a nearly fivefold increase in the utilization of Bayesian methods in empirical studies from 2010 to 2015.

First, it allows combining prior information with observational data to create a posterior distribution, which is useful when data is limited or expert knowledge needs to be integrated into the model. Second, the Bayesian method provides a point estimate and a posterior distribution, which helps assess the degree of uncertainty in model parameters, providing deeper insight into the variability and reliability of estimates. Third, Bayesian regression can handle complex models with many parameters and interactions well and when sample sizes are small because using prior information helps stabilize estimates and avoid bias overfitting. In addition, Bayesian models are flexible and can be easily extended to include non-linear factors, different distributions of errors, and complex interactions between variables, allowing for better adaptation to many types of data and practical problems. Finally, Bayesian regression provides the full posterior distribution, naturally supporting forecasting and allowing decision-making under uncertainty, optimizing decisions based on these distributions. (Gelman & Shalizi, 2013; Gelman, 2014).

The Bayesian regression method is deemed suitable for this study, which involves data from 2 groups of 27 countries from 2008–2022 and includes 12 variables. Bayesian regression excels in handling heterogeneous and complex data. Data from numerous countries often exhibit significant economic, political, social, and environmental variations. Bayesian regression allows for flexible modeling of these complex characteristics by incorporating country-specific prior information, thereby enhancing the accuracy and stability of estimates.

Bayesian panel data regression effectively manages unobserved heterogeneity prevalent in panel data by integrating fixed and random effects and prior information into the analysis. This method is particularly adept at handling small data samples. Although the study encompasses data from 27 countries, analyzing data from individual countries or years can significantly reduce the number of observations. With its ability to incorporate prior information, Bayesian regression can provide more accurate estimates than traditional methods in small sample sizes.

With 11 independent variables and a prolonged period from 2008–2022, the relationships between variables can be complex and may include non-linear interactions. Bayesian regression allows for the flexible and efficient modeling of these intricate interactions. These advantages make Bayesian regression a robust and suitable tool for analyzing complex, heterogeneous, and uncertain data for this study.

Research results and discussion

Regression results of 2 groups of countries with high and low regulatory quality.

To conduct this study, we calculated the average for the Regulatory Quality Index (RQ) for all countries in the overall sample from 2008 to 2022. Then, the research data was divided into two groups: one group of 27 countries with a higher average RQ index than the world’s average RQ and another group of 27 countries with an RQ index lower than the world’s average RQ.

Descriptive Statistics

The basic statistics of the variables are also divided into 2 sample clusters represented in the two tables below:

The statistical results of the variables for the two groups of countries, each comprising 27 countries, for the period 2008–2022 (Tables 2 and 3 ) reveal that the two groups are divided based on the criteria of regulatory quality. Consequently, there is a significant disparity in the average value of the regulatory quality variable (RQ): 1.402265 in the group with high regulatory quality and 0.154878 in the 27 countries with low regulatory quality.

However, regarding the economic freedom variable (EF), the difference is less pronounced, with respective averages of 7.859714 and 7.133089 for the groups of countries with high and low regulatory quality. The two groups of countries exhibit notable differences concerning the GDP growth rate. Countries with low regulatory quality and economic freedom have an average GDP growth rate of 2.781332. In contrast, the countries with high regulatory quality and high economic freedom index have an average GDP growth rate during the research period of 1.97333.

Bayesian regression results with two groups of countries

Figures 2 , 3 : The analysis indicates that all parameter plots in the model are reasonable, and the diagnostic and correlation plots show low levels of autocorrelation. The plots exhibit consistent patterns and follow a normal distribution. Additionally, the plots demonstrate good mixing, as the autocorrelation coefficients of the plots fluctuate around 0.02, indicating consistency with the simulated distribution density and reflecting all effective lags within the range. Overall, the results suggest that the model is appropriate, and all lags fall within the effective range.

Source: authors’ processing.

The Bayesian method was executed using the Metropolis-Hastings (MH) algorithm, running the regression model 10,000 times, with each iteration producing a regression coefficient. Hence, the regression results table presents the mean values of the coefficients, accompanied by the standard deviation (Std. Dev) of the regression coefficients and the Monte Carlo standard error (MCSE). The MCSE of all parameters is very small (Flegal et al., 2008 ). With this approach, the closer the MCSE value is to 0, the more stable the MCMC chain. An MCSE value smaller than 6.5% of the standard deviation is acceptable, and an MCSE value smaller than 5% is considered optimal (Table 4 ).

The findings in Table 5 indicate a positive correlation between the EF variable and economic growth (GDP) for both groups of countries. This suggests that economic freedom is pivotal in stimulating economic growth across all nations, with probabilities of 0.9984 and 1. This inference underscores the significance of economic freedom in promoting efficient economic activity, both directly and indirectly. Economic freedom contributes to the economic advancement of countries, irrespective of the quality of regulations (Carlsson and Lundström, 2002 ; Gouider, 2022 ; Panteli and Delipalla, 2022 ). This is consistent with the viewpoint advanced by Gwartney and Lawson ( 2003 ), wherein higher economic freedom implies that governments establish effective legal frameworks and robust law enforcement mechanisms to safeguard property rights and individual liberties. These factors act as catalysts for capital accumulation, ultimately nurturing economic growth.

The variable groups, including FCF, FDI, POP, and TAX, positively influence economic growth, with relatively high probabilities overall. However, this probability is even higher in countries with low RQ. Specifically, the FCF variable, which pertains to fixed capital formation, positively impacts economic growth, especially economic freedom, as elucidated by Gwartney and Lawson ( 2003 ). Nasir et al., ( 2021 ) study similarly arrived at this conclusion regarding variables associated with fixed capital formation in a country. Additionally, as evidenced by numerous studies by Sulasni and Surbakti ( 2022 ) and Ciftci and Durusu-Ciftci ( 2022 ), the FDI variable is a vital resource for sustainable growth. FDI facilitates changes in science and technology and process management improvements, enhancing productivity and economic efficiency(Azam, 2021 ; Ziberi and Alili, 2021 ). Inflows of FDI positively impact various aspects, serving as a catalyst for domestic capital and human resources, enhancing managerial and labor skills, fostering the creation of new business sectors, and driving technology transfer, including new products and production processes (Mahran, 2023 ; Kesar and Jena, 2022 ).

TAX–Tax revenue is the primary source of government budget funding, supporting public expenditures, which stimulates economic growth (Nguyen et al., 2021 ). Moreover, it reflects private sector growth, leading to increased tax revenue (Sulasni and Surbakti, 2022 ).

POP–Similar to external capital factors and tax revenue, which influence government spending or the formation of fixed capital in the economy, the population also contributes as one of the input factors affecting a nation’s production scale (GDP) according to the Ricardo production model (Mohamed Sghaier, 2023 ).

Government investment in education (GEOE), LABOR, INF, and UNE all have a negative impact on economic growth in both groups of countries, regardless of the quality of regulations. The probability of this negative impact is even more specific in countries with high RQ.

GEOE: Government spending on education has been found to negatively impact the economic growth rate in 54 countries. Investment in education, particularly in human capital, yields long-term effects. However, in the short term, allocating a significant portion of the budget to education may strain resources for immediate economic growth, as indicated by research findings from Ifa and Guetat ( 2018 ) and Saad, Kalakech ( 2009 ). Moreover, allocating funds to education, especially tertiary education, where economic growth costs are financed through taxes, may outweigh the marginal benefits for economic growth, resulting in a negative impact (Deskins et al., 2009 ). Deskins et al. ( 2009 ) further suggested that it might only be after the economy reaches a certain threshold of development that any investment in higher education will lead to a Pareto improvement and an increase in the economic growth rate.

This relationship is not necessarily linear and can exhibit an inverted U-shape. This aligns with the notion that spending on education is inversely correlated with economic growth until a certain threshold of education expenditure is reached, beyond which the effect becomes positive (Vries, 2015 ).

The variable LABOR is when the labor force hurts economic growth, as Maestas et al. ( 2016 ); Chen et al. ( 2016 ); Mohey-ud-din. ( 2007 ), and (Ali, 2015 ), can be attributed to population aging and the development of labor-replacing technologies. These factors reduce the effect of human labor on economic growth, especially in this era of significant technological changes in recent years.

When inflation (INF) decreases, it fosters a stable macroeconomic environment, contributing to sustainable economic growth (Nguyen et al., 2021 ). High inflation rates can render investments less attractive domestically and internationally due to the uncertainty they introduce about the future. Moreover, high inflation can impact the balance of payments as exports become more expensive, reducing a country’s GDP. This aligns with the research findings conducted by Ruzima and Veerachamy ( 2016 ).

The variable UNE, representing the unemployment rate, exhibits an inverse relationship with economic growth, as evidenced by numerous studies. The economy achieves full labor employment with low unemployment rates, optimizing human capital and generating positive economic effects (Tran et al., 2023 ; Panteli and Delipalla, 2022 ).

CC and FD, exhibit differences between two groups of countries:

In countries with low-Regulatory Quality (RQ), corruption control (CC) and financial development (FD) positively impact economic growth, with probabilities of 0.9901 and 0.5042, respectively. These research results align with Gharleghi’s ( 2020 ) and Tran et al. ( 2023 ) hypotheses and findings. They support Gharleghi’s ( 2020 ) conclusions regarding the varying impact of the informal economy and corruption on sustainable development among countries. Moreover, these findings are consistent with the “grease the wheels” theory proposed by Jiang and Nie ( 2014 ) and Hoinaru et al. ( 2020 ), which suggests that good governance enhances a nation’s competitive capacity, aiding in better control of the informal economy and improving people’s quality of life. Effective corruption control also facilitates sustainable growth in countries with low FD (Zhuo et al., 2020 ). Kesar and Jena ( 2022 ) argued that the political stability of BRICS countries during 2002–2018 positively impacted growth, while corruption exhibits a U-shaped impact, initially influencing growth positively in specific periods before diminishing effectiveness. This illustrates that the variable CC no longer positively impacts economic growth in countries with high corruption control indices and high regulatory quality, with a probability of 0.9789. Consequently, there is a decline in the growth rate of developed countries due to the increased effectiveness of government, political stability, and improved regulation by 1%, according to (Zhuo et al., 2020 ).

Furthermore, the FD variable does not provide positive support for economic growth in countries with high regulatory quality, with a probability of 0.9975. This finding is consistent with the research of Botev et al. ( 2019 ) and Ibrahim and Alagidede ( 2018 ), which suggested that the relationship between financial development and economic growth becomes evident when economies reach a certain level of synchronicity in the development of financial factors such as financial value-added, credit-to-GDP ratio, and stock market capitalization. These factors have varied impacts on economic growth and may diminish the overall effect of financial development. Additionally, other factors, such as overall economic growth and new trade openness, are necessary to harness financial development’s impact on economic growth fully.

Regression results in Vietnam

Figure 4 also demonstrates consistent shapes and a normal distribution of cells, indicating a low level of correlation. The charts exhibit good mixing and consistency with simulated density and lag within an effective range. In summary, the model appears appropriate, with all delays falling within practical limits, and all parameter graphs in the model are reasonable.

The results presented in Table 6 indicate that all probabilities associated with independent variables influencing economic growth are at level 1.

Vietnam, up until 2007, fell within the category of countries with an EF index below 50. However, from 2008 to 2020, its score surpassed 50 and reached 60 in recent years. The improvements in regulations, establishment of legal infrastructure to attract investment, expansion of trade policies, and participation in numerous bilateral and multilateral trade agreements have yielded significant results for Vietnam’s economic growth in recent years. Once again, this is reaffirmed by the regression results of the EF variable across the two groups of countries, indicating that economic freedom consistently provides positive momentum for economic growth with a probability of 1 Fig. 5 .

Source: https://www.heritage.org/index/visualize . (This image was taken from the following website: https://www.heritage.org/index/visualize . Reproduced with permission of The Heritage Foundation; copyright © The Heritage Foundation for Educational).

This study delves into the contrasting outcomes observed in Vietnam compared to those obtained in the two groups of countries, highlighting the following distinctions:

Firstly, while GEOE negatively impacts economic growth in both groups of countries, Vietnam presents a different scenario where investment in education has a positive effect on economic growth. This finding resonates with the conclusions drawn by Yến et al. ( 2022 ) and Trabelsi ( 2018 ). As education across all levels improves and receives more attention, enhancing cognitive abilities and career guidance, it leads to better labor allocation and efficiency. Consequently, the workforce becomes more adept at meeting market demands and aligning with economic structures, resulting in positive outcomes for economic growth (Hanushek and Woessmann, 2021 ).

Secondly, INF positively impacts economic growth in Vietnam, diverging from the negative impact observed in other countries within the study’s sample. This aligns with Powell’s findings ( 2002 ). Being a developing country with growth potential, Vietnam employs expansive monetary policies to stimulate economic growth, a phenomenon observed in studies on developing countries by Baharumshah et al. ( 2016 ) and Chimobi ( 2010 ).

Thirdly, concerning the formation of fixed capital and population growth rates, where other countries experience positive impacts, Vietnam encounters negative impacts on GDP growth rates with a probability of 1. This suggests that the adverse effects of rapid population growth among youth outweigh the positive impact of population growth among the working-age population (Headey and Hoge, 2009 ). Additionally, rapid population growth may be associated with poorer health conditions or higher inequality, which tend to impede economic growth (Dao, 2012 ).

Conclusion and implications

The findings of this research underscore the significance of economic freedom as a crucial determinant of economic advancement across nations. By examining the interplay between economic freedom and economic growth in 54 countries, categorized into two groups based on regulatory quality, this study offers valuable insights, with particular emphasis on the case of Vietnam.

The research findings highlight the pivotal role of economic freedom in driving economic growth across both sets of countries. Moreover, the study delves into the nuanced relationship between economic freedom and economic growth in the presence of various influencing factors. Through Bayesian regression analysis, it is revealed that factors such as capital formation, foreign direct investment, population growth rate, and tax revenue positively influence economic growth. Conversely, variables, including government spending on education, labor force dynamics, inflation, and unemployment rate, exhibit adverse effects. Notably, the disparity between the two groups of countries emerges primarily in the variables of corruption control and financial development. In nations with lower regulatory quality, effective corruption control and financial development positively contribute to economic growth, while in countries with higher RQ, the inverse relationship is observed.

For Vietnam, economic freedom also positively impacts economic growth, along with other factors in the model. These findings align with the regression results for the two groups of countries mentioned earlier, with a few exceptions: (1) Government Spending on Education: While in other countries, government spending on education hurts economic growth, in Vietnam, it has a positive effect. (2) Inflation: Unlike other nations, inflation positively impacts economic growth in Vietnam. (3) Capital Formation and Population Growth Rate: These variables hurt economic growth in Vietnam, whereas, in other countries, they have a positive effect.

These detailed findings offer a more profound insight into how economic freedom impacts economic growth globally. We enrich the existing body of empirical evidence on this subject. Moreover, policymakers can leverage these insights to prioritize essential factors that will propel economic growth in the future.

Implications

The results above indicate critical areas of economic freedom that policymakers need to pay attention to to maximize economic improvement. Focused efforts to enhance these components will elevate economic freedom and the quality of institutions, ultimately leading to economic growth.

For countries with low RQ , an integrated approach is essential. This includes better anti-corruption measures, more vigorous legal enforcement to protect property rights, appropriate regulations supported by robust law enforcement agencies, and improved government integrity. Reducing trade barriers and implementing effective fiscal policies are also crucial. Financial development contributes to legal framework consolidation, liquidity in the market, and overall economic growth.

For countries with high RQ , inflation poses a risk to growth. To maintain an optimal inflation rate, unemployment should remain low. Policies that boost economic growth without adverse inflationary effects are essential. Additionally, managing population growth through labor attraction and internal population encouragement helps avoid demographic challenges and ensures a workforce for future economic growth.

For Vietnam : Vietnam must continue attracting foreign direct investment to enhance productivity and stabilize the macroeconomy. This capital source is considered relatively safe long-term and can potentially become an economic driving force. Additionally, policymakers should encourage vigorous legal enforcement and implement reforms in critical areas such as trade barriers and property rights protection. These measures can promote economic growth and social welfare. Furthermore, like any emerging economy, Vietnam can initially leverage its population advantage to transition industries that require substantial labor from developed countries. However, comprehensive human capital development and other institutional factors are essential for sustained long-term economic growth. Therefore, education and training policies need improvement to enhance the quality of human capital over time.

Limitations of the article and future research directions

One significant area for improvement of the current study is its restricted scope, confined to only two groups of 27 countries, which may need to fully capture the global diversity and variability in economic, political, social, and environmental contexts. Additionally, the data used from various organizations may need to be updated in real time, potentially affecting the timeliness and relevance of the findings.

Future research should expand the geographical scope to include a broader range of countries, enhancing the generalizability of the results. Moreover, future studies could adopt different criteria for grouping countries, such as economic freedom indices or classifications based on FDI recipients and investors. This approach would allow a more detailed examination of how economic freedom impacts economic growth across diverse national contexts. Furthermore, it is crucial to incorporate additional variables when measuring economic development to compare and gain a more comprehensive understanding of the research problem.

Data availability

All data generated or analyzed during this study are included in this published article.

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Hung, N.T., Oanh, T.T.K. & Trang, C.T.T. The impact of economic freedom on economic growth in countries with high and low regulatory quality—lessons for Viet Nam. Humanit Soc Sci Commun 11 , 1237 (2024). https://doi.org/10.1057/s41599-024-03741-8

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Received : 20 March 2024

Accepted : 02 September 2024

Published : 17 September 2024

DOI : https://doi.org/10.1057/s41599-024-03741-8

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