Social Impact Assessment (SIA) is the process of analyzing, monitoring and managing the social effects of planned or implemented development interventions. The primary purpose of SIA is to bring about a sustainable and equitable biophysical and social environment. SIA is a prerequisite in FAO and World Bank aided projects which cover sectors of mining, agriculture, fishery, dams and transportation. In forestry it has the great potential of enhancing sustainable forest management, taking into account rural development objectives and local needs. SIA can be applied before and after the implementation of projects and programs. In the context of recent policy changes in China, the Natural Forest Protection Program (NFPP) has been implemented in a “top-down” process from 1998 to 2010. A large part of the forests on main river basins in Western regions are being conserved with severe restrictions for commercial use. The social effects of the NFPP are still debatable, indicating a need for conducting a SIA of the NFPP using a systematic conceptual approach. Objectives of the research are: (1) To understand how and to what extent the NFPP affected the local forest-dependent communities and their households; (2) To identify the local strategies currently used to cope up with the impacts; and (3) To develop the optimal strategies likely supported for a better harmonization between livelihood and the NFPP implementation in different regional contexts. The empirical research is approached through quantitative and qualitative social research methods for data collection and analysis. For the case studies, four villages with a total number of 175 respondents were selected for field surveys where questionnaires, interviews and group discussions were employed. The research findings indicate that, the NFPP has significant impacts on the population characteristics, institutional arrangements and infrastructure and public services at the community level and at household level, the income derivation, expenditure, labour time distribution, perceptions on public health/safety and changing values of forests perceived by individuals. The research reveals that, synthesizing de facto impacts of the NFPP makes potential negative social impacts predictable. The policy-makers and project teams implementing the NFPP should be aware that, the NFPP results in dynamic change processes which include the de facto and potential impacts as well as the influence factors; among these, contribution of strategies derived from local communities and households as the spontaneous reactions to cope with the NFPP impacts should be taken into consideration. Recommendations are given referring to a better implementation of the NFPP and the need for future researches concerning the SIA for sustainable forest management in different regional contexts.:TABLE OF CONTENT ACKNOWLEDGEMENTS ..................................................................................................... i LIST OF FIGURES ................................................................................................................ vi LIST OF TABLES ................................................................................................................ viii LIST OF BOXES .................................................................................................................... ix LIST OF ACRONYMS ............................................................................................................ x ABSTRACT ........................................................................................................................... xii ZUSAMMENFASSUNG ..................................................................................................... xiii 1 INTRODUCTION ........................................................................................................ xiii 1.1 Background .................................................................................................................. 1 1.2 Problem statement and justification ............................................................................. 5 1.3 Research objectives ...................................................................................................... 6 1.3.1 General research objectives .................................................................................. 6 1.3.2 Specific research objectives .................................................................................. 7 1.4 Structure of the dissertation ......................................................................................... 8 2 CURRENT STATE OF KNOWLEDGE AND INFORMATION ............................... 10 2.1 General remark .......................................................................................................... 10 2.2 Forestry reforms in China .......................................................................................... 10 2.2.1 China‘s forestry sector since the economic reform in 1978 ................................ 10 2.2.2 Forest tenure and administration ......................................................................... 13 2.2.3 Chronology of sectional reforms in China and their consequences .................... 14 2.2.4 Policy reforms in the forestry sector ................................................................... 18 2.3 The Natural Forest Protection Program ..................................................................... 21 2.3.1 Background and objective .................................................................................. 21 2.3.2 Scale and main contents ...................................................................................... 21 2.3.3 Implementation process ...................................................................................... 22 2.3.4 Budget ................................................................................................................. 23 2.3.5 Legal basis .......................................................................................................... 23 2.3.6 Current implementation status and main achievements ..................................... 23 2.3.7 Various impacts of the NFPP derived from previous researches ........................ 23 2.4 Social Impact Assessment as a development tool ...................................................... 25 2.4.1 Concepts of Social Impact Assessment .............................................................. 25 2.4.2 A brief history of Social Impact Assessment ...................................................... 27 2.4.3 Principles and guidelines for Social Impact Assessment .................................... 29 2.4.4 Basic model of Social Impact Assessment ......................................................... 29 2.4.5 Process of Social Impact Assessment ................................................................. 31 2.4.6 SIA case study examples and matrix of common social indicators .................... 31 3 CONCEPTUAL FRAMEWORK AND THEORETICAL PERSPECTIVES ........... 38 3.1 General remark .......................................................................................................... 38 3.2 Basic settings in the ―Function evaluation‖ approach ............................................... 40 3.3 Integration framework: indirect and direct human impacts ....................................... 42 3.4 Conceptual framework of SIA: focusing on changes in social setting ...................... 46 3.5 Human ecosystem as an organizing concept for SIA ................................................ 47 3.5.1 Concept of human ecology and human ecosystem models ................................ 47 3.5.2 Systems model of human ecology ...................................................................... 48 3.5.3 Concept model of human ecosystems ................................................................. 50 3.5.4 Learning from the two conceptual models of human ecosystem ........................ 51 3.5.5 A local forest-dependent community as a small scale human ecosystem ........... 53 3.6 Framework conceptualizing social impacts in the empirical context ........................ 55 3.7 Research questions ..................................................................................................... 57 4 RESEARCH METHDOLOGY ..................................................................................... 60 4.1 Defining and operationalizing the research indicators .............................................. 60 4.1.1 Foundation of the definition ............................................................................... 60 4.1.2 Defining and operationalizing the selected research indicators .......................... 62 4.2 Selection of case study areas ..................................................................................... 68 4.3 Methods for quantitative and qualitative data collection ........................................... 71 4.3.1 Introduction ......................................................................................................... 71 4.3.2 Field reconnaissance survey ............................................................................... 71 4.3.3 Secondary data collection ................................................................................... 71 4.3.4 Primary data collection ....................................................................................... 72 4.4 Data processing and analysis ..................................................................................... 75 4.5 Research procedure .................................................................................................... 76 4.6 Discussion on the attribution gap ............................................................................... 76 4.7 Reliability and validity of the field research process ................................................. 76 5 SCOPING AND OBSERVATION OF THE STUDY AREAS ..................................... 79 5.1 General remark .......................................................................................................... 79 5.2 Case study area 1: Gansu Xiaolongshan state-owned forest area .............................. 79 5.2.1 General information of Gansu Province ............................................................. 79 5.2.2 Profile of Xiaolongshan state-owned forest area ................................................ 81 5.2.3 Profiles of the villages investigated .................................................................... 84 5.2.4 Characteristics of household respondents in the two villages ............................ 86 5.3 Case Study Area 2: Chongqing collective-owned forest area .................................... 87 5.3.1 General information of Chongqing Municipality ............................................... 87 5.3.2 Information on Dazu County and its collective forest area ................................ 90 5.3.3 Profiles of the villages investigated .................................................................... 92 5.3.4 Characteristics of household respondents in the two villages ............................ 93 6 ASSESSMENT OF SOCIAL IMPACTS AND CAUSAL ANALYSIS ....................... 96 6.1 Social impacts on the local community level ............................................................ 96 6.1.1 Change in the community population characteristics ......................................... 96 6.1.2 Change in the community institutional arrangements ........................................ 99 6.1.3 Change in the community infrastructure and public services ........................... 111 6.2 Social impacts on the household level ..................................................................... 118 6.2.1 Impacts on households and families ................................................................. 118 6.2.2 Impacts on individuals ...................................................................................... 131 7 DIAGNOSIS: COMPARATIVE ANALYSIS AND DISCUSSION .......................... 145 7.1 General remark ........................................................................................................ 145 7.2 The de facto impacts of the NFPP on local communities and households .............. 145 7.2.1 The social change processes in the local community ....................................... 145 7.2.2 Human impacts on the local households ........................................................... 149 7.3 External and internal factors influencing the extent of impact results..................... 152 7.3.1 Introduction ....................................................................................................... 152 7.3.2 The external factors at community level ........................................................... 152 7.3.3 The internal factors at household and individual level ..................................... 154 7.4 Potential impacts of the NFPP on the local community and households................. 154 7.5 Dynamics of de facto and potential impacts, local strategies and influence factors 155 8 CONCLUSION AND RECOMMENDATIONS ........................................................ 157 8.1 General remarks ....................................................................................................... 157 8.2 Recapitulation of major findings and conclusions ................................................... 157 8.3 Scope and limitations of the empirical study ........................................................... 158 8.4 Recommendation for future policy implementation ................................................ 160 8.5 Relationship between theory and findings ............................................................... 163 8.6 A critical review of methodology and implications for SIA research ...................... 165 REFERENCES ..................................................................................................................... 168 APPENDICES ...................................................................................................................... 179 Appendix 1: Some data and background information available in literature ..................... 180 Appendix 2: Supplementary material and material information used in research ............. 195 Appendix 3: Questionnaires used in the field surveys ....................................................... 203 Appendix 4: Part of the data collected in the field ............................................................. 212 Appendix 5: Photos in the fields ........................................................................................ 234 / Social Impact Assessment (SIA) ist ein Prozess, der Analyse, Monitoring und Bewältigung der sozialen Effekte geplanter oder durchgeführter Entwicklungsinterventionen umfasst. Das Hauptanliegen von SIA ist, eine nachhaltige und gerechte biophysische und soziale Umwelt zu schaffen. SIA ist für Projekte der FAO und der Weltbank in den Sektoren Bergbau, Landwirtschaft, Fischerei, Talsperren und Transport eine Grundvoraussetzung. Für die Forstwirtschaft ergibt sich daraus das Potenzial, nachhaltige Waldbewirtschaftung zu stärken und dabei die Ziele ländlicher Entwicklung und lokale Erfordernisse zu berücksichtigen. SIA kann vor und nach der Durchführung von Projekten und Programmen angewendet werden. Im Zusammenhang mit den aktuellen politischen Veränderungen in China wird das Natural Forest Protection Program (NFPP) im Zeitraum von 1998-2010 nach dem top-down-Verfahren durchgeführt. Die sozialen Auswirkungen des NFPP sind noch immer umstritten. Das unterstreicht die Notwendigkeit der SIA unter Anwendung einer systematischen konzeptionellen Herangehensweise. Ein besonders kritischer Faktor dabei ist, dass ein erheblicher Anteil der Wälder in den Wassereinzugsgebieten wichtiger Flussläufe in den westlichen Regionen durch strikte Einschränkungen der kommerziellen Nutzung geschützt wurden. Die Ziele der Forschung sind: (1) Aufzeigen wie und in welchem Ausmaß das NFPP die örtlichen waldabhängigen Gemeinden und ihre Haushalte beeinflusst hat; (2) Identifizieren lokal entwickelter und angewandter Strategien, um die Auswirkungen des NFPP zu bewältigen; und (3) Entwickeln optimaler Strategien für eine bessere Harmonisierung der Lebensgrundlagen mit der Umsetzung des NFPP in unterschiedlichen regionalen Kontexten. Die empirische soziale Forschung bedient sich quantitativer und qualitativer Methoden zur Datensammlung und Datenanalyse. Für die Fallstudie wurden vier Dörfer mit insgesamt 175 Befragten ausgewählt. Bei der Primärdatenerhebung kamen Fragebögen, Interviews und Gruppendiskussionen zur Anwendung. Die Forschungsergebnisse zeigen, dass das NFPP signifikanten Einfluss ausübt auf Größe und Anteil armer Bevölkerung, auf institutionelle Rahmenbedingungen, die Infrastruktur und den öffentlichen Dienstleistungssektor auf Gemeindeebene. Auf Haushaltsebene wurde signifikanter einfluss nachgewiesen für die Generierung von Einkommen, die Ausgaben, die Arbeitszeitverteilung, die Vorstellungen über Gesundheitswesen und Sicherheit als auch auf die Wahrnehmung der sich verändernden Werte des Waldes. Es wird ersichtlich, dass durch Zusammenführen der de facto-Auswirkungen des NFPP potenzielle negative soziale Einflüsse vorhersagbar werden. Entscheidungsträger und Projektteams sollten sich darüber bewusst werden, dass das NFPP zu dynamischen Veränderungsprozessen führt, welche die de facto- und potentiellen Auswirkungen sowie die Einflussfaktoren betreffen. Dies schließt den Beitrag der lokal entwickelten Strategien ein. Empfehlungen betreffen die bessere Umsetzung des NFPP sowie die Notwendigkeit weiterer Forschung hinsichtlich der SIA im Zusammenhang nachhaltiger Waldbewirtschaftung in verschiedenen regionalen Kontexten.:TABLE OF CONTENT ACKNOWLEDGEMENTS ..................................................................................................... i LIST OF FIGURES ................................................................................................................ vi LIST OF TABLES ................................................................................................................ viii LIST OF BOXES .................................................................................................................... ix LIST OF ACRONYMS ............................................................................................................ x ABSTRACT ........................................................................................................................... xii ZUSAMMENFASSUNG ..................................................................................................... xiii 1 INTRODUCTION ........................................................................................................ xiii 1.1 Background .................................................................................................................. 1 1.2 Problem statement and justification ............................................................................. 5 1.3 Research objectives ...................................................................................................... 6 1.3.1 General research objectives .................................................................................. 6 1.3.2 Specific research objectives .................................................................................. 7 1.4 Structure of the dissertation ......................................................................................... 8 2 CURRENT STATE OF KNOWLEDGE AND INFORMATION ............................... 10 2.1 General remark .......................................................................................................... 10 2.2 Forestry reforms in China .......................................................................................... 10 2.2.1 China‘s forestry sector since the economic reform in 1978 ................................ 10 2.2.2 Forest tenure and administration ......................................................................... 13 2.2.3 Chronology of sectional reforms in China and their consequences .................... 14 2.2.4 Policy reforms in the forestry sector ................................................................... 18 2.3 The Natural Forest Protection Program ..................................................................... 21 2.3.1 Background and objective .................................................................................. 21 2.3.2 Scale and main contents ...................................................................................... 21 2.3.3 Implementation process ...................................................................................... 22 2.3.4 Budget ................................................................................................................. 23 2.3.5 Legal basis .......................................................................................................... 23 2.3.6 Current implementation status and main achievements ..................................... 23 2.3.7 Various impacts of the NFPP derived from previous researches ........................ 23 2.4 Social Impact Assessment as a development tool ...................................................... 25 2.4.1 Concepts of Social Impact Assessment .............................................................. 25 2.4.2 A brief history of Social Impact Assessment ...................................................... 27 2.4.3 Principles and guidelines for Social Impact Assessment .................................... 29 2.4.4 Basic model of Social Impact Assessment ......................................................... 29 2.4.5 Process of Social Impact Assessment ................................................................. 31 2.4.6 SIA case study examples and matrix of common social indicators .................... 31 3 CONCEPTUAL FRAMEWORK AND THEORETICAL PERSPECTIVES ........... 38 3.1 General remark .......................................................................................................... 38 3.2 Basic settings in the ―Function evaluation‖ approach ............................................... 40 3.3 Integration framework: indirect and direct human impacts ....................................... 42 3.4 Conceptual framework of SIA: focusing on changes in social setting ...................... 46 3.5 Human ecosystem as an organizing concept for SIA ................................................ 47 3.5.1 Concept of human ecology and human ecosystem models ................................ 47 3.5.2 Systems model of human ecology ...................................................................... 48 3.5.3 Concept model of human ecosystems ................................................................. 50 3.5.4 Learning from the two conceptual models of human ecosystem ........................ 51 3.5.5 A local forest-dependent community as a small scale human ecosystem ........... 53 3.6 Framework conceptualizing social impacts in the empirical context ........................ 55 3.7 Research questions ..................................................................................................... 57 4 RESEARCH METHDOLOGY ..................................................................................... 60 4.1 Defining and operationalizing the research indicators .............................................. 60 4.1.1 Foundation of the definition ............................................................................... 60 4.1.2 Defining and operationalizing the selected research indicators .......................... 62 4.2 Selection of case study areas ..................................................................................... 68 4.3 Methods for quantitative and qualitative data collection ........................................... 71 4.3.1 Introduction ......................................................................................................... 71 4.3.2 Field reconnaissance survey ............................................................................... 71 4.3.3 Secondary data collection ................................................................................... 71 4.3.4 Primary data collection ....................................................................................... 72 4.4 Data processing and analysis ..................................................................................... 75 4.5 Research procedure .................................................................................................... 76 4.6 Discussion on the attribution gap ............................................................................... 76 4.7 Reliability and validity of the field research process ................................................. 76 5 SCOPING AND OBSERVATION OF THE STUDY AREAS ..................................... 79 5.1 General remark .......................................................................................................... 79 5.2 Case study area 1: Gansu Xiaolongshan state-owned forest area .............................. 79 5.2.1 General information of Gansu Province ............................................................. 79 5.2.2 Profile of Xiaolongshan state-owned forest area ................................................ 81 5.2.3 Profiles of the villages investigated .................................................................... 84 5.2.4 Characteristics of household respondents in the two villages ............................ 86 5.3 Case Study Area 2: Chongqing collective-owned forest area .................................... 87 5.3.1 General information of Chongqing Municipality ............................................... 87 5.3.2 Information on Dazu County and its collective forest area ................................ 90 5.3.3 Profiles of the villages investigated .................................................................... 92 5.3.4 Characteristics of household respondents in the two villages ............................ 93 6 ASSESSMENT OF SOCIAL IMPACTS AND CAUSAL ANALYSIS ....................... 96 6.1 Social impacts on the local community level ............................................................ 96 6.1.1 Change in the community population characteristics ......................................... 96 6.1.2 Change in the community institutional arrangements ........................................ 99 6.1.3 Change in the community infrastructure and public services ........................... 111 6.2 Social impacts on the household level ..................................................................... 118 6.2.1 Impacts on households and families ................................................................. 118 6.2.2 Impacts on individuals ...................................................................................... 131 7 DIAGNOSIS: COMPARATIVE ANALYSIS AND DISCUSSION .......................... 145 7.1 General remark ........................................................................................................ 145 7.2 The de facto impacts of the NFPP on local communities and households .............. 145 7.2.1 The social change processes in the local community ....................................... 145 7.2.2 Human impacts on the local households ........................................................... 149 7.3 External and internal factors influencing the extent of impact results..................... 152 7.3.1 Introduction ....................................................................................................... 152 7.3.2 The external factors at community level ........................................................... 152 7.3.3 The internal factors at household and individual level ..................................... 154 7.4 Potential impacts of the NFPP on the local community and households................. 154 7.5 Dynamics of de facto and potential impacts, local strategies and influence factors 155 8 CONCLUSION AND RECOMMENDATIONS ........................................................ 157 8.1 General remarks ....................................................................................................... 157 8.2 Recapitulation of major findings and conclusions ................................................... 157 8.3 Scope and limitations of the empirical study ........................................................... 158 8.4 Recommendation for future policy implementation ................................................ 160 8.5 Relationship between theory and findings ............................................................... 163 8.6 A critical review of methodology and implications for SIA research ...................... 165 REFERENCES ..................................................................................................................... 168 APPENDICES ...................................................................................................................... 179 Appendix 1: Some data and background information available in literature ..................... 180 Appendix 2: Supplementary material and material information used in research ............. 195 Appendix 3: Questionnaires used in the field surveys ....................................................... 203 Appendix 4: Part of the data collected in the field ............................................................. 212 Appendix 5: Photos in the fields ........................................................................................ 234

[ES] La percepción pública de la ciencia es un aspecto social ampliamente estudiado mediante encuestas a la población para evaluar la comprensión de la ciencia y las actitudes hacia la misma. Sin embargo, existen críticas robustas hacia los supuestos teóricos que sustentan el diseño de estos sondeos y hacia la metodología empleada. La presente tesis pretende aportar vías de análisis más innovadoras a la discusión. En primer lugar, se proporciona un marco introductorio que esboza las relaciones más destacables entre ciencia y sociedad en el mundo moderno, incluyendo los enfoques de participación, considerados más democráticos. En segundo lugar, se profundiza en el marco del nuevo escenario de la vida digital, en particular con la finalidad de complementar los estudios clásicos de percepción social de la ciencia con la propuesta de una herramienta metodológica adaptada a la sociedad digital que abra nuevas direcciones de investigación orientadas hacia los espacios de participación ciudadana que constituyen las redes sociales digitales. Para ello, se diseña un algoritmo capaz de analizar tendencias en el impacto de la comunicación de la ciencia en Twitter a partir de conjuntos representativos de tuits utilizando técnicas computacionales de minería de datos, combinadas con una valoración cualitativa de los tipos de contenido ¿categorizado como: «ciencia», «cultura», «político-social», «creencias», «medios» y «emocional»¿. Para probar la herramienta, se examina una variedad de discursos en abierto sobre temas científicos presentes en la plataforma, aplicando el algoritmo sobre perfiles de distinta naturaleza ¿científicos famosos, instituciones y otros¿ y sobre conversaciones no centralizadas en usuarios específicos, sino recabando la información relativa a cuestiones científicas de las que los medios se han hecho eco. El resultado es una herramienta de bajo coste fácilmente reproducible por otros investigadores que revela aspectos sobre las estrategias de comunicación científica que generan mayor impacto. Se requerirán estudios más profundos, a gran escala, para corroborar si las tendencias preliminares identificadas con el método de análisis propuesto pueden extrapolarse a un marco más general. / [EN] Public perception of science is a widely studied social aspect through population surveys to assess understanding of science and attitudes towards it. However, there are strong criticisms of the theoretical assumptions behind the design of these surveys and the methodology used. This thesis aims to provide more innovative ways of analysis to the discussion. Firstly, it provides an introductory framework outlining the most remarkable relationships between science and society in the modern world, including approaches to 'engagement' in science, which are considered to be more democratic. Secondly, it delves into the framework of the new scenario of digital life, in particular with the aim of complementing the classic studies of the social perception of science with the proposal of a methodological tool adapted to the digital society that opens up new directions of research oriented towards the spaces of citizen participation that constitute social networks. To this end, an algorithm is designed that is capable of analyzing the impact of science communication on Twitter from representative sets of tweets using computational data mining techniques, combined with a qualitative assessment of the types of content; categorized as «science», «culture», «political-social», «beliefs», «media» and «emotional». To test the tool, a variety of open discourses on scientific topics present in the platform are examined, applying the algorithm on profiles of different nature (famous scientists, institutions and others) and on conversations not centralized on specific users, but gathering information on scientific issues that have been echoed by the media. The result is a low-cost tool that can be easily reproduced by other researchers and that reveals aspects about the science communication strategies that generate the greatest impact. As a next step, more in-depth, large-scale studies are required to corroborate whether the preliminary trends identified with the proposed method of analysis can be extrapolated to a more general framework. / [CA] La percepció pública de la ciència és un aspecte social àmpliament estudiat mitjançant enquestes a la població per avaluar la comprensió de la ciència i les actituds de la ciutadania. No obstant això, hi ha crítiques robustes cap als supòsits teòrics que sustenten el disseny d'aquests sondejos i cap a la metodologia utilitzada. La present tesi pretén aportar vies d'anàlisi més innovadores a la discussió. En primer lloc, es proporciona un marc introductori que esbossa les relacions més destacables entre ciència i societat en el món modern, incloent els enfocaments de participació ¿o engagement¿, considerats més democràtics. En segon lloc, s'aprofundeix en el marc de el nou escenari de la vida digital, en particular amb la finalitat de complementar els estudis clàssics de percepció social de la ciència amb la proposta d'una eina metodològica adaptada a la societat digital que obri noves direccions de investigació orientades cap als espais de participació ciutadana que constitueixen les xarxes socials. Per a això, es dissenya un algoritme capaç d'analitzar l'impacte de la comunicació de la ciència a Twitter a partir de conjunts representatius de tuits utilitzant tècniques computacionals de mineria de dades, combinades amb una valoració qualitativa dels tipus de contingut ¿categoritzat com: «ciència», «cultura», «politicosocial», «creences», «mitjans» i «emocional»¿. Per provar l'eina, s'examina una varietat de discursos en obert sobre temes científics presents a la plataforma, aplicant l'algoritme sobre perfils de diferent naturalesa ¿científics famosos, institucions i altres¿ i sobre converses no centralitzades en usuaris específics, sinó recaptant la informació relativa a qüestions científiques de les que els mitjans de comunicació s'han fet ressò. El resultat és una eina de baix cost fàcilment reproduïble per altres investigadors que revela aspectes sobre les estratègies de comunicació científica que generen major impacte. Com següent pas, es requereixen estudis més profunds, a gran escala, per corroborar si les tendències preliminars identificades amb el mètode d'anàlisi proposat poden extrapolar-se a un marc més general. / Denia Navarro, E. (2020). Percepción social de la ciencia y participación digital: impacto de la comunicación científica en Twitter [Tesis doctoral]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/153797

[ES] El emprendimiento social, entendido como aquella iniciativa, organización o proyecto con una misión exclusivamente social, nace como respuesta a determinadas necesidades de una colectividad que no han sido debidamente atendidas por el Estado. Estas entidades poseen un gran potencial para contribuir al desarrollo humano y sostenible de las localidades y regiones, puesto que todos sus esfuerzos van orientados a propiciar el bienestar de diversos grupos poblacionales en aspectos como la educación, la salud, el empleo, el medio ambiente y la inclusión, entre otros. La creación y maximización del valor social representa el más alto objetivo de cualquier emprendimiento social y, a diferencia de la empresa convencional, la generación de beneficios económicos es considerada como un medio y no como un fin per se. Para lograr el deseado impacto social, los citados emprendimientos deben trabajar por superar la barrera del acceso al capital y, además, por mejorar sus procesos de gestión organizacional que, generalmente, evidencian debilidades como la falta de focalización estratégica; los inadecuados métodos de planificación y control; y las escasas herramientas para el monitoreo y valoración del impacto. Ante estos desafíos, se considera necesario proponer a los emprendedores, líderes y gestores, nuevas metodologías e instrumentos que permitan la creación y fortalecimiento de las capacidades organizacionales para la generación de valor en los grupos de interés. Por tanto, el objetivo de esta tesis doctoral se centró en el diseño de un modelo de gestión que pudiera guiar y soportar la tarea de planificación, seguimiento y evaluación del impacto social de los emprendimientos que trabajan en pro de la inclusión socio-laboral. Este trabajo empírico se desarrolló por medio de tres etapas. En la primera, se construyó un esquema inicial base del modelo, el cual incluyó un conjunto de elementos estratégicos mínimos que deberían ser considerados por las organizaciones sociales para asegurar la creación de valor en los públicos atendidos y demás grupo de interés. Dentro de esta fase, se tomó como principal referente un reconocido enfoque de planificación y control organizacional (el mapa estratégico) y, adicionalmente, se extrajeron aportaciones de diversos estándares de Responsabilidad Social Empresarial (RSE), teorías de desarrollo y lineamientos estratégicos de dos organizaciones valencianas que trabajan en el campo de la inclusión laboral. En la segunda etapa, por medio de un estudio de caso, se exploró en dos emprendimientos de inclusión socio-laboral sobre las estrategias, metodologías y prácticas que estos utilizan para cumplir con su respectiva misión social. Asimismo, se pretendió determinar, como dichas estrategias, respondían a las principales demandas y expectativas de valor de los más relevantes grupos de interés. Finalmente, en la etapa tres, se consolidó la propuesta del modelo con base a los resultados obtenidos en las fases previas. Como resultado principal de este estudio, se destaca entonces la propuesta de un modelo de gestión basado en un mapa estratégico, el cual sugiere un conjunto de 29 buenas prácticas potencialmente aplicables a cualquier organización de inclusión socio-laboral. Este esquema pretende ser una guía, flexible y adaptable, para los gestores de los emprendimientos, a fin de que estos puedan fortalecer su capacidad para la toma de decisiones orientadas a maximizar el valor social y, por tanto, a incrementar su aporte al desarrollo sostenible de las comunidades atendidas. / [CA] L'emprenedoria social, entesa com aquella iniciativa, organització o projecte amb una missió exclusivament social, naix com a resposta a determinades necessitats d'una col·lectivitat que no han sigut degudament ateses per l'Estat. Aquestes entitats posseeixen un gran potencial per a contribuir al desenvolupament humà i sostenible de les localitats i regions, ja que tots els seus esforços van orientats a propiciar el benestar de diversos grups poblacionals en aspectes com l'educació, la salut, l'ocupació, el medi ambient i la inclusió, entre altres. La creació i maximització del valor social representa el més alt objectiu de qualsevol emprenedoria social i, a diferència de l'empresa convencional, la generació de beneficis econòmics és considerada com a mitjà i no com un fi per se. Per a aconseguir el desitjat impacte social, les citades emprenedories han de treballar per superar la barrera de l'accés al capital i, a més, per millorar els seus processos de gestió organitzacional que, generalment, evidencien febleses com la falta de focalització estratègica; els inadequats mètodes de planificació i control; i les escasses eines per al monitoratge i valoració de l'impacte. Davant aquests desafiaments, es considera necessari proposar als emprenedors, líders i gestors, noves metodologies i instruments que permeten la creació i enfortiment de les capacitats organitzacionals per a la generació de valor en els grups d'interés. Per tant, l'objectiu d'aquesta aquesta tesi doctoral es va centrar en el disseny d'un model de gestió que poguera guiar i suportar la tasca de planificació, seguiment i avaluació de l'impacte social de les emprenedories que treballen en pro de la inclusió soci-laboral. Aquest treball empíric es va desenvolupar per mitjà de tres etapes. En la primera, es va construir un esquema inicial base del model, el qual va incloure un conjunt d'elements estratègics mínims que haurien de ser considerats per les organitzacions socials per a assegurar la creació de valor en els públics atesos i altre grup d'interés. Dins d'aquesta fase, es va prendre com a principal referent un reconegut enfocament de planificació i control organitzacional (el mapa estratègic) i, addicionalment, es van extraure aportacions de diversos estàndards de Responsabilitat Social Empresarial (RSE), teories de desenvolupament i lineaments estratègics de dues organitzacions valencianes que treballen en el camp de la inclusió laboral. En la segona etapa, per mitjà d'un estudi de cas, es va explorar en dues emprenedories d'inclusió soci-laboral sobre les estratègies, metodologies i pràctiques que aquests utilitzen per a complir amb la seua respectiva missió social. Així mateix, es va pretendre determinar com aquestes estratègies responien a les principals demandes i expectatives de valor dels més rellevants grups d'interés. Finalment, en l'etapa tres, es va consolidar la proposta del model amb base als resultats obtinguts en les fases prèvies. Com a resultat principal d'aquest estudi, es destaca llavors la proposta d'un model de gestió basat en un mapa estratègic, el qual suggereix un conjunt de 29 bones pràctiques potencialment aplicables a qualsevol organització d'inclusió soci-laboral. Aquest esquema pretén ser una guia, flexible i adaptable, per als gestors de les emprenedories, a fi que aquests puguen enfortir la seua capacitat per a la presa de decisions orientades a maximitzar el valor social i, per tant, a incrementar la seua aportació al desenvolupament sostenible de les comunitats ateses. / [EN] Social entrepreneurship, understood as an initiative, organization or project with an exclusively social mission, arises as a response to certain needs of a community that have not been duly attended by the State. These entities have great potential to contribute to the human and sustainable development of localities and regions, since all their efforts are aimed at promoting well-being of various population groups in aspects such as education, health, employment, environment and inclusion, among others. Creation and maximization of social value represents the highest objective of any social enterprise and, unlike conventional companies, economic benefits are considered a mean and not an end per se. In order to achieve the desired social impact, the aforementioned undertakings must work to overcome barriers of access to capital and, in addition, to improve their organizational management processes that, generally, show weaknesses such as lack of strategic focus; inadequate planning and control methods; and few tools for impact monitoring and assessment. Faced with these challenges, it is considered necessary to propose to entrepreneurs, leaders and managers, new methodologies and instruments that allow to build and strengthen organizational capacities in order to create value in the stakeholders. Therefore, the objective of this doctoral thesis was focused on the design of a management model that could guide and support the tasks of planning, monitoring and evaluating social impact of enterprises that work towards social and labor inclusion. This empirical work was developed in three stages. First, an initial base scheme of the model was built, which included a set of minimum strategic elements that should be considered by social organizations to ensure the creation of value for the public serviced and other stakeholders. Within this phase, a recognized organizational planning and control approach (the strategic map) was taken as the main reference and, additionally, contributions were extracted from various Corporate Social Responsibility (CSR) standards, development theories and strategic guidelines of two Valencian organizations who work in the field of labor inclusion. In the second stage, through a case study in two social-labor inclusion enterprises, strategies, methodologies and practices used to fulfill their respective social mission were explored. Likewise, it was intended to determine how these strategies responded to the main demands and value expectations of the most relevant stakeholders. Finally, in stage three, the model proposal was consolidated based on the results obtained in the previous phases. As the main result of this study, the proposal of a management model based on a strategic map is highlighted, which suggests a set of 29 good practices potentially applicable to any social-labor inclusion organization. This scheme is intended to be a flexible and adaptable guide for enterprises managers, in order to strengthen their decision-making capacity aimed at maximizing the social value and, therefore, to increase their contribution to sustainable development of the communities serviced. / Murillo Pérez, LM. (2022). El emprendimiento social como motor de desarrollo sostenible: propuesta de un modelo para fortalecer la gestión del impacto social en los grupos de interés [Tesis doctoral]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/182264

Text in English with abstracts in English, isiZulu, and isiXhosa / South Africa’s education system is in crisis. Problems in education directly impact the country’s economy through its influence on skills development for employability. Young children trapped in an environment under serviced by educational resources and haracterised poor social cohesion cannot reach their full potential. This study, undergirded by Bronfenbrenner’s ecological model, sought to establish whether stateled early childhood development centres (ECDCs) in the Cape Flats can establish social cohesion and foster responsible citizenship and youth resilience. A qualitative study was conducted in selected ECDCs. Focus group interviews with caregivers of children from sampled centres and face-to-face interviews with the owners/managers of centres were augmented by an interview with an official from local government. The study concluded that the sampled ECDCs are merely coping, but restricted by various problems. They cannot function optimally as institutions for community development, although the community holds them in high esteem. Recommendations are made for improvements. / Uhlelo lwemfundo yaseNingizimu Afrika lunezingxaki. Izinkinga ezitholakala kwezemfundo zinomthelela othintana ngqo nezomnotho ngenxa yethonya ezinalo ekuthuthukisweni kwamakhono kuzokwenza abantu ukuba baqasheke. Izingane ezisezincane ezibiyelwe esibayeni esincishwa izimfanelo zezemfundo, ezingenakho nokubumbana okufanele komphakathi, ngeke zakufeza lokho ezinamandla okufinyelele kukho. Ucwaningo olususelwe esibonelweni sikaBronfenbrenner ngobudlelwane bomuntu nesizinda sakhe, lwaluhlose ukuthola ukuthi ngabe izikhungo eziholwa ngumbuso zokuthuthuka kwezingane ezincane (ama-ECDC) eCape Flats ziyakwazi yini ukugxilisa ukubumbana komphakathi, zikhulise kumuntu ukuba yisakhamuzi esiqotho nabasha abakwazi ukuqina bomelele. Kwenziwa ukuhlolisisa ezikhungweni zama-ECDC ezikhethiwe. Kwaba nokuxoxisana namaqembu aqokiwe abanakekeli bezingane zakulezo zikhungo ezikhethiwe, kwabuye kwaba nokuxoxa bukhoma nabanikazi/abaphathi bezikhungo, okwengezwa kukho nesikhulu esivela kuhulumeni wendawo. Lolu cwaningo lwafinyelela ekuthini izikhungo ezikhethiwe zama-ECDC zazipatanisa nje ngoba zazinqindwa yizinkinga ezahlukene, okusho ukuthi zazingakwazi ukusebenza ngokuphelele njengezikhungo zokuthuthukisa umphakathi, noma umphakathi wona wawuzibabaza kakhulu. Kukhona nezincomo ngokungase kwenziwe ukuze isimo sibe ngcono. / Isimo senkqubo yemfundo yoMzantsi Afrika simandundu. Iingxaki ezikhoyo kwezemfundo ziluchaphazela ngqo uqoqosho ngenxa yokuba zinefuthe kuphuhliso lwezakhono ezilungiselela ukuqesheka komntu. Abantwana abaselula abakwazi ukuphuhla ngokugqibeleleyo kuba bavaleleke kwimeko yemfundo eneenkonzo ezingekho mgangathweni nakwisimo esingazinzanga somphakathi. Esi sifundo sisekelwe kwinkqubo kaBronfenbrenner yolwalamano lwezinto eziphilayo nendalo, kwaye sizama ukuqonda ukuba ingaba ukusekwa kwamaziko ophuhliso lwabantwana abancinci (iiearly childhood development centres- ECDCs) eCape Flats kungadala uzinzo eluntwini, kukhuthaze ukuba ubani abe ngummi othatha uxanduva, ulutsha lungathabatheki lula kusini na. Uphando lomgangatho lwenziwe kumaziko iiECDCs ezikhethiweyo. Udliwano-ndlebe namaqela abantu abagcina abantwana kumaziko akhethiweyo kwanabaphathi baloo maziko luxhaswe ludliwano-ndlebe esiphathamandla sorhulumente wendawo. Esi sifundo sifikelele kwisigqibo esithi ezi ECDCs zikhethiweyo ziyazama kodwa zikhonkxwa ziingxaki ezahlukeneyo, nto leyo ithetha ukuthi azikwazi ukusetyenziswa ngokupheleleyo njengamaziko ophuhliso lomphakathi nangona umphakathi wona uzixabise kakhulu. Kunikwe iingcebiso zokuphucula imeko. / Development Studies / M.A. (Development Studies)

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The present thesis is concerned with the genesis, diffusion, impact and institutionalisation of economic ideas. Despite Keynes's oft-cited comments to the effect that 'the ideas of economists and political philosophers, both when they are right and when they are wrong, are more powerful than is commonly understood'(Keynes 1936: 383), and the highly visible impact of economic ideas (for example Keynesian economics, Monetarism, or economic ideas regarding deregulation and antitrust issues) on the economic system, economists have done little to systematically explore the spread and impact of economic ideas. In fact, with only a few notable exceptions, the majority of scholarly work concerning the spread and impact of economic ideas has been developed outside of the economics literature, for example in the political institutionalist literature in the social sciences. The present thesis addresses the current lack of attention to the spread and impact of economic ideas by economists by drawing on the political institutionalist, sociological, and psychology of creativity literatures to develop a framework in which the genesis, spread, impact and institutionalisation of economic ideas may be understood. To articulate the dissemination and impact of economic ideas within economics, I consider as a case study the evolution of economists' conception of the economic agent - "homo oeconomicus." I argue that the intellectual milieu or paradigm of economics is 'socially constructed' in a specific sense, namely: (i) economic ideas are created or modified by particular individuals; (ii) economic ideas are disseminated (iii) certain economic ideas are accepted by economists and (iv) economic ideas become institutionalised into the paradigm or milieu of economics. Economic ideas are, of course, disseminated not only within economics to fellow economists, but are also disseminated externally to economic policy makers and business leaders who can - and often do - take economic ideas into account when formulating policy and building economic institutions. Important economic institutions are thereby socially constructed, in the general sense proposed by Berger and Luckmann (1966). But how exactly do economic ideas enter into this process of social construction of economic institutions? Drawing from and building on structure/agency theory (e.g. Berger and Luckmann 1966; Bourdieu 1977; Bhaskar 1979/1998, 1989; Bourdieu 1990; Lawson 1997, 2003) in the wider social sciences, I provide a framework for understanding how economic ideas enter into the process of social construction of economic institutions. Finally, I take up a methodological question: if economic ideas are disseminated, and if economic ideas have a real and constitutive impact on the economic system being modelled, does 'economic science' then accurately and objectively model an independently existing economic reality, unchanged by economic theory, or does economic theory have an interdependent and 'reflexive' relationship with economic reality, as economic reality co-exists with, is shaped by, and also shapes economic theory? I argue the latter, and consider the implications for evaluating in what sense economic science is, in fact, a science in the classical sense. The thesis makes original contributions to understanding the genesis of economic ideas in the psychological creative work processes of economists; understanding the ontological location of economic ideas in the economic system; articulating the social construction of economic ideas; and highlighting the importance of the spread of economic ideas to economic practice and economic methodology.