Technology Entrepreneurship and Sustainable Development (Disaster Risk Reduction) 9811920524, 9789811920523

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Disaster Risk Reduction Methods, Approaches and Practices

Pradeep Ray Rajib Shaw   Editors

Technology Entrepreneurship and Sustainable Development

Disaster Risk Reduction Methods, Approaches and Practices

Series Editor Rajib Shaw, Keio University, Shonan Fujisawa Campus, Fujisawa, Japan

Disaster risk reduction is a process that leads to the safety of communities and nations. After the 2005 World Conference on Disaster Reduction, held in Kobe, Japan, the Hyogo Framework for Action (HFA) was adopted as a framework for risk reduction. The academic research and higher education in disaster risk reduction has made, and continues to make, a gradual shift from pure basic research to applied, implementation-oriented research. More emphasis is being given to multi-stakeholder collaboration and multi-disciplinary research. Emerging university networks in Asia, Europe, Africa, and the Americas have urged process-oriented research in the disaster risk reduction field. With this in mind, this new series will promote the output of action research on disaster risk reduction, which will be useful for a wide range of stakeholders including academicians, professionals, practitioners, and students and researchers in related fields. The series will focus on emerging needs in the risk reduction field, starting from climate change adaptation, urban ecosystem, coastal risk reduction, education for sustainable development, community-based practices, risk communication, and human security, among other areas. Through academic review, this series will encourage young researchers and practitioners to analyze field practices and link them to theory and policies with logic, data, and evidence. In this way, the series will emphasize evidence-based risk reduction methods, approaches, and practices.

More information about this series at https://link.springer.com/bookseries/11575

Pradeep Ray · Rajib Shaw Editors

Technology Entrepreneurship and Sustainable Development

Editors Pradeep Ray Centre For Entrepreneurship University of Michigan Joint Institute Shanghai Jiao Tong University Shanghai, China

Rajib Shaw Graduate School of Media and Governance Keio University Fujisawa, Kanagawa, Japan

School of Population Health UNSW-Medicine Sydney, Australia

ISSN 2196-4106 ISSN 2196-4114 (electronic) Disaster Risk Reduction ISBN 978-981-19-2052-3 ISBN 978-981-19-2053-0 (eBook) https://doi.org/10.1007/978-981-19-2053-0 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

Preface

The world is facing different development challenges, disaster and climate change risks and other associated complex risks. On the other hand, technology is progressing very fast in different areas. While it is very important to have technology development, it is equally important to ensure that technology reaches people and communities and addresses social challenges. Entrepreneurship is the key for developing social innovation and address the grass root issues. This book provides an overview of how technology entrepreneurship has been evolving in different sectors, such as education, health, environment and disaster management. The book has two sections and 17 chapters all together. The book starts with an overview and description of technology innovation ecosystem and outline of the chapters. There are two sections in the book. Education and well-being section has eight chapters and climate change, environment and disaster management has also eight chapters. Covering significant aspects of entrepreneurship, technologies and development issues, this book is intended for students, researchers, academia, policymakers and development practitioners in the fields of public health, emerging technology, social business and social innovation, which has a strong relevance to Asia Pacific and beyond. It will help to better understand the different examples of entrepreneurship development and social business. We will be happy if the readers find this book useful and relevant. Shanghai, China Fujisawa, Japan

Pradeep Ray Rajib Shaw

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About This Book

The world is now witnessing a spectacular rise of technology entrepreneurship, involving mobile phones, artificial intelligence, geospatial information systems and social media. On the other hand, the governments all over the world (particularly the low- and medium-income countries) are facing severe resource constraints in developing the livelihood and well-being of the citizens. Hence there is a strong need for entrepreneurship for sustainable development. Although many non-government organizations (NGOs) are working hard on various development projects in a number of social sectors (e.g., health, education, disabilities, poverty alleviation, environment etc.), there is substantial scope for technological innovation and hence more efficient, effective and user-friendly solutions in different parts of the world. This book focuses on the perspective of Asia, the fastest growing region in the world. This book analyzes recent advances, trends, challenges and potentials of technology entrepreneurship and sustainable development with examples from Asia, Europe and America. Covering different aspects of entrepreneurship, this book is a valuable resource material for students, researchers, academia, policymakers and development practitioners.

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Contents

1

Overview of Technology Entrepreneurship for Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Pradeep Ray and Rajib Shaw

Part I 2

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4

5

1

Education and Well-Being

Experiential Learning Approaches for Enhancing Development Skills: A Review of the Social Business Canvas as a Pedagogical Tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Faiz Shah, Brian Caraway, Pathit Ongvasith, Brian McKeown, and Callum Mackenzie

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Practicum-Oriented Entrepreneurship Education: A Systematic Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Tianyu Chen, Yuanchen Bai, Pradeep Ray, and Gang Zheng

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Applicability of Business Model Canvas in the Context of Entrepreneurship in Asia: A Systematic Literature Review . . . . . Sheng Qiao, Gongyu Chen, and Pradeep Ray

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Global Entrepreneurship Sustainability Through Evolving Ecosystems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Zhigang Zhang and Yang Xu

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6

Starting Up STEAM in China: A Case Study of Technology Entrepreneurship for STEAM Education in China . . . . . . . . . . . . . . . 115 Sam Ro, Siqi Xiao, and Zhoumin Zhou

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Sustainable Societal Development Through Holistic Education Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 Sankar Halder and Padmanava Sen

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8

The Role of Technology Entrepreneurship in Facilitating Corporate Donations: A Model for B2B Social e-Business Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159 Samsul Alam, Md. Rakibul Hoque, and Pradeep Ray

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Harnessing Mobile Technologies for Healthy Living: A Case Study on Smoking Cessation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 Koel Ghorai and Pradeep Ray

Part II

Climate, Environment, and Disaster Management

10 Linking Climate Action and Sustainable Development Goals by Activating Co-Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 Sardar Masud Karim and Pradeep Ray 11 Social Entrepreneurship and Disaster Risk Reduction—A Case of India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217 Muhammed Sulfikkar Ahamed, Ranit Chatterjee, and Rajib Shaw 12 Mapping Water Salinity in Coastal Areas Affected by Rising Sea Level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237 Kwee-Yan Teh, Soong-Chul Ro, and Pradeep Ray 13 Citizen Science for Urbanization, Disaster, and Environmental Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249 Pradip Khatiwada and Rajib Shaw 14 Technology and Innovation for Societal Resilience Through Multistakeholder Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265 Roshni Pramanik 15 Technology Entrepreneurship and Wildfire Risk Management . . . . . 277 Shefali Juneja Lakhina and Anukool Lakhina 16 A Sustainable Water Supply Business Model by Utilization of the Innovative Water Flocculants, a Case Study in Bagamoyo, Tanzania . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 Yasuhiro Soshino, Omar Juma, and Akira Miyata 17 Emerging Technologies and Innovation to Reach Out to Vulnerable Populations in Nepal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 U. Kharel, A. Sigdel, S. Uprety, T. Ng’ong’a, and J. I. Ginting

Editors and Contributors

About the Editors Pradeep Ray is the Founder-Director of the Centre for Entrepreneurship (CFE) at the University of Michigan-Shanghai Jiao Tong University, China and Honorary Professor, School of Population Health, UNSW Medicine in Australia. The CFE has been leading international entrepreneurship education in China and Asia through the Minor in Entrepreneurship for engineering students in collaboration with the industry and international organisations, such as IEEE, partner institutions and the Yunus Centre. He is currently leading research on social entrepreneurship, such as Universal Healthcare based on UN Sustainability Development Goals (SDGs) through public-private partnerships. He has been leading initiatives on Technology Entrepreneurship on Sustainable Development in Asia through collaborative projects on mHealth and Healthy Ageing involving more than 50 researchers from about 15 countries that led to the edited book “Mobile Technologies for Delivering Healthcare in Remote, Rural or Developing Regions” IET Press, London (2020) led by Pradeep Ray. Previously, Pradeep was the founder and Director for 10 years at the Asia Pacific ubiquitous Healthcare research Centre (APuHC) University of New South Wales (UNSW), Australia that was designated as a WHO Collaborating Centre on eHealth (in 2013). He has been the founder of IEEE Healthcom, the premier international conference on eHealth that has been held annually since 1999. Rajib Shaw is a professor in the Graduate School of Media and Governance in Keio University, Japan. He is also the Senior Fellow of Institute of Global Environmental Strategies (IGES) Japan, and the Chairperson of SEEDS Asia and CWS Japan, two Japanese NGOs. He is also co-founder of a Delhi-based (India) social entrepreneur startup Resilience Innovation Knowledge Academy (RIKA). Earlier, he was the Executive Director of the Integrated Research on Disaster Risk (IRDR) and was a Professor in Kyoto University. His expertise includes disaster governance, community-based disaster risk management, climate change adaptation, urban risk management, and disaster and environmental education. Professor Shaw was the

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Chair of the United Nations Science Technology Advisory Group (STAG) for disaster risk reduction; and currently the Co-chair of the Asia Pacific Science Technology Academic Advisory Group (ASTAAG). He is also the CLA (Coordinating Lead Author) for Asia chapter of IPCC’s 6th Assessment Report. He is the editor-in-chief of the journal “Progress in Disaster Science”, and series editor of a Springer book series on disaster risk reduction. Prof. Shaw has published 55 books and over 400 academic papers and book chapters.

Contributors Samsul Alam Begum Rokeya University, Rangpur, Bangladesh Yuanchen Bai Center for Entrepreneurship, UM-SJTU (University of MichiganShanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China Brian Caraway Yunus Professional Master’s (YPM), Asian Institute of Technology, Pathum Thani, Thailand Ranit Chatterjee Resilience Innovation Knowledge Academy, New Delhi, India; Graduate School of Informatics, Kyoto University, Kyoto, Japan Gongyu Chen Center for Entrepreneurship, UM-SJTU(University of MichiganShanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China Tianyu Chen University of Michigan, Ann Arbor, MI, USA Koel Ghorai School of Population Health, UNSW Medicine and Health, Sydney, NSW, Australia J. I. Ginting World Vision International Nepal, KC Tower, Lalitpur, Nepal Sankar Halder Mukti, Kolkata, West Bengal, India Md. Rakibul Hoque University of Dhaka, Dhaka, Bangladesh Omar Juma Japanese Red Cross Kumamoto Hospital, Kumamoto, Japan; Japanese Red Cross College of Nursing Disaster Management Research Institute, Tokyo, Japan; Ifakara Health Institute, Bagamoyo, Tanzania Sardar Masud Karim CRC for Low Carbon Living, UNSW, Sydney, Australia U. Kharel World Vision International Nepal, KC Tower, Lalitpur, Nepal Pradip Khatiwada Youth Innovation Lab, Kathmandu, Nepal Anukool Lakhina Wonder Labs, San Jose, CA, USA Shefali Juneja Lakhina Wonder Labs, San Jose, CA, USA

Editors and Contributors

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Callum Mackenzie Yunus Professional Master’s (YPM) Practicum Instructors, Asian Institute of Technology, Pathum Thani, Thailand Brian McKeown Yunus Professional Master’s (YPM), Asian Institute of Technology, Pathum Thani, Thailand Akira Miyata Japanese Red Cross Kumamoto Hospital, Kumamoto, Japan; Japanese Red Cross College of Nursing Disaster Management Research Institute, Tokyo, Japan T. Ng’ong’a World Vision International Nepal, KC Tower, Lalitpur, Nepal Pathit Ongvasith Asian Institute of Technology, Pathum Thani, Thailand Roshni Pramanik RISE (Research Institutes of Sweden), Göteborg, Sweden Sheng Qiao Center for Entrepreneurship, UM-SJTU(University of MichiganShanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China Pradeep Ray Centre For Entrepreneurship, University of Michigan-Shanghai Jiao Tong University Joint Institute, Shanghai, China; University of Michigan-Shanghai Jiao Tong University Joint Institute, Shanghai Jiao Tong University, Shanghai, China; Honorary Professor, School of Population Health, UNSW Medicine, Kensington, Australia Sam Ro Center for Entrepreneurship, UM-SJTU (University of Michigan-Shanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China Soong-Chul Ro University of Michigan-Shanghai Jiao Tong University Joint Institute, Shanghai Jiao Tong University, Shanghai, China Padmanava Sen Mukti, Kolkata, West Bengal, India; Research Group Leader, Barkhausen Institut, Dresden, Germany; Director of Projects, Asha for Education, Walnut, USA Faiz Shah Yunus Professional Master’s (YPM), Asian Institute of Technology, Pathum Thani, Thailand Rajib Shaw Graduate School of Media and Governance, Keio University, Fujisawa, Japan; Resilience Innovation Knowledge Academy, New Delhi, India A. Sigdel World Vision International Nepal, KC Tower, Lalitpur, Nepal Yasuhiro Soshino Japanese Red Cross Kumamoto Hospital, Kumamoto, Japan; Japanese Red Cross College of Nursing Disaster Management Research Institute, Tokyo, Japan Muhammed Sulfikkar Ahamed Resilience Innovation Knowledge Academy, New Delhi, India

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Kwee-Yan Teh University of Michigan-Shanghai Jiao Tong University Joint Institute, Shanghai Jiao Tong University, Shanghai, China S. Uprety World Vision International Nepal, KC Tower, Lalitpur, Nepal Siqi Xiao Center for Entrepreneurship, UM-SJTU (University of MichiganShanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China Yang Xu neoBay, Shanghai, China Zhigang Zhang neoBay, Shanghai, China Gang Zheng Center for Entrepreneurship, UM-SJTU (University of MichiganShanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China Zhoumin Zhou Center for Entrepreneurship, UM-SJTU (University of MichiganShanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China

Chapter 1

Overview of Technology Entrepreneurship for Sustainable Development Pradeep Ray and Rajib Shaw

Abstract Social innovation and entrepreneurship address social disparity and basic human needs in many countries. While on the one hand there has been tremendous progress in new technologies and social media over the past several years, the application of these technologies for social innovation is still a challenge. There is immense scope for making progress in entrepreneurship for promoting sustainable development, addressing basic issues like water, education, health, as well as disaster risks and climate change issues. This book provides an overview of how technology entrepreneurship has been evolving in different sectors, such as education, health, environment, and disaster management. Hence the book has been organized into two sections. Education and well-being section has eight chapters, and climate change, environment, and disaster management section also has eight chapters. Although each case has its unique approach, stakeholders, and processes, there are some commonalities observed across the different chapters as follows: (1) co-designing solution is the core of social innovation; (2) social business provides new job opportunities to youth; (3) there is a need for innovation ecosystem; (4) disaster risks need enhanced innovation; and (5) climate change and complex risk landscape. Keywords Environment · Disaster · Climate change · Entrepreneurship · Innovation ecosystem

P. Ray Founder-Director of the Centre for Entrepreneurship (CFE), UM-SJTU (University of Michigan-Shanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China e-mail: [email protected] School of Population Health, UNSW Medicine, Sydney, Australia R. Shaw (B) Graduate School of Media and Governance, Keio University, Fujisawa, Japan e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_1

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1.1 Introduction Technology pervades all walks of civilization today. For example, many people cannot live without their smartphones and social media (e.g., Twitter, Facebook, Whatsapp, WeChat, etc.), and countries and businesses are aggressively pursuing the exploitation of the latest technologies, such as the artificial intelligence, autonomous cars, 5G communication, etc. (Duening et al. 2014). The superpower geopolitical rivalry for supremacy is through technology controls such as semiconductor chips design and manufacturing. While, on the one hand, the technologies require huge, sustained investment over decades, on the other hand, technology exploitation for human society needs very strong levels of innovation and entrepreneurship, which is one of the most sought-after qualities expected of all professionals today. However, it is difficult to teach entrepreneurship in a classroom as it involves iterative, failureprone development requiring practical insights and an entrepreneurial mindset. Chapters 3–5 of this book provide some examples of how the teaching of entrepreneurship is evolving. Unfortunately, there are many disparities in the access to the basic human needs in different countries in the world, hence countries are classified into developed, developing, and under-developed categories. The aid (and support from global bodies, such as the UN) from developed to developing and under-developed countries is administered based on the needs of different countries and communities. Sustainable development of countries and society has come into focus, thanks to the pervasive use of the United Nations (UN) Sustainable Development Goals (SDGs) that has been accepted as a way to achieve the coordinated development of human and societal support for the needs in various sectors, such as healthcare, environment, education, waterm etc. (United Nations 2022). This book chapters provide some examples. However, there has been a realization that country-to-country aid and support are too little and inadequate for the sustainable development that needs strong innovation and entrepreneurship, leading to substantial research into what is known as “social entrepreneurship” as evidenced in the non-government organizations (NGOs) all over the world. They bring together the human zeal to support other humans with technology, innovation, and entrepreneurship to get the best out of the limited amount that people can give away. The Nobel Laureate Prof. Mohammad Yunus has suggested a simple way to summarize (for the common man) the main SDGs in terms of three zeros (zero poverty, zero unemployment, and zero net carbon emission) (Yunus 2018). He has also suggested three basic means of achieving the three zeros, namely technology, young innovative minds (education), and good governance. So the right technology is extremely important for us to effectively achieve the UN SDGs in the world. Chapter 2 discusses the evolving entrepreneurship education for social businesses as defined by Prof. Yunus in Yunus (2018). This book provides an overview of how technology entrepreneurship has been evolving in different sectors, such as education, health, environment, and disaster management. Hence the book has been organized into two sections. This introduction chapter starts in Sect. 1.2 with the relevant backgrounds of the two co-editors and

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the summary of the two sections. This is followed by a summary of all chapters in Sect. 1.1 of the book in Sect. 1.3. The next Sect. 1.4 provides a summary of all chapters in Sect. 1.2 of the book. This introduction chapter concludes with a summary of the book in Sect. 1.5.

1.2 Structure This book is organized into two sections, and each section consists of eight chapters. 1.

2.

Education and Well-Being: This section discusses technology entrepreneurship in the context of education and well-being and consists of eight chapters (Chaps. 2–9), which are further divided into three sub-categories: (1) Modeling of Technology Entrepreneurship for Sustainable Development (TESD) discussed in Chaps. 2–4, (2) Evolving Ecosystems (e.g., incubators) to support TESD as discussed in Chap. 5, and (3) Case Studies of TESD in education, health, and e-business as discussed in Chaps. 6–9. Climate, Environment, and Disaster Management: This section discusses social innovation and technologies to address challenges in disaster risk reduction and climate change. In this section, chapters focus on experiences of entrepreneurship in Sustainable Development Goals (SDGs), disaster risk reduction (DRR), water issues, citizen science, multistakeholder collaboration, wildfire, and emerging technologies. These are described in the following two sections.

1.3 Section 1: Education and Well-Being Chapter 2 discusses how education curricula are evolving in the context of technology entrepreneurship for social businesses that have been traditionally managed by governments, but they urgently need innovation and entrepreneurship to solve the problems cost-effectively in a holistic manner as suggested by UN SDGs. Among the transformational forces shaping our world are two concurrent trends that continue to change the way we look at problems and how we approach solutions. The first spans ubiquitous and user-friendly technologies that sync with the learning patterns and attention spans of a digitally savvy generation. The second comprises a rising demand for enterprise-led solutions for problems confronting sustainable development, along with severe mobility restrictions emerging from the Covid pandemic. For educators, this dual trend combines challenges and opportunities. This chapter explores whether it is possible to re-invent traditional pedagogies, not only to overcome conventional constraints but also to chart a high-quality learning experience that balances concepts and practice to equip students with practical skills. The contributors examine the Social Business Model Canvas as a case study, to describe how

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trends in technology and demand for entrepreneurship education, constrained by mobility, can be adapted to meet emerging demands. Chapter 3 draws upon the experience of Pradeep Ray and his team in shaping entrepreneurship education for engineering students. The chapter discusses a systematic literature review of a very important aspect (practicum) of entrepreneurship education for engineering students all over the world. In response to society’s need for innovation and social impact, universities around the world have realized the importance and potential benefits of incorporating entrepreneurship education into their curricula. Entrepreneurship education requires a multidisciplinary approach with a strong practicum component, involving industry partners. Technology entrepreneurship education requires strong collaboration with engineering education programs. This chapter discusses entrepreneurship education for undergraduate engineering students. Based on a systematic literature review, we identified various approaches to entrepreneurship and tradeoffs between forms of offerings, including major, minor, short courses, etc. Furthermore, we evaluated and compared the entrepreneurship education components at major institutions in the world. Since technology entrepreneurship is now a global means of sustainable development, the findings of this study may help design entrepreneurship education programs in developing countries at the undergraduate level, especially for engineering students. Chapter 4 discusses the role and education value of the de-facto standard technique for the testing and validation of entrepreneurial ideas called Business Model Canvas (BMC) introduced in Chap. 2. Since entrepreneurship plays an important part in the business world and economic development, there have been efforts to develop theories for the success of entrepreneurship. Business Model Canvas (BMC), one of the most successful and widely adopted business model archetypes, helps validate a start-up business idea. However, this powerful tool was developed and tested in the context of western world businesses, primarily in the USA and Europe. Its popularity and adoption in the context of Chinese and Asian businesses are not clear. To discover the actual adoption situation from an academic perspective and figure out the gaps in this topic, a systematic literature review (SLR) was carried out. By going through the main idea of each shortlisted article in the content analysis, some gaps are figured out. Considering the applicability and effectiveness of BMC in analyzing existing businesses, there exist gaps in assessing the efficiency and effectiveness of Chinese and Asian businesses. Current literature lacks studies on the validations of a startup idea using BMC and other BMC-adopted new models, especially from the perspectives of social businesses and the cultural context in regions, such as Asia. Chapter 5 discusses the important aspect of how entrepreneurship and innovation are being promoted through evolving ecosystems in different countries, particularly in China so that development can take place more efficiently and cost-effectively to the satisfaction of the growing number of technology and engineering graduates. Global entrepreneurship sustainability focuses on meeting not only the needs of the present stakeholders in innovation and entrepreneurship but also those of future generations. Based on the objective of entrepreneurship which is inspired by the ultimate purpose of the development of human society together with the roles of the incubator in addressing challenges encountered by entrepreneurs, this chapter sets forth

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the driving force of ecosystem evolution and its objectives in entrepreneurship as well as the characteristics of an evolving ecosystem contributing to global entrepreneurship sustainability. It encourages an incubator/accelerator to frame decisions in terms of technology transfer, industrial development as well as the economic and social impact for the long term, rather than on short-term profits as practiced by neoBay in Shanghai-China, which not only serves as the local ecosystem for innovation and entrepreneurship as the application layer with zero distance to university to activate regional vitality but also co-works with its international partners on the ecosystem for global collaboration and resourcing through three phases: Bilateral modality (Internationalization 1.0), Multiple modality (Internationalization 2.0) and Inter-ecosystem modality (Internationalization 3.0), which starts to boost collaboration between Asia and Europe in terms of innovation and entrepreneurship. Chapter 6 focuses on STEAM education. There has been a surge in STEAM (Science, Technology, Engineering, Arts, and Mathematics) education for K-12 students since the beginning of the twenty-first century. Chapter 6 also discusses the evolving case of using information technology (e.g., robots and toys) for educating school children in the concepts of STEAM, especially for the children with special needs (e.g., autistic children). This chapter sheds light on the current state of this relatively new but rapidly growing field of education through a case study of startups in Shanghai, China. We begin by summarizing general discussions on the key characteristics of STEAM education that distinguish it from traditional school education through a literature review. Three identified characteristics are: (1) the focus on real-world problem-solving, (2) the utilization of project-based learning methods, and (3) the emphasis on interdisciplinary principles. These key characteristics form the basis of evaluating STEAM program in China. For the analysis of its viability as a business, we first analyze the business model using Business Model Canvas followed by an analysis of the business environment within which it operates. The study concludes by drawing implications regarding the practical implementation of the STEAM program as well as running a social business based on STEAM Education in China. Chapter 7 presents a fascinating example of social entrepreneurship for holistic, sustainable development of a large UN heritage-listed natural reserve called Sundarbans in the difficult, cyclone/flood-prone region near the ferocious Bay of Bengal, spanning two countries (India and Bangladesh) through the hands-on, pioneering work of the major NGO called Mukti. Mukti is a socio-economic organization, working in the domain of health, education, agriculture, livelihood, environment, rights, and disaster management, operating in Sundarbans, the largest delta, and a rural community in South Asia. Mukti surveyed different islands in 2005 with education rates as low as 20% and identified education as a possible game-changer in the communities of Sundarbans in the West Bengal state of India. Different educational and support programs covering elementary education to postgraduation levels have been developed for underprivileged students across rural communities, supplementing the existing educational system. To close the gaps between education and employability, vocational training and placement organizations have been established through the cooperation of volunteers from all over the world using digital platforms.

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Chapter 8 starts the subsection of case studies to illustrate the real application of entrepreneurship and innovation for sustainable development in different sectors, such as support for the disadvantaged, education, healthcare, etc. Chap. 8 also illustrates how digital technology can help with the efficient deployment of social businesses based on corporate donations. With the accelerated pace of technological innovation, many local and international corporations have been entering into eMarketplace, launching new business models, and constantly generating new ideas for serving society. The rising labor costs of business necessitate the exploitation of the evolving e-Business technologies for the optimal utilization of corporate donations. Such technologies have transformed the B2B global marketing of products and services from developing countries, as seen in the success of the Alibaba group in China. The purpose of this study is to develop a B2B social e-Business model and subsequent implementation of a digital platform to facilitate donations from donors to eligible recipients all over the world. A case study has been presented to illustrate the practical feasibility of the model. Chapter 9 presents an example of how mobile apps technologies are revolutionizing well-being through the monitoring of exercises, diet compliance with supermarket products, health conditions, and healthy life practices (e.g., smoking cessation). Mobile technologies (symbolized by the ubiquitous mobile phone) offer many opportunities for entrepreneurship as evidenced by thousands of apps made available through the app stores. This chapter discusses the role of entrepreneurship through the development and deployment of innovative mobile apps for motivating people to follow a healthy lifestyle, e.g., giving up smoking. The chapter highlights emerging multidisciplinary innovative techniques, such as persuasive system design (PSD) in the development of such mobile apps. Similar innovations are happening in various other applications related to healthy living, such as exercising, diet management, health condition monitoring, etc. Lastly, this chapter also shows that entrepreneurship is now widely embraced not only for profits but also for social service. Hence many mobile apps (e.g., for smoking cessation) are encouraging social entrepreneurship.

1.4 Section 2: Climate, Environment, and Disaster Management Chapter 10 addresses the SDGs (Sustainable Development Goals) and focuses on co-benefits. Climate change is posing a major challenge for sustainable development. Achieving sustainable development requires action across multiple dimensions beyond climate change mitigation goals. Recognizing the non-climate-related benefits of climate action and purposefully considering them in the policy process can address the two issues together and simultaneously deliver climate change mitigation and sustainable development goals. This article explores the possible linkages and synergies between climate action and SDGs and how best to establish those linkages in the policy process to attain synergies by activating co-benefits. Presenting

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the main findings of a broader study focusing on the use of “co-benefits approach” by a local government in Australia in their efforts to link climate action with local development policy goals, it suggests measures that could assist policymakers to purposefully consider, plan, generate, and activate co-benefits to link climate action with local development goals. The article concludes by discussing the policy implications of the findings, the transferability of the research to settings outside Australia, and possible directions for future research. Chapter 11 reviews social entrepreneurship and social innovation in disaster risk reduction in India. The Sendai Framework for Disaster Risk Reduction 2015–30 has stressed public and private investments for empowering the social, economic, and cultural resilience of the communities, and suggests that these investments could be the driver of innovation, growth, and job creation. Social entrepreneurship is an emerging field with over 40 million global workforces and holding significant shares in the gross domestic product of countries such as the United Kingdom and France. Despite its growing popularity, social entrepreneurship is still new in disaster risk reduction. This chapter attempts to provide key learning on social enterprises and their characteristics from the literature study. The authors have undertaken a systemic review of key pieces of literature to promote a conceptual framework. Further, the authors have applied the framework to selected case studies from India in disaster management to derive key insights for social entrepreneurship. The outcome of the study is to derive an effective instrument for the characterization of social entrepreneurship and to promote a way forward. Chapter 12 describes innovative ways to map water salinity in coastal areas in Bangladesh. Global climate change is leading to rising and accelerating sea level that threatens communities in low-lying coastal areas. One particular vulnerability is the intrusion of seawater into coastal aquifers. The resulting salinization of groundwater and surface water resources exposes coastal communities to multiple hazards, including health risks associated with elevated salt intake through drinking water from these resources. This chapter discusses two technology development projects that spanned China and Bangladesh to measure and map out the salinity of underground water, which is the dominant source of drinking water in coastal Bangladesh. The projects were led by two groups of Year-Four university engineering students and entailed first the design of a low-cost salinity data logger, then followed by the development of geographical information system-based mobile app with capabilities for real-time salinity and weather data updates and spatial data visualization. The projects improved student awareness of the impacts of engineering designs on the global challenges of climate change and public health and inculcated in them an interest in technology for sustainable development. Chapter 13 focuses on the role of citizen science in addressing urban and environmental issues in Nepal. Rapid urbanization around the world has come with problems such as environmental degradation, stress on resources due to increasing demand, incompetent or incompatible supply mechanisms, and lack of strong governance. On top of these grievances, urban communities are highly vulnerable to disaster

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and environmental impacts. Hence, in addressing these problems urban development should lean toward a data-driven approach especially accounting for citizengenerated data and technologies. The paper showcases how volunteered geographic information is being used in solving critical urban issues, particularly disaster risk reduction and environmental management. This chapter instigates the motivation in the contribution, challenges, and sustainability of citizen-generated data in the context of Nepal from campaigns, such as mapping in OpenStreetMap, urban street lights mapping, and urban tree mapping. Additionally, the paper highlights how these datasets are being used to draw the attention of policymakers and unlock the potential of data-driven decision-making to solve urban issues. Citing an example from Sweden, Chap. 14 shows the importance of social resilience and multistakeholder cooperation. The chapter engages in exploring possibilities of innovation and use of future technology arising from multistakeholder collaboration in essential societal functions such as public services, critical infrastructure systems, and the public policy arena. Multistakeholder collaboration is the key to adaptation and resilience amidst the fast-changing twenty-first-century world around us. Owing to increased interconnectedness and interdependencies of complex sociotechnical systems, critical infrastructures, and essential services, our socio-technical relationships have also grown more complex. On the one hand, the tightly coupled systems, services, and infrastructures are highly optimized while, on the other hand, because of their high optimization and tightly coupled nature, these systems are often more prone to catastrophic disruptions and crises. So, what is the way forward to effectively increase adaptation and resilience? The chapter engages in a discussion of boundary-spanning activities such as the essential public services where multistakeholder collaboration among various actors, i.e., public, private, academia, and the industry is inevitable due to cross-cutting issues, demands, and challenges. With examples of successful cases and evidence from scientific literature, the chapter makes a convincing case in favor of multistakeholder collaboration as a powerful tool to raise societal resilience. Chapter 15 focuses on California wildfire experiences. This chapter examines the development, applications, and future scope of technology entrepreneurship in wildfire risk management. The first section outlines key wildfire risk trends worldwide by highlighting how infrastructure losses and ecosystem damages from wildfires continue to increase significantly each year with lasting impacts on community wellbeing and sustainable development outcomes. The section underlines the imperative for greater technology applications in wildfire risk management, hereafter referred to as “FireTech”. The second section assesses key areas of progress and challenges in wildfire risk management and shows how FireTech is contributing to effective wildfire risk management across four key priorities for action aligned with the Sendai Framework for Disaster Risk Reduction (2015–2030). The final section shows how technology entrepreneurship in FireTech is being enabled by a range of factors, including greater policy and legislative commitment and the increasing availability of state, philanthropic, and private investment funds. The chapter concludes by outlining how FireTech can develop in ways that are just, inclusive, and responsive to disaster risk reduction and sustainable development goals.

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Chapter 16 explains sustainable water supply business models in Tanzania. Various studies point out that there is a significant link between the access to safe water and the school attendance of children, particularly girls. In terms of access to safe water, its impact on livelihoods must not be ignored. For providing safe water in developing countries and affordable and sustainable technologies in other worlds, appropriate technologies should be used whilst sustainability of the service is crucial. In this way, access to safe water in developing countries, rural areas in particular, remains a challenge and the sustainable service model is needed based on the appropriate technology which is suitable for the local context. Therefore, this study discussed the impact and the sustainability of the water supply service in rural areas of Bagamoyo, Tanzania, operated by a Japanese small-medium enterprise, “Poly-Glu Social Business”. The company installed a water plant using affordable water flocculants and recruited the plant staff from the local community. The multisectoral studies were conducted by assessing the health, livelihood, and education impacts by comparing the intervention and control villages in the study areas. As a result, this study found a positive impact on health, livelihood, and education in the intervention village such as the reduction of water-related diseases, reduction of the time for water fetching by the school children, and allocation of the spare time for livelihood activities instead of using the time for the water fetching. On the other hand, this study also found that the inequality in the availability of the water services in the intervention village is due to the long distance from the water plant. For further expansion of the water services and the service sustainability, this study pointed out the collaboration of the local education hubs for entrepreneurship. Chapter 17 explains the experiences of World Vision in using emerging technologies in Nepal. At the dawn of the Fourth Industrial Revolution (Industry 4.0) shaped by AI, blockchain, the Internet of Things, multiverse, and quantum computing (World Economic Forum, 2016), the emphasis on creativity and innovation, entrepreneurship, and technology development also affects the ways the so-called non-profit sectors design and implement development and humanitarian programs in developing countries like Nepal. Following the 2015 Nepal’s Earthquake Response, World Vision International Nepal (WVI Nepal) has ideated, prototyped, and scaled-up communityfocused innovative solutions like Sikka, KITAB Bazar, and Participatory Disaster Risk Assessment (PDRA) tools integrated into its development and humanitarian initiatives. Sikka uses blockchain technology to ensure cash and voucher distributions are transparent and trackable and the system has been used to assist 92,788 people during the COVID-19 response. Similarly, KITAB Bazar, an online marketplace platform has served 53,412 children in 831 community schools by providing 133,008 supplementary reading books in local languages through the platform. Likewise, the PDRA tool capacitates communities to identify disaster-prone areas and engage stakeholders for response through a mobile application.

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1.5 Summary This book describes some innovative ideas, examples, challenges of entrepreneurship, innovation in different development sectors like health, education, water, as well as climate change and disaster risk reduction issues. Although each case has its unique approach, stakeholders, and processes, there are some commonalities observed across the different chapters as follows: 1.

2.

3.

4.

5.

Co-designing solution is the core of social innovation: Any specific social innovation needs to have a collaborative approach with local communities and it needs to be customized based on the local needs and priorities. Social business provides new job opportunities to youth: Youth involvement is essential in social business, which creates new job opportunities, and reduces the unemployment rate. Need for an innovation ecosystem: While it is important to have an individual start-up and social innovation, there needs to be an ecosystem to foster and nurture innovation. Disaster risks need enhanced innovation: Disaster risks across the globe, both slow onset (like water stress, salinity, and drought) and fast onset (typhoon, flood, forest fire, etc.), provide immense opportunities for social innovation. Climate change and complex risk landscape: Due to global climate change and other emerging risks like a global pandemic, the risk landscape is gradually becoming complex. Therefore, traditional approaches have challenges and need new innovation.

References Duening T, Hisrich R, Lechter M. (2014) Technology entrepreneurship, 2nd edn. Academic Press; eBook ISBN: 9780124202344, Paperback ISBN: 9780124201750 United Nations (UN) (2022) Sustainable Development Goals (SDGs), https://www.un.org/sustai nabledevelopment/. Accessed January 2022 Yunus M (2018) A world of three zeros: the new economics of zero poverty, zero unemployment, and zero net carbon emissions, paperback. ISBN13: 978-1541742390

Part I

Education and Well-Being

Chapter 2

Experiential Learning Approaches for Enhancing Development Skills: A Review of the Social Business Canvas as a Pedagogical Tool Faiz Shah, Brian Caraway, Pathit Ongvasith, Brian McKeown, and Callum Mackenzie Abstract Among the transformational forces shaping our world are two concurrent trends that continue to change the way we look at problems, and how we approach solutions. The first spans ubiquitous and user-friendly technologies that sync with the learning patterns and attention span of a digitally savvy generation. The second comprises a rising demand for enterprise-led solutions for problems confronting sustainable development, along with severe mobility restrictions emerging from the COVID pandemic. For educators, this dual trend combines challenges and opportunities. This chapter explores whether it is possible to re-invent traditional pedagogies, not only to overcome conventional constraints but also to chart a highquality learning experience that balances concepts and practice to equip students with practical skills. The contributors examine the Social Business Model Canvas as a case study, to describe how trends in technology and demand for entrepreneurship education, constrained by mobility, can be adapted to meet emerging demands. Keywords Learning technologies · Learning design · EdTech · Enterprise-led solutions · Tech-driven pedagogies · Experiential learning · Business Model F. Shah (B) · B. Caraway · B. McKeown Yunus Professional Master’s (YPM), Asian Institute of Technology, Pathum Thani, Thailand e-mail: [email protected]; [email protected] B. Caraway e-mail: [email protected] B. McKeown e-mail: [email protected] P. Ongvasith Asian Institute of Technology, Pathum Thani, Thailand e-mail: [email protected] C. Mackenzie Yunus Professional Master’s (YPM) Practicum Instructors, Asian Institute of Technology, Pathum Thani, Thailand e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_2

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Canvas (BMC) · Social Business Model Canvas (SBMC) · Entrepreneurship education

2.1 Introduction Among the transformational forces shaping our world are two concurrent trends that continue to change the way we look at problems, and how we approach solutions. The first is the sharp spike in user-friendly and ubiquitous technologies (Vroom et al. 2012) that sync with the learning patterns and attention span of a digitally savvy generation (Jones et al. 2007). The second comprises a rising demand for enterpriseled solutions for problems confronting society (Larderel 2002; Yunus 2009; Cha & Wei 2016; Shah 2020), articulated within the framework of the UN Sustainable Development Goals (SDGs).1 Both trends are in themselves transformational for society, but placed within the context of more than 111,000 COVID-related travel restrictions as of December 2020 (Benton et al. 2021), the world of knowledge creation and transfer of learning has been changed forever. This is not only a time of unprecedented challenges for educators but also a time to explore new opportunities. This chapter explores how traditional pedagogies are being re-invented, not only to overcome conventional constraints but also to chart a high-quality learning experience that balances concepts with the practice of equipping students with practical skills (Tomei 2010; Shah 2021). The contributors examine the Social Business Model Canvas as a case study to describe how trends in technology and demand for entrepreneurship education, constrained by mobility, can be adapted to meet emerging demands. The first section views the Social Business Model Canvas (SBMC) within its pedagogical context, introducing service-based experiential learning as an increasingly relevant instructional approach for digitally savvy students (Astin et al. 2000, Bell 2020). References to adaptive educational technologies (EdTech) indicate the fast-evolving learning needs of a new generation of action-oriented students in a world characterized by increased digital connectivity and reduced physical mobility. This section examines the rationale for choosing the SBM Canvas as a case study. The second section traces the origins and progression of Osterwalder’s (2010) Business Model Canvas (BMC) as a tool, the need for it was created to fill, and its evolving usage and range across learning environments and topics. Exploring the design outcomes the BMC was originally designed for, this section maps important parallel developments that may have expanded the BMC’s experiential learning potential, including variants such as the Lean Canvas and the SBMC, or emerging

1

All authors associated with the Yunus Professional Master’s (YPM) program at the Asian Institute of Technology, Thailand. Faiz Shah, YPM Director and corresponding author, Callum Mackenzie and Pathit Ongvasit, YPM Practicum instructors, Brian Carraway and Brian McKeown, YPM Scholars.

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digital formats that help expand the SBMC’s application to hybrid, distributed, and multi-modal applications for learners dispersed across distances. The third section reviews the authors’ practical experience with the SBMC and introduces a framework for assessing its experiential learning value. The discussion projects lessons from applying SBMC in a variety of learning environments into generalizable findings for wider use, particularly in the fast-evolving world of digital learning. Examples comprise anonymized synthesis from actual experience, as well as reviews drawn from published or anecdotal sources, chosen to draw critique in the section to follow. The fourth section attempts a constructive critique of SBMC, gleaned from the foregoing discussion, to contextualize the core elements of the tool itself from a practical perspective and applies it to experiential learning situations through a StrengthsWeaknesses-Opportunities-Threats (SWOT) approach. Each SWOT aspect supports the 360° examination of the SBMC. The fifth section puts into perspective, the future of the SBMC by validating its evolutionary potential as an experiential learning tool capable of integrating the learning needs of digitally savvy learners with technology trends shaping the learning environment. It explores innovative uses and adaptations of the SBMC that can tether future projections to the thread of the chapter, and engages the reader in reflecting on how the SBMC could become a more effective and encompassing experiential learning tool.

Key messages: 1. 2.

3.

4.

Ubiquitous and user-friendly technologies are emerging that suit the learning patterns and attention span of digitally savvy students. Rising demand for enterprise-led approaches to challenges of sustainable development, particularly in the mobility-restricted world, requires innovative experiential learning alternatives. Challenges and opportunities for educators include re-inventing traditional pedagogies that offer an efficient and high-quality learning experience that balances concepts and practice. The Social Business Model Canvas examined as a case study describes one way in which trends in technology and demand for entrepreneurship education can be adapted to new learning needs.

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2.2 Social Business Model Canvas in Context 2.2.1 Ubiquitous Technologies, Traditional Pedagogies, and Learning Patterns Since the 1980s, the direct application of information and communication technologies (ICT) to everyday life has risen sharply, seamlessly creating “a personal and context-dependent interaction” between a dispersed and ubiquitous computing environment and any individual who has access to it Gerritsen & Horvath (2010). This effortless nomadic connectivity—referred to as the third wave of computing—has also had a particular impact on knowledge creation and transfer of learning. Students in modern digital classrooms are connected to dispersed sources of information, often held in cloud servers, in real time with personal or mobile devices in multimedia learning environments. Educational technologies continue to move apace with advances in augmented or virtual reality (AR/VR) and artificial intelligence (AI), challenging educators to re-interpret learning principles suited to traditional classroom instruction for a millennial generation whose ICT-infused experience has trained them to process information differently than those preceding them (Nevid 2011). Top educational technology (EdTech) trends predicted over the past decade are now mainstream technologies. Students read on digital devices, learn through gamification, access materials placed on cloud servers, and take tests that are calibrated to individual learning using artificial intelligence. More and more materials are available via mobile phone applications, and virtual reality classrooms are not too far behind (Jobanputra 2018; Bui 2020). While access to knowledge and learning models, duly adapted to changing learning behaviors has benefited from hybrid, online delivery models, to make distance learning mainstream, it has spawned a number of challenges for educators. “EdTech”—which is in its essence, simply the use of technology for enhancing the learning experience, remains the predominant trend in education. EdTech is expanding into multimedia-assisted learning inside and outside class, and increasingly, relies on AI and blockchains for routine teaching support such as grading or validation. Meanwhile, social media’s omnipresence is increasingly being leveraged for influencing collaborative mass learning (Bui 2020). Barakhsanova et al. (2016) note that the pace of technological advancement demands an equally high pace of pedagogical innovation, focused on three types of technologies, namely “information, activity and organizational”. Core content can be delivered effectively online via readily accessible ubiquitous technologies that enable access to learning content for all kinds of learners in any kind of learning environment. Yet, delivering applied aspects of practical learning confronts educators with their biggest challenge in a mobility-restricted world, because content delivered through digital technologies cannot compensate for the lack of face-to-face, real-time learning interaction. This is where educators seek to re-think experiential or service-learning models as appropriate instructional approaches that respond to

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the needs of digitally savvy students on the one hand and increase grasp through innovative “learning by doing” models on the other hand.

2.2.2 Rising Demand for Enterprise-Led Solutions for Sustainable Development Concurrent with the paradigm shift in knowledge transfer and learning behaviors is an increasing demand for building capacity for entrepreneurship (Daud et al. 2017). Particularly, as a consequence of the cataclysmic COVID-19 pandemic and its negative impact on global value chains, employment, market demand for products, consumer attitudes, and the demand for social business and entrepreneurship skills have shot forward with even greater speed (Mescon and Rest 2021). There are over 5,000 social entrepreneurship courses on offer in various universities and programs, up from about 300 just over a decade ago. All major world universities now offer social innovation, or social enterprise programs (Burke 2021) amid government incentives for individuals who have entrepreneurial aspirations. In this milieu, the Business Model Canvas (Oserwalder and Pigneur 2010) has emerged as a pedagogical tool for training entrepreneurs. Over the decade of its existence, it has emerged as a sought-after visualization technique that helps entrepreneurs generate business designs for ventures in an intuitive and collaborative way. As such, the Social Business Canvas presents a good opportunity for examining its various aspects, from theory to practice.

2.3 SBMC as a Modeling Tool for Social Impact Businesses Today, businesses are becoming more aware of the necessity to rethink traditional management approaches and business modeling to achieve innovative solutions for modern-day problems concerning people and the planet. Businesses strive to re-invent their business models to address not only issues concerning innovative product/market fit and profit maximization but also the overarching impact its operation has on the greater good of society. New and innovative business solutions consequently need innovative tools to help rethink and shape the development of those new business designs to meet those needs. How are business modeling tools like the Business Model Canvas (BMC) helping businesses conceptualize, formulate, and analyze their ideas and are they meeting the needs of the evolving business? Traditionally, entrepreneurs view business modeling as an exercise to explain how a company generates money and reaches scale. However, revenue generation is just a single aspect of an organization and its functions and needs a comprehensive outline that conveys a much broader look into the different interconnected segments of the company.

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2.3.1 Business Model Canvas (BMC) The widely known Business Model Canvas tool commonly used today was created by Alexander Oserwalder around 2008 and used as a “rationale of how an organization creates, delivers, and captures value” (Oserwalder and Pigneur 2010). The BMC is a visual tool that outlines what a business is, how it should function, and how the pieces fit together. It is not meant to be a detailed analysis like a business plan, but instead a balance between a formal business plan and a whiteboard sketch. The visual component of the canvas tool enables a team to understand the components of a business and how the pieces all communicate and fit together. Not only is it a tool to validate a business idea, but also a mechanism to re-think an existing business or a way to study competitors and present ideas externally quickly and effectively.

2.3.2 Social Business Model Canvas (SBMC) Since the inception of the BMC, there have been many innovations around the model and its uses. Notably, practitioners found that the BMC was effective for communicating with profit-driven organizations, but not for those that were social impact-oriented, namely social businesses/enterprises. A social business, as defined by Nobel Peace Prize laureate Professor Muhammad Yunus, is a business created and designed to address a social problem. It is a nonloss, non-dividend company that is financially self-sustainable and profits realized by the business are re-invested in the business itself (or used to start other social businesses), with the aim of increasing social impact; for example, expanding the company’s reach, improving the products or services, or in other ways subsidizing the social mission (Yunus 2009) (Fig. 2.1). The traditional BMC failed to illustrate a business’ non-profit operations or anything related to its social impact and the beneficiaries of a social mission. In 2013, the Social Innovation Lab created the social business model canvas (SBMC) targeting organizations with a focus on social impact. The SBMC is an inspired version of the traditional BMC that not only takes into account the financial aspects but also the socially oriented aspects needed to create the desired impact. Since social businesses are not created for profit maximization, they are, therefore, reliant on a modeling mechanism that can highlight the impact created for the targeted beneficiaries. Just like the BMC, the SBMC is a tool that is visual and can easily be shared on a single page to facilitate dialogue around what will make a business successful and how it can sustain itself (Fig. 2.2).

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Fig. 2.1 Osterwalder original

Fig. 2.2 Adapted for social business

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Fig. 2.3 BMC and SBMC compared

2.3.3 Comparing the BMC with the SBMC The Social Business Model Canvas is divided into 13 building blocks as compared to the 9 of the traditional BMC. In comparison, the SBMC added and expanded on the following aspects: • The segment “Value Proposition” is expanded by dividing it into “beneficiary” and “customer” subsections. This helps the practitioner identify the beneficiaries who receive impact value and is a crucial way to present a business’ impact goals. • The “Value Proposition” section also consists of the elements “Social Value Proposition”, “Customer Value Proposition”, and “Impact Measures”, which define how you measure your social impact against the company goals. The type of intervention describes the type of product that will deliver value to the customer. • In addition to partners, the canvas includes the “Key Stakeholders” that are/should be involved in the development and execution of your business. • The “Surplus” segment describes where you plan to re-invest your profits (Fig. 2.3).

2.4 The SBMC in Practice 2.4.1 Experience with the Social Business Model Canvas Within entrepreneurship education, the Social Business Model Canvas can serve as a tool to support and drive experiential learning processes. Entrepreneurship education takes place over a wide space, spanning a diverse range of learning contexts, objectives, and participants. Threaded throughout this spectrum are common objectives to develop entrepreneurial attitudes as well as skills in learners (Mwasalwiba 2010) beyond the conventional emphasis on building theoretical knowledge. A focus

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on gaining practical experience and a learner-centered approach drives the development of these competencies and accommodates learners from all ages and backgrounds, further entailing that the settings for instruction/learning can vary significantly. Given these variations, the learning environment for entrepreneurship education often extends beyond the classroom, crossing the bounds of primary, secondary, and tertiary education into lifelong and adult learning (Harkema and Popescu 2015). As such, the use of the Social Business Model Canvas is explored over a number of programs with distinct learning objectives, contexts, and participants from different backgrounds. From an instructional viewpoint, experiential learning in entrepreneurship education can take place through many different approaches which can include teaching “about” entrepreneurship using theoretical content as well as “through” and “for” entrepreneurship which focuses more on practical skill-building (Sirelkhatim and Gangi 2015). The Social Business Model Canvas functions as a flexible tool that can be utilized in and across these approaches, especially for project-based and discussion-based learning. Kolb’s (1984) theory of experiential learning which has been widely adopted in entrepreneurship education (Lackéus 2014, as cited in Bell and Bell 2020) has four stages: concrete experience, reflective observation, abstract conceptualization, and active experimentation (Bell and Bell 2020). The SBMC can be applied in support of each step within Kolb’s learning cycle, as knowledge management and reflection tool within the first two stages and ideation and practical development tool in the latter two stages. This allows for the SBMC to complement learning progressions at multiple different points. As entrepreneurship education grows to accommodate a rising demand for enterprise-led solutions in sustainable development, there is a commensurate need for pedagogical tools to reflect this trend. Integrating and building on how the traditional Business Model Canvas has been used in teaching and learning, the Social Business Model Canvas has been applied in (social) entrepreneurship education to integrate a wider range of (non-economic) values which may be created, captured, and/or added (Fig. 2.4).

2.4.2 Qualitative Framework for Exploration Numerous factors shape the utilization of the Social Business Model Canvas (SBMC) as a learning tool, particularly in consideration of the wide range of settings and participants in entrepreneurship education. These factors are influenced by the context of use, and drive how the Social Business Model Canvas is applied as well as what the associated learning outcomes are. Defining and examining these factors allows for discussion of experiences in using the SBMC and provides a qualitative framework for assessing the experiential learning value of the Canvas. The context of use for the SBMC can be broken down into four factors, namely, audience/participant background (user), medium of usage, nature of instruction, and set learning objectives.

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Fig. 2.4 Kolb’s experiential learning cycle (1984), as cited in Mughal and Zafar 2013

This categorization of factors supports a qualitative exploration of the SBMC throughout multiple entrepreneurship education programs and allows for comparisons to be drawn from its use across the different cases. Encompassed in the broader objective to develop entrepreneurial knowledge, skills, and mindsets, these factors also help to define the practical outcomes desired from the use of the SBMC whether as a tool to capture and compare value toward increased understanding, or to create and add value toward operationalization. i.

ii.

Audience/Participant Background (User). The participants in entrepreneurship education and users of the SBMC can vary from students in traditional learning environments to entrepreneurs in the field and professionals in the workplace. Determining who is the user of the SBMC has significant implications on how the Canvas is used as well as what the set expectations are for its use. Users can be categorized into three overarching groups which include students, professionals, and academics. Within all three groups, ages, educational backgrounds, and (social) entrepreneurship experience can differ. The students group includes learners from the primary, secondary, and tertiary education levels participating in entrepreneurship programs and courses. Professionals group includes learners from outside of degree programs such as practicing entrepreneurs and corporate “intrapreneurs”. The academics group serves as a catchall category for users applying the SBMC as an academic research tool rather than an experiential learning tool. The examples discussed will focus on the students and professionals groups as the use contexts pertain directly to entrepreneurship education and its common objectives. Medium of Usage. The interconnected trends of rising technology adoption and constrained mobility have transformed learning environments and the

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iv.

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mediums through which entrepreneurship education is delivered. The medium of usage for the SBMC shapes the participant’s experiences as well as the delivery of instruction and can be categorized into three types which are faceto-face, fully online, and hybrid usage. Face-to-face refers to in-person usage of the SBMC in the print form where participants, as well as instructors, are physically in the same location. Fully online refers to cases where usage of the SBMC occurs virtually and participants are engaged through online learning and conference platforms. Hybrid refers to mixed usage of the SBMC taking place both in-person as well as virtually through online platforms. Nature of Instruction. Integral to the use of the SBMC is the accompanying instruction which guides how participants approach the Canvas as well as sets the tone for its use. Instruction differs across age groups, educational background, and participants’ experience in (social) entrepreneurship. The nature of instruction accompanying the use of the SBMC within entrepreneurship (education) programs can be simplified into two categories of built-in and added-on. These two categories describe how and where the Canvas has been integrated into (entrepreneurship) programs and often determine who provides the accompanying instruction and how it is provided. Built-in refers to instances when the SBMC has been integrated into programs from inception and is a part of the planned progression. In most built-in cases, instruction accompanying the use of the SBMC is provided by the same instructor(s) delivering the program. Add-on cases are where the SBMC is used as a supplementary tool for a program’s core content and may not be part of the planned progression. In add-on cases, the instructor(s) guiding and facilitating the use of the SBMC often do not take part in delivering the core program. Set Learning Objectives. The learning outcomes from the use of the SBMC are strongly guided by the predetermined learning objectives for its application. These objectives reflect the goals of the overarching (entrepreneurship) program and accompanying learning progression where the SBMC comes under. Across different programs, set learning objectives for use of the SBMC can be grouped into three categories which are capturing value, creating value, and adding value. Learning objectives aimed at capturing value focus on increasing the learner’s understanding of social businesses and how they operate, scale, and address social and/or environmental problems and can support development in the first two stages of Kolb’s experiential learning cycle. This is often done by using the Canvas to examine existing social businesses as learning examples. Objectives targeting creating value focus on using the Canvas as a tool to coherently tie the learner’s own social business idea together, distilling the business idea’s value propositions through channeling essential information into 13 fundamental building blocks. Objectives directed at adding value focus on taking the learner’s existing social business or business idea which has been sufficiently developed with established value propositions, and attempt to improve knowledge on how and where value can be added to the existing model. Adding value often occurs where the Canvas is iteratively applied and can be used to support implementation. Creating and

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adding value are objectives that can be linked to the latter two stages in Kolb’s cycle. Programs can target all three types of learning objectives depending on the scope of the program, participants’ backgrounds, and the associated expected learning and/or practical outcomes. Through the lenses of these four factors, the use of the SBMC is explored and compared across different contexts. The effectiveness of the SBMC toward the achievement of the desired learning outcomes is benchmarked against the set learning objectives and the contexts of use within the entrepreneurship programs and learning environments where it has been applied in.

2.4.3 Examples from Using the SBMC The experiences discussed in applying the SBMC as an experiential learning tool include anonymized examples from four social entrepreneurship programs with different users, mediums of usage, accompanying instruction, and set learning objectives. Throughout these four examples, SBMC was utilized as a collaborative tool for knowledge management and experiential learning within the scope of entrepreneurship education. The first is a social entrepreneurship immersion program for students at the undergraduate education level. The second is a social business model canvas workshop for an undergraduate-level social entrepreneurship competition. The third is a decentralized renewable energy-focused program for young entrepreneurs. The final example is a corporate intrapreneurship program for mid-level managers. Example 1 (Undergraduate Social Entrepreneurship Immersion Program) The immersion program was run over a 2-week course for students at the undergraduate level from various social sciences backgrounds. The program was aimed at increasing students’ knowledge of global challenges including the Sustainable Development Goals and supporting students to gain an entrepreneurial attitude to problem-solving through exposure to real social businesses. Conducted face-to-face, instruction for the program emphasized experience and perspective building. Use of the SBMC was built into the design of the program and accompanying instruction was provided by the same instructors delivering the entire program. The learning objectives for applying the Canvas aligned with the overall objectives for the program were to support the students in capturing the value of the social businesses they were introduced to and later on apply the Canvas toward creating value in ideating their own social business solutions. Following exposure to the social businesses in the field, students applied the Canvas to increase their understanding of how social businesses operated and captured values. Over the course of the program, students in groups of 5–6 developed their own business solutions addressing a global challenge and used the Canvas in order to distill its economic, social, and environmental value propositions. Through the use of the Canvas in capturing as well as creating values, students were able to increase their understanding of social entrepreneurship and gain practical experience in ideating a social business solution.

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Example 2 (Undergraduate Social Entrepreneurship Competition) Supporting students participating in an entrepreneurship competition, the SBMC was utilized as a supplementary tool to help students build their project ideas. The overarching entrepreneurship competition challenged university students to create solutions tackling pressing global challenges according to a specific theme and the student teams had begun developing their projects prior to the workshop but were still in the idea refinement process. Participants were undergraduate students from various social and hard sciences programs at the same university, working in teams of 3–5 on a given project. The practical workshop was conducted face-to-face for over 3 h and was delivered as an add-on to the existing project development progression as part of the competition. As students were expected to produce real social businesses for the competition, the learning objectives for the workshop were practical and project-focused. Using the SBMC oriented toward creating value, students were guided to apply the tool toward solidifying the value propositions of their entrepreneurship idea and increasing the overall coherence between components. Through using the Canvas, students gained a deeper understanding of their own business solutions as well as insights into how to improve on their projects. Example 3 (Sustainable Energy Young Entrepreneurs Program) Within an intensive week-long young entrepreneurs program, the SBMC was introduced and applied to complement the exploration of entrepreneurial approaches supporting the sustainable energy transition. The program aimed to increase participants’ exposure to the energy transition and engage them in contributing as citizens toward this transition. Program participants included 19 young entrepreneurs and professionals aged between 20 and 30 years, from five countries across Asia, who worked in teams of 2–6 toward the development of a renewable energy-focused project. The participants were engaged through a fully virtual program, making use of both online conference and collaboration platforms through which the Social Business Model Canvas was used, and instruction was provided. Use of the Canvas was built into the program where the Canvas was introduced at the beginning of the program and revisited throughout to support project development. The learning objectives for using the Canvas were aligned to the program’s objectives of building the participant’s knowledge and experience in entrepreneurial renewable energy solutions and the use of the Canvas supported participants to both capture and create value in examining social business examples as well as constructing their project ideas. As the participants’ project ideas were at a relatively early stage, the use of the SBMC increased their coherence and clarified the values they proposed. Example 4 (Corporate Social Intrapreneurship Program) In the final example, the SBMC was applied within a corporate intrapreneurship program for employees from a large company. The program focused on developing participants’ knowledge of global challenges and social entrepreneurship as well as targeted the development of concrete intrapreneurship projects for real implementation.

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Participants in the intrapreneurship program joined in teams of 3–6 and were midlevel managers and employees part of the company’s young leadership program all with work experience and bachelor’s or master’s degrees. The program was delivered in a hybrid where the first part was delivered through online conference and collaboration platforms and the second part was delivered face-to-face. Use of the SBMC was built-in to the program, where it was first introduced and applied virtually to examples of existing social businesses to increase understanding and revisited in the subsequent face-to-face workshops where participants applied it to their own projects. The learning objectives for use of the Canvas were directed at capturing value in the online sessions where the tool was introduced, and both creating value and adding value when revisited and built on in the face-to-face workshops which followed. Through the use of the Social Business Model Canvas in the program, participants gained familiarization with social entrepreneurship as well as the Canvas tool itself, benefitting from its iterative use as a tool to develop and improve on their intrapreneurship projects. The four examples of experiences in using the Social Business Model Canvas overview its application in various learning environments with distinct learning objectives and for different learner groups. There are several commonalities throughout its use across the examples, which include a group-based application of the Canvas with between 2 and 6 members as well as a relatively high level of participants’ education with all participants having at minimum an undergraduate degree or were enrolled in an undergraduate program. Participants from both students and professionals groups were equally able to adopt the use of the Canvas toward increasing understanding of social business and entrepreneurship, particularly through concrete examples, and also integrate its use into their idea or project development. Through all three mediums of face-to-face, online, and hybrid usage, participants were able to effectively apply the SBMC toward understanding social businesses and improving their own projects. Comprehension and uptake of the tool did not vary across the different mediums, but instructors played more active roles through the online medium in encouraging participants to be more vocal on the virtual conference and collaboration platforms, and in many cases, participants were more motivated to contribute more actively when their cameras were turned on. Across the four examples, the use of the SBMC supported the achievement of the learning objectives whether aiming to increase participants’ understanding of social business and entrepreneurship, enrich their ideas and add to the development of the social business projects, or both. While there was no significant difference in adoption and integration of the SBMC across the learner groups, there was variation between individual learners in the same program. This variation may be partially attributed to participants’ prior experience in using similar learning tools and the complexity of their project’s business model. In the undergraduate immersion program which

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focused on increasing participants’ knowledge and exposure to social entrepreneurship, learners were able to effectively use the SBMC, both as a knowledge management and discussion tool to reflect on their experiences and build on them through conceptualization. In three other examples which focused more on practical outcomes, the use of the SBMC led to more concrete social business ideas and projects. Notably, both the young entrepreneurs and corporate intrapreneur programs produced social business projects which are still ongoing and continue to be developed over a year after the end of the programs. Across the four examples, the three cases where the use of the SBMC was built-in rather than added on into the learning progression produced better learning outcomes from use. This may be attributed to better fit within the programs’ overall learning progressions, coherence with core content, and iterative use of the SBMC when it is built-in.

2.5 Social Business Models and the SBMC 2.5.1 Evolution and Variations The BMC has expanded from nine initial building blocks to incorporate 13, the SBMC, emphasizing incorporating and delineating additional customer value to include community stakeholders as complementary beneficiaries. These social considerations frequently affix additional trade-offs in opportunity, costs-labor, compliance, time, and risk aversion, to the cost equation compared to profitmaximization-oriented businesses. Additionally, it takes decision-makers more time to critically assess and interview stakeholders, principles of governance, and mission alignment (Sparviero 2019). According to Ojasalo (2015), one of the key weaknesses is an interesting category or a possible competitive disadvantage, like opening up markets for competitors and being restricted or cut off from strategic suppliers because one gets into direct competition. Another similar intangible cost is opportunity costs, whether the money and energy invested in a new product or service are not better spent on revamping an existing service, product, or something disparate altogether. Key stakeholders have widened the lens of beneficiaries and key community groups affected by the BMC’s narrow profit-focused customer recipient of the product or service improvements. They alter the critical value proposition definition, which expanded from one to three essential components to include “Social Value Proposition”, “Customer Value Proposition”, and “Impact Measures”, which demark how you control your social impact. Yeoman and Moskovitz (2013) advocate for the Social Lean Canvas model. The Lean Canvas has alternative definitions and attributes to its business model configuration. However, it has exciting jigsaw pieces that assemble its strategic canvas, such as purpose, problem, solution, key metrics, unfair advantage, financial sustainability,

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and social/environmental benefit. The unfair advantage piece highlights what makes the social enterprise stand out and thrive. Financial sustainability aptly replaces revenue streams to encompass the spectrum of potential revenue streams for the social enterprise. Finally, the impact block notes the impact the social enterprise aims to attain but presciently highlights the beneficiaries in this building block instead of in the customer segment, unlike the SBMC. The SBMC and all business canvas models have their limitations as they are all static snapshots in time. 2-D vantage viewpoints of an ever-changing multimodal dynamic business environment, or Prizm, where customers, business models, and value propositions constantly evolve and are shape-shifting. Furthermore, as currently constructed, the SBMC does not consider crucial environmental factors when climate change and natural resources depletion are constraining resource accumulation to sustain our human populations (Fig. 2.5). A strength of the SBMC model is one of its central questions, namely: What sustainability principles play a role in your business idea? Creating a competitive advantage is a crucial factor in the success of any business, and is a key differentiator for social businesses. The table below, from Tieman (2016), describes five succinct ways a social business model can create competitive, product, or strategic advantage for your company: startup, nonprofit, or pivot-ready social enterprise.

Fig. 2.5 Strengths, weaknesses, opportunities, and threats. Source https://venngage.net/pl/B8pao2 FsyYw

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Sustainability Key Question, does it create a competitive advantage?

. . . . .

Efficiency: reduction of the number of environmental resources per unit of output; Consistency: preventing harmful or toxic substances, using renewable resources and biological principles, ensuring closed material loops, recycling; Sufficiency: sustainable lifestyles and consumption patterns, limiting consumption to necessities Preventing unjustifiable risks: avoiding highly invasive technologies with uncertain consequences such as atomic energy; Distributive justice: just distribution of resources and income within a generation, generational justice in successive generations

From: Tieman (2016) Sustainability question: What sustainability principles play a role in your business idea?

These key sustainability questions are left out of the BMC but can help differentiate and add to an SBMC enterprise design. Additionally, the cooperative versus competitive nature between key partners, internal labor, and other benefactors beyond the end customer creates a more holistic and beneficial relationship with key business resources in the whole value chain.

2.5.2 SBM Core Essentials Ching and Fauvel (2013) give an overview of several alternative business canvasses found on the Internet. They criticize the standard canvas for leaving out a view of competition and the difficulty in describing a value proposition. They mention in particular the advanced business model canvasses and the advanced business model canvas by King (2010), which gives a fine structure to the different blocks and puts them in a 2 × 2 grouping of business versus customer and value versus infrastructure. Criticisms of BMC by Spanz (2012) and King (2010) include: 1. 2. 3. 4. 5. 6. 7.

No broad analysis of competition. No taking into account competitive business structures or related synergies. No formulation of business goals. No taking into account KPIs and performance measurement. Applicable for innovation, not so much for transforming existing models. Mixing levels of abstraction. One key issue not addressed is in detailing the cost and revenue structures.

Morris et al. (2005) reported that business models boil down to six components: value creation—how (1) and who for (2), competencies (3), strategic positioning (4), monetization (5), time, scope, and size ambitions (6). In addition, business models simplify cognition and help build narratives that facilitate communication.

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Massa et al. (2017) further argue that the more traditional business approaches primarily focus on the supply-side explanation of value. In fact, the expression “capturing value” is commonly used to explain the purpose of business models. Furthermore, the grouping of goals into mission values and objectives also creates the choice of applicable measurement gauges of alternative kinds, as the partial achievement of mission values can be appraised by using quantifiers of impact or outcomes referring to broad changes, while the fulfilling of objectives can be measured by units of output and outcome referring to quantifiable changes. There are two main thoughts and considerations when selecting the business model canvas for a social enterprise, the defining characteristics of the business model canvas, and the social enterprise itself. The rationale behind social entrepreneurship is asking the question of how to provide needs to those who have no or limited access, or limited ability to afford due to the existing profit-maximizing retail price. In particular, social entrepreneurship activities target areas linked to social development issues. The business model is not limited to any way of its expression and is not related to any technique or technology, according to Szopinski et al. (2020). For social entrepreneurs, the dogged pursuit of a discrete opportunity serves as a spark plug for a broader mission, serving human development. The enterprise itself generally has many complementary missions intertwined within the greater mission of human development. These secondary goals are present in the harmonizing objectives of social enterprises activities of the social entrepreneurship bedrock: promoting health initiatives, learning, and education, fundamental human rights, civic participation, and safeguarding the environment. Third, the social business matrix always presents innovation in terms of the distribution of value to customers. A number of social business models employ door-to-door selling in remote areas. Customers are multiple and situated at different points in the value chain. Most social businesses attempt to cut out the middlemen or layers of the distribution channel to lower the end price for the consumer. Monetary transactions with customers are not constantly prevalent or necessary. Monetization takes different forms and sometimes relies on acquiring resources via non-monetary arrangements, like barter or labor swap, or as pay-as-you-use affordable schemes. Spiess-Knafl et al. (2015) poignantly advocate that the social business model innovation takes many forms throughout the life-cycle of the social business, from opportunity inception creation to smart distribution, ecosystem engineering to quality management, innovative pricing, volunteering (or cheap sourcing), and more. The complete range of operations management to logistics, inclusive production as cocreators and entrepreneurs, and non-traditional revenue sources are the key innovations and opportunities of the social business ethos, its canvas, and the social enterprise itself. Teeboom’s (2019) regression analysis of four vital inter-variable relationships in the BMC—value proposition, key resources, revenue, and cost structure—and showed that strategically aligned partners, suppliers in the value chain, and alliances with competitors all play an essential role in determining the value proposition and strategic opportunities for a social enterprise. Essential resources, assets, capital

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needed to generate the value proposition and build relationships with key customers, channels, and income directly correlate to the likelihood of value proposition success. Cost structures were assigned eight-core co-variables. Other BMC variables such as customer segment data, channel data, and customer relationships must be verified directly. Reviewing the literature on the BMC, the SBMC, the Lean BMC, and the differentiating building blocks associated with these varying canvases, it is clear that the successive improvements and alignments of a business model’s essential building blocks are the key to unlocking innovation. This evolutionary process lends itself to experiential learning designs.

2.5.3 Room for Innovation Innovative business models are necessary for social businesses with new emerging and emergent technologies fusing additive manufacturing, quantum computing, artificial intelligence, the Internet of Things (IoT), virtual reality, Crisper biotechnology, nanotechnology, the sharing economy, and mass personal customization compete beyond creating new social business constructs. Jin et al. (2021) point out that no scholar has used grounded theory to investigate any of the business model innovations, let alone a visualization technique such as the BMC and its adaptations until the present. Jin and Ji (2018) refer to the Business Model Innovation Canvas (BMIC) as a paradigm of scientific literature clustering (SLCP). The theoretical model (Jin et al. 2021) demonstrates business model innovation as an ecosystem composed of seven components containing 145 options in three stages: 1. 2.

3.

Innovation motivation: value-driven Innovation action: value goal innovation, value proposition innovation, value creation innovation, value transmission innovation, and value capture innovation, and Innovation evaluation (value evaluation), with value flow as the carrier, and value goal and value proposition as the core.

The SCLP model explains the business model innovation mechanism. It addresses “whether to innovate”, “how to innovate”, and “how to evaluate innovation” at the motivation, action, and evaluation levels. The options for the value transmission stage consider factors such as persuasion technology, pricing strategy, social media, and the intersection with the community, which are vital building blocks within the social business model landscape (Fig. 2.6). From a current pedagogical perspective, in order to train entrepreneurs as problemsolvers, it is essential to create a learning environment that enables experimenting, validating, and learning about one’s own experience which is crucial to problemsolving. Learning approaches, such as project-based learning, action-based learning, and experiential learning, therefore, are rapidly appearing in modern hybrid classrooms. The experiential learning environment of the student, educator, and social

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Fig. 2.6 SCLP (set covering location problem) model. Source Jin et al. (2021)

business entrepreneur plays a pivotal role in using and employing the SBMC. Access and roles of technology act as a learning and business application tool to the SBMC. User-friendly technologies such as the smartphone, broadband Internet, geospatial data maps, and virtual reality can track and aggregate large amounts of data to provide quantitative and qualitative data for business students to immerse themselves into complex environments, develop independent thinking skills, and design unique social solutions. As previously said, the context of use for the Social Business Model Canvas can be broken down into four factors, including (i) audience/participant background (user), (ii) medium of usage, (iii) nature of instruction, and (iv) set learning objectives. Among well-recognized users of the SBMC is IDEO, a strategic design company that uses experiential learning in tackling wicked social problems. IDEO (2021) brings together networks of people from across the globe to act on systemic challenges such as education, food, mobility, and aging. According to Garel (2013), it is possible to arrive at three ontologically unique manifestations of the idea of a project which are presented in Fig. 2.7, as the modalities of doing, being, and becoming. Experiential learning from a SWOT perspective highlights the benefits, limitations, opportunities, and challenges of employing this learning approach through the SBMC.

Fig. 2.7 Doing–being–becoming. Source Garel (2013)

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2.6 Future of the SBM Canvas 2.6.1 COVID-19, Digital Transformation, and Online Learning The coronavirus pandemic which has impacted lives around the world, including many in a devastating manner, has also radically affected the education and learning sector. With schools, universities, offices, and training campuses closing for prolonged periods, the industry has seen a rapid digital transformation as learners and educators have been moved online. Aside from the widely documented and concerning negative impacts that this had on educational exclusion and on study quality, particularly experiential learning, changing learner behavior has also presented a number of opportunities for educational technology (EdTech) innovations (Shrier 2021), something which is highly relevant for the future of the Social Business Model Canvas (SBMC). The SBMC, as a pedagogical tool, has been primarily used as a printable or drawable resource for use in physical settings, for example being used in workshops on flipcharts with teams using post-it notes and markers in a physical presence to add to the canvas. COVID-19 restrictions have changed this, with the SBMC being integrated with the increased utilization of online collaborative tools such as Mural, where flip chart and post-it note workshop settings are recreated within a virtual setting (Mural 2021). At face value this is a simple digital transition from offline to online, however, a number of new dimensions are unleashed which shall be explored. From a learning perspective, some would critique an online setting for group work as inhibiting collective creativity and limiting experiential learning approaches, but it also provides extra features that promote iterative learning processes with the SBMC, such as easily editing, adding, and removing notes and features to the canvas. This has also meant that learners can join from all over the world in the same place at the same time, bringing in different stakeholder perspectives and more diverse reflections at the fraction of previous costs. It also means that groups can add to an SBMC at different times at ease, whilst iterations of SBMCs can be more easily stored, hyperlinks can be added to other resources, and zoom in and zoom out functions means more detail can be fitted into the canvas boxes. Although these are simple observations, from a practical perspective for students and educators, this transition online broadens the scope and usefulness of the SBMC. This perspective then provides a new analytical lens that can be used to explore how EdTech innovation can build new aspects and dimensions into the SBMC. Strategyzer has created an online workplace based around the Business Model Canvas (BMC) which supports teams to collaborate, whilst other tools such as a customer profile canvas, value map, culture map, and team map can be added to the same virtual page (Strategyzer 2021). Additionally, Strategyzer has added post-it-note-inspired functions dedicated to “hypotheses”, “insights”, “experiments”, and “evidence”, which then uses a tagging function to create relationships between the four elements. This then represents an iteration where a virtual workspace has been deliberately designed

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for entrepreneurship design, strategizing, and learning, although the features represent broadly similar features available in an offline setting, aside from the ease-of-use benefits highlighted above.

2.6.2 A Multi-dimensional Social Business Model Canvas Looking toward the future then and taking inspiration from the innovation that has already taken place due to COVID-19 disruption, an exciting opportunity is presented in the form of how we can develop a multi-dimensional SBMC as a pedagogical tool for experiential learning approaches. Considering the additional dynamism that comes with online collaborative programs such as Mural and the Strategyzer Workplace, similar and available technology can be utilized to build a three-dimensional Social Business Model Canvas. Currently, the SBMC provides a “birds-eye view” of a social business model and is designed to not be as intensive and detailed as a traditional business plan format, but this is also a source of critique and skepticism in regard to its relevance and usefulness in terms of business planning, and its over-simplicity as a learning tool. A technology-enabled SBMC has the opportunity to transition into a dashboard where each box can be a portal to further detail each aspect of a social business model. By adding this third dimension, the canvas can then maintain its value by providing an overview perspective, whilst also gaining the ability to answer its critics by providing more in-depth information, strategy, and perspectives. From a pedagogical viewpoint, this EdTech innovation sees the SBMC transition from a 2D educational tool into a resource with the potential to be a learning management system (LMS), enabling experiential learning approaches to be embedded within each box. A Social Business Model Canvas Learning Management System has the opportunity to be the aggregator and organizer of a social business curriculum where each box is the home to different modules and sub-modules, videos, readings, quizzes, assignments, and specific tools. For example, the beneficiary and customer segment boxes can also connect learners to specific tools such as an Empathy Map as well as guides and resources on how to conduct interviews, whereas the impact measures box can connect learners to resources on how to build monitoring, evaluation, and learning frameworks, or even a standardized catalog of indicators from which they can choose from. Utilizing an SBMC LMS can also play a key role in ensuring that social entrepreneurship education bridges theory and practice, as it would promote curriculum to be designed in a way that core aspects are covered in a way that will ultimately produce social business models, and importantly in a way that learners are fully aware of the cohesion of their studies from the beginning. A technology-enabled Social Business Model Canvas learning management system conceptualized in this way also enables the canvas to integrate with complementary approaches such as design thinking. An SBMC in its original format falls short in supporting learners in “how” to complete it, whereas re-conceptualizing it as an LMS allows design thinking processes, guides, and tools to be integrated within

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each of the boxes, whilst enabling the SBMC to increase its rigor as a platform for experiential learning. Similar approaches have already been seen in offline formats such as the Yunus Thailand Social Business Toolkit, where users have a set of tools that work toward completing the SBMC, which is the final tool in the kit (Mackenzie and Ongvasith 2021). Other approaches can also be integrated, such as the SEED Eco-Inclusive Enterprise Toolkit and the UNLEASH Innovation Process, as well as broader approaches such as results-based management and the development of theories of change. As highlighted, the strength of the SBMC in its simplicity compared to a detailed social business plan is also its weakness. Important aspects of a social business model are not covered by the boxes, and this is also reflected in a number of different but comparable iterations of the traditional Business Model Canvas. The Lean Canvas also offers value for social business model development, particularly with its added problem and solution boxes which are not covered in the SBMC. Likewise, the Triple Layer Business Model Canvas adds 18 boxes in addition to the boxes covered in the traditional Business Model Canvas, including an entire layer of 9 boxes dedicated to lifecycle assessment (Joyce and Paquin 2016). The Confucian Business Model Canvas is an important example of a strongly contextualized canvas iteration, where the inclusion of Confucian social legitimacy, institutional enablers, and institutional disablers also represent key components to consider when developing or learning about social business in China (Chin et al. 2020). A digitally transformed SBMC LMS provides added flexibility to supplement the canvas with additional boxes as educators and learners see fit. Additional boxes and the content within those boxes can be developed and technology would enable users to select additional boxes to add to their SBMC, from a dropdown menu bar for example. This would allow additional components such as those mentioned in the paragraph above to be added, as well as other important topics such as environmental impacts and climate co-benefits; gender equality and social inclusion; risk and resilience; circular economy; and technology and digital innovation, to name a few.

2.6.3 Unlocking Dynamic Usage and Utility The way forward for the SBMC as a pedagogical tool also needs to be appreciative of the different needs of learners. Social entrepreneurship education is an emerging topic for primary school education with the development of “kidpreneurship” programs focused on social and environmental problems (Bisanz et al. 2019), as well as within secondary and high school education. University students at the bachelor’s and master’s levels also differ in terms of their understanding of core business and sustainability concepts, and social entrepreneurs developing their skills also have practical insights and exposure that many students do not have. In addition to the different users, there are also different utilizations as previously highlighted in the chapter. Some learners use the SBMC to understand a social business case study by

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mapping out and analyzing the components, whereas some learners are developing new social business models, and others are refining and adding to existing ones. EdTech innovation presents an opportunity then to create a four-dimensional Social Business Model Canvas Learning Management System, where online users select the “lens” which they would like to view the SBMC LMS from. The opportunities here are multitudinous, where a lens could be based on the educational level of the user, on the learning objectives and needs, or based on specific programs within educational institutions. Each lens could present different SBMCs where the core concept is the same but the language is changed; for example, “revenue model” is changed to “how can we make money” for primary school students, as well as additional boxes can be added; also, a sustainability masters program lens could add additional boxes on “gender and social inclusion” and “climate co-benefits”. Maintaining the LMS concept, the additional tools, resources, courses, modules, etc., contained within each box of the SBMC, can also be different based on the lens the learner chooses upon login. Utilizing technology in this way can free the SBMC of being limited to being a “jack of all trades and master of none”, allowing it to continue as a general social business model framework but be adaptable and specialized based on different experiential learning contexts. A business model canvas in its traditional form or any of its iterations is often described as a simplified alternative to a business plan. However, developing an SBMC as an LMS starts to bridge this gap, providing far more opportunity for detail as each box is expanded by the content and resources that lay within. Drawing lessons from the established sector of business plan writing software such as LivePlan for example (LivePlan 2021), it is also within the realms of existing technology that learners could complete activities within each box of the canvas and once they have completed every box, the SBMC LMS has also produced a detailed social business plan based upon their inputs. Not only could this support the transition from learning to practice where social entrepreneurship students could complete their coursework and have an investor-ready business plan, but it also addresses issues where some learners struggle to produce well-written, long documents despite knowing the content, for reasons such as language competency or learning styles.

2.7 Conclusion and Future Work The technology to develop the Social Business Model Canvas into a four-dimensional learning management system is already well established and utilized in other formats, with significant potential to bring benefits to a broad spectrum of learners and educators. The proposed future of the SBMC also conceptualizes it as a new delivery mechanism for social entrepreneurship education content, which also should not be limited to a single contributor. The way forward for the SBMC can be as a platform for open contribution, where social business educators can add both contents within existing SBMC boxes, create extra boxes for users to select and add-in, or build new lenses based on specific audiences or utilities. This platform approach is apparent in

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the massive open online course (MOOC) industry, for example with providers such as UDEMY, and this could be an opportunity for a specialized and focused approach to social entrepreneurship education. To achieve this, there is a need to develop an appropriate social business model for the future social business model canvas and to mobilize the appropriate investment, something high plausible within a booming ed-tech sector. The future holds a much closer relationship between educational content creators and technology developers, something true for the education sector as a whole. If the technology can be developed and managed, the content creators can be mobilized, and the solution can be made accessible to learners around the world, then the social business model canvas has a bright future ahead as a four-dimensional learning management system and platform for social entrepreneurship education.

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Mwasalwiba ES (2012) Entrepreneurship education: a review of its objectives, teaching methods, and impact indicators. IEEE Eng Manag Rev 40(2):72–94. https://doi.org/10.1109/EMR.2012. 6210519 Nevid J (2011) Teaching the Millennials. Online article for association of psychological science. https://www.psychologicalscience.org/observer/teaching-the-millennials Accessed Nov 2021 Oserwalder A, Pigneur Y (2010) Business model generation: a handbook for visionaries, game changers, and challengers. Wiley, Hoboken, New Jersey Shah FH (2020) Yunus professional masters in social business & entrepreneurship: proposal to the academic senate, Asian institute of technology Shah FH (2021) Yunus Professional masters in social business & entrepreneurship: program structure, academic design, and theory of change, in proposal to the academic Senate, Asian institute of technology. http://[email protected]. Accessed Nov 2021 Shrier D (2021) From shock to Awe: how the pandemic crisis has opened up the dialogue for a true reinvention of education. J Int RelatS Sustain Dev Summer 2021:64–73 Sirelkhatim F, Gangi Y (2015) Entrepreneurship education: a systematic literature review of curricula contents and teaching methods. Cogent Bus Manag 2(1):1052034. https://doi.org/10. 1080/23311975.2015.1052034 Spanz G (2012) Startup best practice: business model Canvas. Ventureworks Blog Retrieved October 22, 2013. http://blog.ventureworks.ch/post/18727255435/startup-best-practice-business-modelcanvas Sparviero S (2019) The case for a socially oriented business model canvas: the social enterprise model canvas. J Soc Entrep 10(1). https://doi.org/10.1080/19420676.2018.1541011 Spiess-Knafl W, Mast C, Jansen SA (2015) On the nature of social business innovation. Soc Bus 5(2):113–130. https://doi.org/10.1362/204440815X14373846978624 Strategyzer (2021) Corporate innovation strategy, Tools & training, in: Strategyzer.com. https:// www.strategyzer.com/. Accessed 30 Oct 2021 Szopinski D, Schoormann T, John T, Knackstedt R, Kundisch D (2020) Software tools for business model innovation: current state and future challenges. Electron Mark 30(3):469–494. https://doi. org/10.1007/s12525-018-0326-1 Tandemic (2019) The business model canvas reinvented for social business. https://www.socialbus inessmodelcanvas.com/ Teeboom L (2019) The advantages of regression analysis & forecasting. https://smallbusiness.chron. com/advantages-regression-analysis-forecasting-61800.html Tomei LA (2010) Learning theories and pedagogy: teaching the traditional learner, in designing instruction for the traditional. Adult Distance Learn: New Engine Technol-Based Teach. https:// doi.org/10.4018/978-1-60566-824-6.ch001 Yeoman R, Moskovitz D (2013) The canvas; social lean canvas. http://socialleancanvas.com/thecanvas/. Accessed 10 Feb 2014 Yunus M (2009) Creating a world without poverty: social business and the future of capitalism. public Affairs, p 320. ISBN 978-1-58648-667-9 Yunus M (2011) Building social business: the new kind of capitalism that serves humanity’s most pressing needs. Public affairs, p 256. ISBN 978-1-58648-956-4

Chapter 3

Practicum-Oriented Entrepreneurship Education: A Systematic Literature Review Tianyu Chen, Yuanchen Bai, Pradeep Ray, and Gang Zheng

Abstract In response to society’s need for innovation and social impact, universities around the world have realized the importance and potential benefits of incorporating entrepreneurship education into their curricula. Entrepreneurship education requires a multi-disciplinary approach with a strong practicum component, involving industry partners. Technology entrepreneurship education requires strong collaboration with engineering education programs. This chapter discusses entrepreneurship education for undergraduate engineering students. Based on a systematic literature review, we identified various approaches to entrepreneurship and tradeoffs between forms of offerings, including major, minor, short courses, etc. Furthermore, we evaluated and compared the entrepreneurship education components at major institutions in the world. Since technology entrepreneurship is now a global means of sustainable development, the findings of this study may help design entrepreneurship education programs in developing countries at the undergraduate level, especially for engineering students. Keywords Entrepreneurship education · Engineering education · Undergraduate education · Systematic literature review

T. Chen University of Michigan, Ann Arbor, MI, USA Y. Bai (B) · G. Zheng Center for Entrepreneurship, UM-SJTU (University of Michigan-Shanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China e-mail: [email protected] P. Ray Founder-Director of the Centre For Entrepreneurship (CFE), UM-SJTU (University of Michigan-Shanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China e-mail: [email protected] School of Population Health, UNSW Medicine, Sydney, Australia © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_3

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3.1 Introduction Starting with the success of mutual facilitation between Stanford University and Silicon Valley, universities have long been a driving force behind entrepreneurial efforts, both in terms of producing talents equipped with the most cutting-edge knowledge and providing technical as well as funding support to startups. Among many startups, engineering innovation plays a key role in transforming the latest technology into marketable products. As evidenced by the 2020 University Entrepreneurship Index, biomedical engineering (21%) and software engineering (15%) account for the top two industries that startups in Illinois, USA and fell into from 2015 to 2019 (Bragg et al. 2020). In light of this trend, many universities around the world, especially engineering colleges, have created entrepreneurship education curricula of some kind to better prepare their students for future entrepreneurial activities. Even back in 2010, over half of the listed engineering programs under the American Society of Engineering Education offered certain forms of entrepreneurship options to students and around 25% offered more systematic entrepreneurship education such as minors (Shartrand et al. 2010). These numbers should be even higher today. Following the pursuit of undergraduate-level entrepreneurship education comes the question, “How should educators approach teaching entrepreneurship skills to students?” To answer this question, the definition of “Entrepreneurship” should be first clarified. However, the phenomenon is so multifaceted and vibrant that it is unrealistic to shackle it with a single lifeless explanation. It can be seen from the behavioral as well as occupational perspectives (GEM Global Entrepreneurship Monitor 2021). To define it in a relatively broad way, according to the Stanford Graduate School of Business (GSB), “Entrepreneurship” is not restricted to “launching a new venture” nowadays, but can take various forms, including “founding a company, joining an existing startup, entrepreneurship by acquisition, corporate innovation and social innovation” (Stanford Graduate School of Business | Official Website 2021). From whichever perspective, it is indicated that unlike other scientific disciplines like math and physics, entrepreneurship, or business in general, is highly practical. This implies that the teaching process should also be practicum-oriented. It is impossible to cultivate future entrepreneurs just by asking students to sit in the classroom and memorize all the business theories. Indeed, the Kern Entrepreneurship Education Network advocated that to bridge the gap between entrepreneurship theories and practice, educators should weave practical components into both curricular activities and extra-curricular activities (Blessing et al. 2008). Note that a rich set of extra-curricular activities are unique to entrepreneurship education as compared to other disciplines, owing to the fact that students need to keep informed of the latest trends in the industry and apply their innovative ideas to practice. Such educational requirements cannot be fulfilled by curricular activities alone. The structure of this chapter is organized as follows: Section 3.2 offers a background overview of the characteristics that entrepreneurship educators hope to instill into their students. Section 3.3 outlines our research methodology and Sect. 3.4

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defines our research objectives. Section 3.5 introduces how we collect the data rigorously through a systematic literature review and cross-validate it. Sections 3.6 and 3.7 attempt to answer the research questions proposed earlier.

3.2 Background Entrepreneurship learning is valuable by itself when treated as part of holistic education. The education objectives not only involve hard skills, e.g., finance and accounting, but also soft skills like creativity and leadership, which also benefit those students who make career choices apart from direct entrepreneurship, such as managers, policymakers in diverse national and international positions and technical advisers or consultants. Though it is hard to define these keywords in a rigorous and unambiguous way, they, at least, are intrinsically hard to be developed via traditional formal education pedagogy where knowledge is often simply imparted through notes and textbooks in a classroom setting. The most commonly emphasized skills by entrepreneurship educators are shown in Table 3.1. Therefore, great efforts have been made by universities to “facilitate active, intentional, constructive and collaborative learning” (Chen et al. 2021) through careful curriculum design such as project-based courses, interaction with and mentoring from real entrepreneurs and industry leaders, as well as hands-on opportunities like internships. Besides, with the development of technology, online and blended methods have been gradually applied in entrepreneurship education such as social media, serious games, and digital platforms (Chen et al. 2021). Due to the global challenge of COVID-19, the topic of “experiential learning entrepreneurship programs under the constraints of remote learning” is under the spotlight (Tavares et al. 2021). The development of additional resources for online entrepreneurship education is also calling for new progress (Liguori and Winkler 2020). Under such circumstances, entrepreneurial education is facing challenges but also undergoing innovations. Table 3.2 shows several approaches widely employed currently.

3.3 Methodology As shown in Fig. 3.1, we adopted a four-step methodology while conducting the research that supported this chapter: 1.

Research Objectives: To begin with, we defined a set of research objectives, i.e., the research questions we would like to find answers to. The research objectives determined what data we should collect, what information we should extract from the collected data, and what the foci of analysis were. More specifically, our research target is to examine the tradeoffs between forms of offerings, as well

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Table 3.1 Illustration of the common skills widely highlighted in the educational objectives of various institutes

Key Words

Description

Communication

Including but not limited to written, verbal skills, and sales techniques for different organizations and purposes (Blessing et al. 2008)

Teamwork

Work with people unlike themselves in the workplace and in society (Carpenter and Feierfeil 2007)

Opportunity-Recognition

Confidence in approaching professional opportunities and exhibit a willingness to take measured risks (Carpenter and Feierfeil 2007)

Business Skills

Develop and write business plans which demonstrate marketing, financial analysis, and strategic planning skills (Carpenter and Feierfeil 2007)

Creativity

The ability to transcend traditional ideas, rules, patterns, relationships, or the like, and to create meaningful new ideas, forms, methods, interpretations, etc. (Creativity definition and meaning | Collins English Dictionary 2021)

Leadership

Not just one skill but rather a combination of several different skills working together to build consensus, make decisions, and formulate plans of action (Blessing et al. 2008)

Responsibility

Be responsible for each other and assume one’s responsibility in a group (Jin and Huang 2014)

2.

as to compare the entrepreneurship education components at various institutes. They will be discussed in more detail in Sect. 3.4. Data Collection: We chose a systematic literature review as the main data source to get a comprehensive and objective view of entrepreneurship education for undergraduate engineering students around the world. A systematic literature review is a rigorous and evidence-based methodology to answer specific research questions. Though it is more commonly used in the medical field, we considered it appropriate for our research as well because had we handpicked several entrepreneurship programs we knew of, we would have suffered from subjective bias stemming from our limited knowledge and personal preferences. To cross-validate the comprehensiveness of the systematic literature

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Table 3.2 Typical implications of several widely used approaches Approach

Implications

Team-based project

1. Virtual start-up company (Jiliang Uni.) (Jin and Huang 2014) 2. Capstone Project program (SJTU-UMJI) (Zheng et al. 2017) 3. Ultimate entrepreneurship challenge: TEAM Competition (Babson College) (“Best College For Entrepreneurship | Babson College Official Website” 2021) 4. Challenge Labs: Form start-up teams (U.C. Berkeley) (“Berkeley-Haas Entrepreneurship Program | Official Website” 2021)

Mentoring

1. Seminars and Talks given by local entrepreneurs, venture capitalists, and patent lawyers (Jiliang Uni.) (Jin and Huang 2014) 2. Johnson Center for Entrepreneurship and Innovation (Indiana Uni.) (“Entrepreneurship and Corporate Innovation (B.S.B.) - Kelley School of Business: Degrees Majors 2021) 3. Seasoned technology entrepreneurs as part-time faculty (Pennsylvania State University-Main Campus) (Kisenwether and J. v. Matson, 2002) 4. Interaction with successful regional entrepreneurs (Texas A&M Uni.) (Porter and Morgan 2007)

Hands-on work experience

1. Network with the local technology companies and work experience in whatever mix of credit and pay can be arranged (Pennsylvania State University-Main Campus) (Kisenwether and J. v. Matson, 2002) 2. Intrapreneurship experience in companies (UMJI) (Zheng et al. 2017)

Social media (Chen et al. 2021)

1. Collaborative projects (e.g., Wikis, podcast, and blog) 2. Content communities (e.g., YouTube and eBay) 3. Forums (e.g., Moodle forums) 4. Social networking sites and applications (e.g., Facebook, Skype, WhatsApp, and Twitter)

Serious game (Chen et al. 2021)

TeamUp, Slogan, SimVenture, GoVenture Card Game, the Entrepreneur Card Game, GoVenture: Entrepreneur and Monopoly

Digital platform (Chen et al. 2021) Coursera, EdX, Udemy, Udacity, Iversity, MiriadaX Fig. 3.1 The four-step methodology followed by this chapter

Research Objectives Data Collection Data Processing

Data Analysis

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3.

4.

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review, we further consulted the latest ranking for undergraduate entrepreneurship programs (News 2021). The data collection process will be described in Sect. 3.5. Data Processing: The raw data we obtained from the previous steps were in the form of journal articles and websites, which were not directly usable. Therefore, we needed to go through each document and extract the key information required for data analysis. For instance, we decomposed the education components in each program and identified some common and distinctive characteristics. Data Analysis: Given the processed data, we were then able to analyze them using data classification, data aggregation, theme analysis, etc. so that we could try to find answers to the research questions defined in the first step. Through this process, we identified common patterns as well as distinctive characteristics among different entrepreneurship programs. We will discuss the implications of our findings for both existing entrepreneurship programs and future entrepreneurship programs in Sects. 3.6 and 3.7.

3.4 Research Objectives 3.4.1 Tradeoffs Between Forms of Offerings There exist several different forms of entrepreneurship education offerings. Sorted by the level of student commitment in ascending order, they are integrated into the existing curriculum, individual entrepreneurship courses, entrepreneurship minors, and entrepreneurship majors. It is natural to expect that the more time and energy students put into an entrepreneurship program, the more they will benefit from the program. Ultimately, one of the most important goals of an entrepreneurship program is to produce future entrepreneurs. Ideally, we wanted to answer the question “Does a more systematic entrepreneurship program indeed produce more successful entrepreneurs or at least reduce failure rate?” In addition, we are interested in where the additional credit hours in a more systematic entrepreneurship program are allocated compared to a less engaged entrepreneurship program. From another perspective, given limited credit hours, a less systematic entrepreneurship program will inevitably be forced to selectively teach the most essential aspects of entrepreneurship to students. To identify the tradeoffs between different forms of offerings, we tried to compare and contrast the curricula at various entrepreneurship programs and their student outcomes.

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3.4.2 Evaluation of Entrepreneurship Education Components Unlike traditional disciplines, entrepreneurship education is usually composed of not only curricular components, but also a rich set of extra-curricular activities. This is again due to the practicum requirement of entrepreneurship education. To be kept informed of the latest trends in the industry and entrepreneurship opportunities, students need to participate in extra-curricular activities such as speaker series and entrepreneurship competitions. Another important characteristic of entrepreneurship education is that professors alone cannot offer everything students need to learn about entrepreneurship. In terms of actual entrepreneurship experience, real entrepreneurs tend to have more insights into the dos and don’ts while running a startup. Therefore, entrepreneurship educators need to organize events and spaces where students can receive mentorship from industrial experts. Together, the curricular and extracurricular activities form an entrepreneurship ecosystem at an institute. We would like to evaluate the comprehensiveness of the entrepreneurship ecosystems at sampled institutes so that we could get an overview of how well existing entrepreneurship programs offered a holistic entrepreneurship education to their students.

3.5 Data Collection 3.5.1 Systematic Literature Review 3.5.1.1

Document Search

The document search process began with keyword selection. Based on our research objectives, “entrepreneurship education” was identified as the main keyword. Furthermore, since the scope of this study was focused on undergraduate engineering students, we added two restrictive keywords “undergraduate” and “engineering” to our search query. Therefore, the final search query became: “entrepreneurship education” AND “undergraduate” AND “engineering”

To cover as many relevant documents as we could, we ran the search query above in several major academic databases. The search fields were limited to document title, abstract, and keywords. In addition, we limited the language of the returned documents to English, and the document type to conference papers, journal articles, or book chapters. The other search settings were kept as default for each database. After duplicate elimination, the initial article search process produced 99 unique documents in total as shown in Table 3.3.

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Table 3.3 A summary of the search results returned from different databases. The third column refers to the number of search results returned from a database after excluding duplicates with respect to all databases that precede it Database

# Search results

# New search results

Scopus

79

79

IEEE Xplore

23

8

ProQuest

21

12

3.5.1.2

Relevance Evaluation

For the documents retrieved from the initial article search progress, we evaluated each document’s relevance with respect to our research objective based on its title, abstract, and full text. To reduce the potential bias of researchers, the following exclusion criteria were defined ahead of the screening process: • • • • •

The full text of the document is not available. The main focus of the document is not on entrepreneurship education. The document is not written from an educator’s point of view. The scope of the document is beyond undergraduate-level or engineering. The document does not provide concrete examples of entrepreneurship education offerings, nor does it analyze desired characteristics of entrepreneurship education.

Documents matching at least one of the criteria above were removed from the list. After the relevance evaluation process, the original 99 documents returned from the article search process were reduced to 21 most relevant documents. It was based on these most relevant documents that we conducted data extraction and further analysis. The number of documents rejected in each step of the relevance evaluation process is shown in Fig. 3.2. Fig. 3.2 The relevance evaluation process was conducted based on titles, abstracts, and full texts sequentially

99 documents from search results 41 documents were rejected based on titles.

58 potentially relevant documents 24 documents were rejected based on abstracts.

34 potentially relevant documents 13 documents were rejected based on full texts.

21 most relevant documents

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3.5.2 Cross-Validation Using Online Ranking Considering the fast-changing nature of entrepreneurship education, we paid particular attention to the launch time of different entrepreneurship courses and curricula. As specific time points are not available, we checked the publication year of the papers to get a rough idea instead. As shown in Fig. 3.3, the literature did not talk much about the most recent trend. Therefore, we decided to cross-validate the sampled institutes from the systematic literature review using the latest online ranking for undergraduate entrepreneurship programs (News 2021). More specifically, we supplemented the list of sampled institutes with those institutes that appeared in the top 10 in the 2021 U.S. News ranking for undergraduate entrepreneurship programs (see Table 3.4). Of course, some institutes had already been covered by the systematic literature review. After this refinement step, we believe that this study has covered most leading entrepreneurship programs (Table 3.5). Fig. 3.3 The year distribution of the papers (left inclusive and right exclusive for the intervals)

8 7 6 5 4 3 2 1 0 -2000

Table 3.4 The 2021 U.S. News ranking for undergraduate entrepreneurship programs

2000-2005 2005-2010 2010-2015 2015-2020

Rank

Institute

1

Babson College

2

M.I.T

3

Univ. of Cali. Berkeley

4

Indiana Univ

5

Univ. of Penn

6

Univ. of Michigan

7

Univ. of Texas Austin

8

Baylor Univ

9

Univ. of North Carolina

10

Univ. of South Cali

2020+

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Table 3.5 A glance at several sample degree programs Babson (Concentration) (Best College For Entrepreneurship | Babson College Official Website 2021)

MIT (Minor) (Entrepreneurship Innovation Minor—MIT Innovation Initiative 2021)

UMich (Minor) (Michigan Ross Entrepreneurship Minor | Official Website 2021)

Credits Required

≥128 credit hours

Structured around 5 courses

15 credits

Target Students

Those who want to become an entrepreneurial leader

Major in another field and are not assumed to have prior business or management experience

Undergraduate students from any background or area of study

Courses Arrangement

Core curriculum: Foundations of Management and Entrepreneurship (FME) → Socio-Ecological Systems → Advanced Experiential

2 required E&I Foundations subjects + 3 elective subjects in each of the three domains (E&I in Context, Leadership of Teams and Organizations, and E&I Experiential)

2 core courses + Several electives from around 80 other elective courses of various topics and various fields

Ways to satisfy “cross-discipline” objective

Cooperation with Olin and Wellesley (BOW) community students; Invited speakers from specific industry

Jointly offered by the School of Engineering and Sloan School of Management

Having “academic partnerships with all of the Schools and Colleges and the work of the student organizations and community partners”

3.6 Tradeoffs Between Forms of offerings Entrepreneurship education is offered in various forms: major, minor, discrete courses without a degree, as well as extra-curricular activities such as entrepreneurship club and speaker series, just to name a few. The following tree diagram gives a general comparison of these four kinds of typical offerings. It is worth pointing out that the conclusions are based on the case study of several well-organized programs and exceptions may exist (Fig. 3.4). Majors take longer periods and require more credit hours for the degree. Students devoted to entrepreneurship can take full advantage of all sorts of rich recourses to lay a solid foundation and tap potential for their future. The core curricula are often designed in a highly comprehensive and systematical way to equip students with solid functional business skills and also better understandings of entrepreneurship in a broader context such as the socio-ecological systems and even the attitudes toward failures. High-level practicum courses often involve cooperation with other schools,

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Fig. 3.4 A general comparison between typical offers by entrepreneurial education programs

universities, or companies, so the students are enabled to form transdisciplinary teams and get ample entrepreneurship experiences. To get a minor degree, students are often required to take about five courses. The core courses of minor are often a combination of general business fundamentals and a virtual hands-on project in the field of their major. Besides, students are often required to select about three electives according to their interests. Though some universities provide a wide range of courses for selection, restrained by limited time and credit capacity, minor students are not able to take full advantage of those resources, which is a typical tradeoff. Despite not having that solid business foundation, those students are much more familiar with the field they major in compared to entrepreneurship major students. This is another typical tradeoff as it is hard for a student to be an expert in multiple fields within a limited time. Merging an entrepreneurial mindset into capstone or cooperation with business school students is often utilized in minor course design. Apart from majors and minors, some other universities only offer discrete courses and no additional degree is offered. In such cases, universities provide limited courses choices, often just a rough introduction to the business or entrepreneurship

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world. They tend to combine essential entrepreneurial teaching methods into their major’s course design. For instance, in China Jiliang Uni., a general introduction to entrepreneurship and introduction to entrepreneurial computing business is offered along with introductions to IT-related knowledge (computer science, data structures, and algorithms), in order to “expose all students to entrepreneurial ideas and activities in the context of a specific computing discipline (Jin and Huang 2014).” It also employs project-based and team-based methods, such as a formation of a virtual start-up company to create an active learning environment apt for entrepreneurship learning. For entrepreneurial education, extra-curricular activities are another typical offering. Student-centered ones include entrepreneurship clubs, speaker series, conferences, and competitions, while community-centered ones include incubators and CFEs. These activities provide various things such as immersive experiences for students, deep communication platforms for entrepreneurs, and impactful researches generated by joint efforts, which benefit not only the students but also the whole entrepreneurship education ecosystem. Though forms and content will differ due to the different nature of the programs, for example, the difference between major and minor, the richness of extra-curriculum activities is more related to the universities’ resources. Thus, this is more like the resources that can be utilized by the program students rather than specially designed for the students. It is not difficult for renowned universities to offer entrepreneurial education resources as abundant as those provided by other universities that offer a major, and sometimes maybe even much richer. The richness of extra-curriculum resources is indispensable in entrepreneurial education and is to some extent an important indicator of a program’s strength. The following text boxes give a glance at part of the extra-curriculum resources provided by Babson College, MIT, and Umich and it is shown that these well-recognized programs are all rich in such resources no matter whether they are concentrated or minors. Supplement text 3.1 Part of the extra-curriculum resources is provided by several sample programs.

Some of the Platforms of Babson College Concentration (Best College For Entrepreneurship 2021) • The Arthur M. Blank Center for Entrepreneurship: Virtual office hours with faculty advisors and experts • The Institute for Family Entrepreneurship: A platform where family entrepreneurs share experiences • Global Entrepreneurship Monitor: The Global Entrepreneurship Monitor (GEM) is initiated in 1999 as a joint venture of Babson College and the London Business School

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• Babson College Entrepreneurship Research Conference: Regarded as the most prestigious conference in the field, convening scholars from around the world • Diana Project™: Engaging in research activities, forums, and scholarship focusing on women entrepreneurs and their growth.

Part of the Extra-Curriculum Resources of MIT and Umich Minor Entrepreneurship and Innovation Minor in MIT (Entrepreneurship Innovation Minor—MIT Innovation Initiative 2021) • • • •

“Field trips” to locations in the Kendall Square innovation ecosystem Regional Entrepreneurship Acceleration Program MIT Alumni iHQ VIRTUAL Open House Mission Innovation Program.

Entrepreneurship Minor in Umich: (Entrepreneurship at Michigan Ross 2021) • Samuel Zell and Robert H. Lurie Institute for Entrepreneurial Studies • Entrepalooza: a showcase and story sharing about food entrepreneurship • Michigan business challenge. Researches on the current entrepreneurship education programs are beneficial to designing future programs and building an ecosystem. The George Washington University Center for Entrepreneurial Excellence published “The National Survey of Entrepreneurship Education: An Overview of 2012–2014 Survey Data (T. G. W. University 2014) in 2014 and offers a comprehensive snapshot of the state of entrepreneurship education in the United States while showing some trends and changes to entrepreneurship education, which is really inspiring. As time passes, a more detailed study can be conducted and will inspire the future development of entrepreneurial education.

3.7 Evaluation of Entrepreneurship Education Components To systematically evaluate the entrepreneurship education components at different institutes, we decomposed the entrepreneurship activities at each institute and categorized them into three major categories and nine sub-categories adapted from

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Blessing et al. (2008). The three major categories of entrepreneurship activities are curriculum-centered, student-centered, and community-centered. Curriculum-Centered: A curriculum forms the foundation of an entrepreneurship education offering. Students learn basic knowledge of business, design, etc. from courses. • Practicum Courses: Ask students to apply entrepreneurial thinking to other disciplines, e.g., engineering, and usually involve real-world projects. • Social Entrepreneurship: Over recent years, there has been an increasing interest among both academia and practitioners in social entrepreneurship, namely selfsustainable businesses that aim at creating social impact. As a result, dedicated courses have been added to the curriculum in some institutes. • Entrepreneurship Minor: An entrepreneurship minor offers students a systematic way of receiving entrepreneurship education, as compared to individual courses. Student-Centered: Apart from standard curricular activities, many institutes host extra-curricular entrepreneurship activities to immerse students in a proentrepreneurship environment. Students get chances to get in touch with fellow entrepreneurial-minded peers as well as industry leaders. • Entrepreneurship Club: A student-oriented entrepreneurship club provides a space for like-minded students to discuss entrepreneurship matters and promotes relevant events. • Speaker Series: Institutes may invite current or past entrepreneurs and industry leaders to share their insights with students. • Conferences: Institutes may provide opportunities for students to join conferences or even host their conferences on entrepreneurship to expose students to hot topics in entrepreneurship. • Competitions: Entrepreneurship competitions build a platform for students to demonstrate their entrepreneurship projects and receive mentorship from industrial experts. Community-Centered: To create sustained impacts of entrepreneurship education, some institutes may set up incubators or centers for entrepreneurship. • Incubators: Institutes may set up incubators to facilitate the transformation from student projects to real-world businesses. Through incubators, student startups receive extensive mentoring from industrial experts. • Centers for Entrepreneurship (CFE)1 : A center for entrepreneurship serves as the central organizer for all kinds of entrepreneurship activities happening at the institute. It also connects external resources. Based on the categorical methodology outlined above, we examined the entrepreneurship ecosystem at each institute and marked components it had to our best efforts (Table 3.6). 1

The exact names for such centers may vary from institute to institute. We counted an institute as having a CFE or not by judging whether there was such an organization with desired functionalities.

✓

✓

✓

China

Finland

Lithuania

UM-SJTU Joint Institute (Zheng et al. 2019; Center for Entrepreneurship 2021)

Aalto Univ. (Aalto Ventures Program 2021)

Kaunas Univ. of Tech. (Kazakeviciute et al. 2016; KTU National Innovation and Entrepreneurship Centre 2021)

Univ. Tunku Abdul Malaysia Rahman (Lim et al. 2019; Rahman 2019)

✓

✓

✓

✓

✓

Shanghai Jiao Tong Univ. China (School of Entrepreneurship Innovation 2021)

✓

✓

✓

China

China Jiliang Univ. (Jin and Huang 2014; Huang and Hang 2011; China Jiliang University 2021)

✓

✓

✓

Entr. Club

✓

✓

✓

✓

Speaker Series

Student-Centered Entr. Minor

Prac. Courses

Social Entr.

Curriculum-Centered

Country

Institute

✓

✓

✓

✓

Conf.

Table 3.6 A bird’s-eye view of the extent of entrepreneurship education offerings at different institutes

✓

✓

✓

✓

Competitions

✓

✓

✓

✓

✓

Incubator

✓

✓

✓

✓

✓

(continued)

CFE

Community-Centered

3 Practicum-Oriented Entrepreneurship Education … 55

✓

✓

✓

Indiana Univ. (Kelley U.S School of Business 2021)

Lawrence Tech. Univ. U.S (Carpenter and Feierfeil 2007; Lawrence Technological University 2021)

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

U.S

✓

Cali. State Univ. Northridge (Jones and Liu 2017; Nazarian College 2021)

✓

✓

✓

U.S

Baylor Univ. (Baugh 2021)

✓

✓

✓

✓

✓

✓

✓

Babson College (College U.S 2021)

✓

✓

✓

U.K

Univ. of Cambridge (Judge Business Schoo 2021)

✓

✓

✓

South Korea

Yonsei Univ. (Kang and Lee 2020; School of Business 2016)

Conf. ✓

South Africa

Univ. of Witwatersrand (Matinde 2018; Wits Entrepreneurship Week 2020)

Entr. Club

Speaker Series

Student-Centered Entr. Minor

Prac. Courses

Social Entr.

Curriculum-Centered

✓

Country

Institute

Table 3.6 (continued)

✓

✓

✓

✓

✓

✓

Competitions

✓

✓

✓

✓

✓

✓

Incubator

✓

✓

✓

✓

✓

(continued)

CFE

Community-Centered

56 T. Chen et al.

✓

✓

Penn. State Univ. U.S (Matson and Kisenwether 2002; Center for Penn State Student Entrepreneurship 2021)

U.S

U.S

U.S

Stanford Univ. (Stanford Entrepreneurship Network 2021)

Texas A&M Univ. (Porter and Morgan 2007; Center and for Entrepreneurship 2021)

Univ. of Cali. Berkeley (Haas 2021)

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

U.S

Mercer Univ. (Radharamanan and Juang 2012; Mercer Innovation Center 2021)

✓

✓

✓

U.S

M.I.T. (Massachusetts Institute of Technology 2021)

✓

✓

✓

U.S

Lehigh Univ. (Ochs 2005; Ochs et al. 2006; Baker Institute 2021)

Entr. Club

✓

✓

✓

✓

✓

✓

Speaker Series

Student-Centered

Social Entr.

Prac. Courses

Entr. Minor

Curriculum-Centered

Country

Institute

Table 3.6 (continued)

✓

✓

✓

✓

Conf.

✓

✓

✓

✓

✓

Competitions

✓

✓

✓

✓

Incubator

✓

✓

✓

✓

✓

✓

✓

(continued)

CFE

Community-Centered

3 Practicum-Oriented Entrepreneurship Education … 57

Country

U.S

U.S

U.S

U.S

U.S

U.S

U.S

Institute

Univ. of Central Florida (D’Cruz and O’Neal 2003; Center for Innovation and Entrepreneurship 2014)

Univ. of Illinois at UC (Newell and Varshney 2017; Technology Entrepreneur Center 2021)

Univ. of Maryland (Barbe et al. 2003; Dingman Center for Entrepreneurship 2021)

Univ. of Michigan (Center for Entrepreneurship 2021)

Univ. of Nevada Reno (Looney and Kleppe 1996; Ozmen Center for Entrepreneurship 2021)

Univ. of North Carolina (Center and 2021)

Univ. of Penn. (Lab 2021)

Table 3.6 (continued)

✓

✓

✓

✓

✓

✓ ✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

Entr. Club

✓

✓

✓

✓

✓

✓

Speaker Series

Student-Centered Entr. Minor

Prac. Courses

Social Entr.

Curriculum-Centered

✓

✓

✓

✓

Conf.

✓

✓

✓

✓

✓

✓

Competitions

✓

✓

✓

✓

✓

Incubator

✓

✓

✓

✓

✓

✓

✓

(continued)

CFE

Community-Centered

58 T. Chen et al.

Country

U.S

U.S

Zimbabwe

Institute

Univ. of South Cali. (Center and for Entrepreneurial Studies 2021)

Univ. of Texas Austin (The University of Texas at Austin 2021)

Univ. of Zimbabwe (Matinde 2018)

Table 3.6 (continued)

✓

✓

✓

✓

✓

✓

✓

✓

✓

✓

Entr. Club

✓

Speaker Series

Student-Centered

Social Entr.

Prac. Courses

Entr. Minor

Curriculum-Centered

✓

✓

Conf.

✓

✓

Competitions

✓

✓

Incubator ✓

CFE

Community-Centered

3 Practicum-Oriented Entrepreneurship Education … 59

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Table 3.7 A comparison table of the three minors in entrepreneurship Institute

Minor Start Year

Core Req

Elective Req

Practicum Req

Umich

2012

6 credits

≥3 credits

≥6 credits

UM-SJTU JI

2016

5 credits

≥3 credits

≥6 credits

SJTU

2019

7 credits

≥7 credits

6credits

In order to gain a deeper understanding of these entrepreneurship education components, we choose three of the sample programs for more detailed illustration, namely, University of Michigan—Shanghai Jiao Tong University Joint Institute (UM-SJTU JI), University of Michigan (Umich), and Shanghai Jiao Tong University (SJTU). They all offer an entrepreneurship minor and form a line in the time–space in the sense that the former ones inspired the latter ones (UM → JI → SJTU). By referring to School of Entrepreneurship Innovation (2021), Zheng et al. 2019, Center for Entrepreneurship (2021a, b), Entrepreneurship at Michigan Ross (2021), we extract concrete examples of these important components of their entrepreneurship education over the years. The basic information and component examples of the three programs are listed in Tables 3.7 and 3.8. The remaining part of this section presents our insights into the entrepreneurship ecosystem at the sample institutes. As shown in Fig. 3.5, despite varying degrees of comprehensiveness with respect to different components, 100% of the sampled institutes have practicum courses of some kind within their entrepreneurship ecosystems. This again reinforces the idea that entrepreneurship education should be practical. Besides, we were delighted to find that more than half of the sampled institutes offered courses in social entrepreneurship. Institutes like Mercer University (Mercer Innovation Center 2021) and University of Southern California (Center and for Entrepreneurial Studies 2021) even offered social entrepreneurship as a dedicated minor. As discussed in Mahfuz Ashraf et al. (2019), the social business model advocated by Prof. Muhammad Yunus serves as a promising means of addressing social problems in a self-sustainable fashion, especially in developing economies. Hopefully, by instilling the idea of social entrepreneurship early on in students, they will at least become more socially responsible entrepreneurs in the future if not social entrepreneurs. Note that nearly 70% of the sampled institutes offer the choice of entrepreneurship minor, which is a nice balance between systematicity and practicality for undergraduate engineering students. Consider student-centered components. The most widely existing one is entrepreneurship clubs (~80%). In most cases, they are student-run and advised by professors or industrial experts. Slightly less prevalent than that are speaker series and competitions (~75%). These events demand coordination at an institutional level. The least-seen one is conferences related to entrepreneurship, which is expected since they require inter-institutional or academia-industry coordination. However, conferences tend to generate a large amount of discussion and insights into

Community-centered 1. Center for Entrepreneurship (CFE)

1.“Google Cup” Entrepreneurship Competition 2.“Innovation and Entrepreneurship” Seminar 3.“Innovation and Entrepreneurship” Salon 4. Entrepreneurship internship

1. Practicum requirements: An entrepreneurship project based on major

SJTU

1. Entrepreneurship Week: 1. “Huigu” Innovation and involve panel sessions and Entrepreneurship Studio real-world case studies 2. Campus Entrepreneurship 2. Centers for Entrepreneurship (CFE)

1.“Meet the Entrepreneurs” Talk Series 2. Entrepreneurship Competitions

1. Samuel Zell and Robert H. Lurie Institute for Entrepreneurial Studies 2. ENTR 407: Entrepreneurship Hour (Speaker series) 3. Internship opportunities

Student-centered

UM-SJTU JI 1. VM/VE/VG450: Capstone Design 2.VX423: Intrapreneurship 3.VX425: Technology Entrepreneurship 4.VE449: Mobile Application for Entrepreneurs

Umich

Curriculum-centered 1.ENTR411: Entrepreneurship Practicum 2.ENTR412: Advanced Entrepreneurship Practicum 3.FIN329: Financing Technology Commercialization 4.TO448/ARTDES416: Integrated Product Development

Component

Table 3.8 Concrete component examples of the three minors in entrepreneurship

3 Practicum-Oriented Entrepreneurship Education … 61

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T. Chen et al. 0%

10%

20%

30%

40%

50%

60%

70%

80%

90% 100%

Prac. Courses Social Entr. Entr. Minor Entr. Club Speaker Series Conf. Competitions Incubator CFE

Fig. 3.5 The percentage of institutes that have a specific component

the latest trend in entrepreneurship and can significantly boost institutional reputation in entrepreneurship education and research. Most institutes choose to set up a dedicated center for entrepreneurship (albeit with different name choices) to orchestrate all kinds of entrepreneurship activities. Although it is possible to delegate the responsibilities to existing management teams from business school or college of engineering, Fig. 3.6 suggests that having a dedicated center for entrepreneurship is correlated with more coverage of both curriculum-centered and student-centered components. This can be explained by the fact that many entrepreneurship activities require active coordination with both academic and industrial partners to obtain resources, thus demanding a dedicated team. It is worth pointing out that this does not imply that centers for entrepreneurship should be isolated from business schools or colleges of engineering. In fact, business schools and colleges of engineering provide valuable support for businessand technology-related courses and activities within entrepreneurship education. It is just the case that separating responsibilities works better in practice according to the data. Fig. 3.6 The relationship between having a center for entrepreneurship or not and the number of available components

6 5 4

# Student-Centered Components (Avg)

3

# Curriculum-Centered Components (Avg)

2 1 0 Has CFE

No CFE

3 Practicum-Oriented Entrepreneurship Education …

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3.8 Conclusion This chapter presents an in-depth examination of entrepreneurship education at various institutes around the world. The conclusions drawn are backed by data from our systematic literature review. To begin with, one can never over-emphasize the importance of practicum components within entrepreneurship programs and they should be weaved into both curricular and extra-curricular activities. As to the detailed comparison among different forms of offerings, curricular ones have apparent differences in aspects including credits required, target students, courses arrangement, and ways to satisfy “cross-discipline” objective. Extra-curriculum ones are highly related to the universities’ own resources and the richness is an important indicator of a program’s strength. Thus, an institute can decide on the best form based on the resources it has and the benefits of which form best align with its overall educational mission. Specifically, for most engineering colleges, a minor may serve as the best complement to the existing technical curriculum. Besides, a detailed snapshot of the current offering layout will be inspiring for entrepreneurial education development, which is a possible direction for future studies. Furthermore, from the component analysis view of numerous institutes around the world, an institute can gauge its position in terms of comprehensiveness of entrepreneurship activities and enrich its entrepreneurship curriculum in one or more chosen components. Education researchers and institutes that plan to develop new entrepreneurship education curriculum can learn from the philosophies adopted by successful existing entrepreneurship education offerings. Last but not least, it is worth emphasizing that entrepreneurship education is a fast-changing field. Therefore, one needs to keep informed about the latest trend. There is now an international recognition that entrepreneurship is essential for the sustainable development of countries, particularly those with restricted government resources. Besides, entrepreneurship provides strong application insights for engineering courses. This study may provide a base for future work on entrepreneurship education in non-English speaking, developing countries in Asia, Africa, and Latin America. This study focuses on English published literature and there is scope for future work involving literature in other languages, especially when considering the boom of entrepreneurship activities in many developing countries (particularly in China and India) in recent years.

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University of Witwatersrand. (2021) Wits Entrepreneurship Week - Wits University. University of Witwatersrand. https://www.wits.ac.za/ccdu/wits-entrepreneurship-week/. Accessed 21 Aug 2021 U.S. News, 2021 Best Undergraduate Entrepreneurship Programs | US News Rankings, U.S. News & World Report (2021). https://www.usnews.com/best-colleges/rankings/business-entrep reneurship. Accessed 20 Aug 2021 Venture Lab (2021) Venture lab - resources for entrepreneurs. The Wharton School, The University of Pennsylvania. https://entrepreneurship.wharton.upenn.edu/. Accessed 11 Sept 2021 T. G. W. University (2014) The national survey of entrepreneurship education an overview of 2012– 2014 survey data. In: Excellence, center for entrepreneurial, p 45. http://www.nationalsurvey.org/ files/2014KauffmanReport_Clean.pdf Universiti Tunku Adbul Rahman (2021) Entrepreneurship at UTAR, Universiti Tunku Adbul Rahman. https://unovate.utar.edu.my/Entrepreneurship.php. Accessed 21 Aug 2021 Zheng G, Hohberger H, Ma C, Ray P (2017) From interdisciplinary education to effective global engineers. In: ASEE annual conference and exposition, conference proceedings, vol 2017, 2019. https://doi.org/10.18260/1-2-32865 Zheng G, Hohberger H, Ma C, Ray P (2019) From interdisciplinary education to effective global engineers. https://doi.org/10.18260/1-2-32865

Chapter 4

Applicability of Business Model Canvas in the Context of Entrepreneurship in Asia: A Systematic Literature Review Sheng Qiao, Gongyu Chen, and Pradeep Ray

Abstract Since entrepreneurship plays an important part in the business world and economic development, there have been efforts to develop theories for the success of entrepreneurship. Business Model Canvas (BMC), one of the most successful and widely adopted business model archetypes, helps validate a start-up business idea. However, this powerful tool was developed and tested in the context of western world businesses, primarily in USA and Europe. Its popularity and adoption in the context of Chinese and Asian businesses are not clear. To discover the actual adoption situation from an academic perspective and figure out the gaps in this topic, a systematic literature review (SLR) was carried out. By going through the main idea of each short-listed article in the content analysis, some gaps are figured out. Considering the applicability and effectiveness of BMC in analyzing existing businesses, there exist gaps in assessing the efficiency and effectiveness of Chinese and Asian businesses. Current literature lacks studies on the validations of a startup idea using BMC and other BMC-adopted new models, especially from the perspectives of social businesses and the cultural context in regions, such as Asia. Keywords Business model canvas · Chinese businesses · Asian businesses · Entrepreneurship

4.1 Introduction Entrepreneurship plays an important role in economic development since it supports the economic mechanism that identifies and solves the inefficiencies and problems existing in the economy (Toma et al. 2014). As a result, being aware of the importance of entrepreneurship, people have kept establishing and updating the theories S. Qiao (B) · G. Chen Center for Entrepreneurship, UM-SJTU (University of Michigan-Shanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China P. Ray Honorary Professor, School of Population Health, UNSW Medicine, Kensington, Australia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_4

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of entrepreneurship for decades. The core of entrepreneurship is about business model innovation. A business model refers to “the rationale of how an organization creates, delivers, and captures value” (Osterwalder and Pigneur 2010), or “a focusing device that mediates between technology development and economic value creation” (Chesbrough and Rosenbloom 2002). Many conceptualizations of a business model highlight the core value created by the business for the stakeholders and the path to realize the value, such as the strategies, networks, technologies, and financial resources (Shafer et al. 2005; Johnson et al. 2008). To provide a better way to present and communicate business model innovation, Business Model Canvas (BMC) was developed by Osterwalder and Pigneur (2010) to offer detailed steps for implementing the business model and achieving the business value. There are nine interconnected building blocks in BMC: value proposition, customer segments, customer relationships, channels, key activities, key resources, key partners, cost structure, and revenue streams. A detailed introduction of BMC will be given in Sect. 4.2. After BMC was introduced, it has become one of the most successful business model archetypes that are widely adopted because of its simplicity and practicality. However, BMC, as a tool developed and tested in the context of western world businesses, its popularity and adoption in Asia are not clear. According to Fig. 4.1, it seems that BMC is mainly adopted in Europe and America while it doesn’t show high popularity in Asia. In Europe and America, BMC mainly serves the function of helping develop a totally new business, develop new product or service, strategic reorientation, and business model renovation (see Fig. 4.2). Besides the function of

Fig. 4.1 Global adoption of BMC (Hanshawand and Osterwalder 2015)

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Fig. 4.2 Reason for using BMC (Hanshawand and Osterwalder 2015)

creating and validating a new startup idea, BMC, as a well-known business model architecture, has gradually become an essential topic in entrepreneurship education (Verrue 2014). Students are typically taught to first analyze and summarize the BMC of an existing business, then create their own business idea. Therefore, BMC also has the function of summarizing the existing business. After a rough observation, BMC, as a tool applied in many Fortune 500 and FT Global 500 companies, is not adopted in Asia to a large extent, especially as a tool for creating a new startup idea. Some doubt the applicability and suitability of BMC, the Western model archetype, for academic study and startup practice of businesses in China and other Asian countries because the entrepreneurial ecosystems in these countries show significant distinctions compared to the West, which may be one of the reasons that can explain the phenomenon (Paulet and Rowley 2017). To ascertain the actual adoption situation and the reasons/gaps behind the observed not high popularity of BMC in the context of Chinese and other Asian businesses, this paper

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adopts a systematic literature review method to summarize the existing literature that studies the applications of BMC or its variants in the context of Chinese and Asian businesses world. After checking the adoption situation from an academic and literature perspective, content analysis and further discussion based on the relevant articles will be given to show the gaps behind. This chapter aims (1) to find out how the BMC is employed for Chinese and other Asian businesses in empirical research, case study, and theoretical development; (2) to show the applicability and potential limitations in synthesizing and founding businesses in China and other Asian countries; (3) to explore how BMC can be adopted better in the context of Chinese and Asian businesses. The chapter is organized into five sections. After introducing the background of BMC, including definition, popularity, critics, and variants, in Sect. 4.2, the paper then gives an overview of systematic literature review method and applies it in Sect. 4.3. To meet the objectives of our paper, detailed analysis with first classifying the selected paper by topic in Sect. 4.4 and then discussing the gap between the current work and ideal application of BMC in the context of Chinese and other Asian businesses in Sect. 4.5. Finally, Sect. 4.6 gives a summary and conclusion for the whole paper.

4.2 Background Business model canvas (BMC), proposed by Alexander Osterwalder and Yves Pigneur, is used as a tool to analyze or generate the business model with nine building blocks (Osterwalder and Pigneur 2010). • Customer Segments (CS): Determine the group of customers, including people and organizations that the business provides the services or products. • Value Propositions (VP): Define the core value (services and products) the business delivers to a specific customer segment. • Channels (CH): Describe how the business reaches its specific customer segments to deliver the value proposition. • Customer Relationship (CR): Determine the type of relationship the business establishes with the specific customer segments. • Revenue Streams (RS): Define the cash resulting from the payment from the specific customer segments. • Key Resources (KR): Describe the main resources (physical, financial, intellectual, and human) to support the business. • Key Activities (KA): Determine the most important activities to support the business to provide value. • Key Partnerships (KP): Define the suppliers and partners that support the key activities and make the business model work. • Cost Structure (C$): Describe the costs resulting from the key resources and key activities.

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Fig. 4.3 Business model canvas template (Osterwalder and Pigneur 2010)

All nine building blocks can be summarized in the single-page template as shown in Fig. 4.3, and entrepreneurs can quickly adapt it to develop ideas for their startups while people can also use it to summarize the business model for a specific business to help themselves understand. The motivation for establishing the BMC was to present and clarify a business model for everyone to understand easily. The challenge to building such a concept is to simplify the business model to a certain extent that people can easily get the main points of the idea (Hong and Fauvel 2013). With nine building blocks, BMC can effectively map a complex business system into a canvas, resulting in the rapid adoption of BMC. As shown in the Business Model Canvas Report 2015, the BMC template has been downloaded more than 5,000,000 times on Strategyzer and about 1,000,000 Business Model Generation books have been sold. Obviously, BMC gained great popularity. Respondents highly appreciated BMC for its function of providing better conversations on strategy, creating a shared language, and supporting better brainstorming (Hanshawand and Osterwalder 2015). Although the concept of BMC has achieved the goal of simplicity, some issues of the BMC have been put forward since some key points of a business model are missing in the BMC (see Table 4.1) (Hong and Fauvel 2013). Since many scholars show that some elements are not explicitly shown in the model and it may need to be revised for specific business sectors, many variants are created to solve these issues. As pointed out by Zolnowski and Bohmann (2014), service-specific aspects such as value co-creation are not reflected in the Business Model Canvas. The Service Business Model Canvas (SBMC) is proposed to address the importance of these service-specific aspects by adding, e.g. the customer perspectives (Zolnowski et al. 2014). Joyce and Paquin consider the sustainability of a

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Table 4.1 Missing points of business model in BMC Critics

Spanz (2015)

Kraaijenbrink (2017)

Maurya (2013)

Missing points

Broad analysis of competition

Strategic purpose

Problem

Competition structure

Notion of competition

Solution

Formulating of business goals

Mixing levels of abstraction

Key metrics (KPI)

KPIs and performance measurement

Unfair/competitive advantage

Transforming of existing models

business and raise a triple-layered BMC. They consider Osterwalder and Pigneur’s original BMC as the economic layer and add an environmental layer (Environmental Life Cycle BMC) and a social layer (Social Stakeholder BMC) (Joyce and Paquin 2016). Adapted from the BMC and preserving its portability and clarity as a 1-page graphical business innovation tool, the Lean Canvas (LC) created by Ash Maurya (2012) substitutes the four “too general” blocks, namely, key partners, key activities, key resources, and customer relationships, with the new blocks “problem”, “solution”, “key metric”, and “unfair advantage”. It serves as an alternative for startup founders and business researchers to reflect on the business models.

4.3 Methodology A systematic literature review (SLR) provides an inclusive and complete summary of all current literature related to BMC in Chinese enterprises. An SLR follows the steps based on SLR techniques to review a specific topic rigorously. To reach the goal of SLR, the topic should be comprehended deeply and then search for initial relevant articles by selecting the proper databases and keywords. Techniques including using Boolean operators and wildcard characters to construct a better search string should also be applied to implement an SLR (Dieste et al. 2009). The flow of information during an SLR is shown in Fig. 4.4. Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) statement and guidelines were followed (Kitchenham et al. 2009). Thus, three steps, including (1) searching for articles; (2) relevance appraisal; (3) extracting data, were taken to conduct the SLR.

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Fig. 4.4 Flow of information of SLR (Moher et al. 2009)

4.3.1 Searching for the Initial List of Studies In the initial step, we identify keywords that are closely related to the use and evaluation of BMC in the Chinese and Asian contexts. The three groups of keywords are defined as follows: (1) “business model canvas”, “lean canvas”; (2) “China”, “Asia”; and (3) “entrepreneurship”, “startup”, “innovation”. The first group identifies the core topic of the research, the second group limits the region of interests, and the last group is defined for the contextual restriction. Within the actual database search, various query terms are defined in combination with the supported Boolean operators (AND, OR, NEAR/x, EXACT) and wildcard characters due to the distinctions of the search engine in different databases. In total of 221 articles, including journal papers, conference proceedings, thesis papers, and book chapters, are identified from the six databases: Web of Science, ProQuest (132 databases including Business Databases, Engineering Databases, and databases in more subject fields), Wiley Online Library, Emerald Insight, IEEE Xplore, and Springer. The specific counts of query results by database are displayed in Table 4.2. After removal of duplicates completed within the reference management software EndNote, 159 articles remain (see Fig. 4.5).

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Table 4.2 Query results in the selected databases Database

Query results

Web of Science

18

ProQuest

58

Wiley

47

Emerald insight

44

IEEE Xplore

37

Springer

17

Total

221

Fig. 4.5 Identification of resources

4.3.2 Relevance Appraisal In this step, we select relevant literature by manually excluding papers that meet the removal criteria from the initial list. The removal criteria are: • The paper did not focus on business model canvas. • The paper did not focus on businesses and industries in China or other Asian developing countries. • The paper was not in English. • The paper was not published between 2011 and 2021. • The full text of the paper was not available online.

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We exclude papers by firstly reading their abstract and keywords, resulting in 30 articles for further reviewing. We then review the full text of the remaining articles and highlight the 13 most relevant articles for analysis.

4.4 Content Analysis The search has a focus on Chinese businesses. Among the 13 selected articles, 8 articles (62%) describe the business model innovation in the Chinese context; 3 articles (23%) survey the existing businesses in Indonesia; 1 article works on the empirical application of the BMC in Thailand; and 1 article considers the larger Asian-Pacific region. As depicted in Fig. 4.6, the following industry sectors are explored with the use of the BMC in the selected papers, with the numbers indicating the count of papers studying the field: E-Commerce and Retailing (4), Automotive (2), Food (2), Mariculture (1), Power Generation (1), Waste Collection (1), and Art Service (1). With a thorough reading of the full texts, the papers are categorized and three major topics with respect to the applications of the BMC in the Asian developing countries context are identified: (1) the BMC serving as the analytical tool for the conceptualizations of the business models for existing businesses; (2) the BMC serving the archetype for business initiation and innovation; and (3) the limitations of the BMC in the regional context and the BMC serving as the basis for business model innovation. Papers on each topic are summarized in detail in the following subsections. In Sect. 4.4.1, papers using BMC to summarize the existing business will be analyzed to figure out how BMC is adopted in Asian businesses as an analytical tool. Tables concluding BMC in the relevant papers by object type and industry will be given. In Sect. 4.4.2, after showing how to use BMC to create a new

Fig. 4.6 The industry sectors are studied in the selected papers

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business idea when it was first developed in the Business Model Generation, we will go through the papers that employ BMC for business innovation to analyze how BMC serves the function of creating a new business in the context of Asian businesses. Finally, in Sect. 4.4.3, after pointing out some limitations of BMC, papers focusing on the limitation of BMC in Asian businesses will be reviewed to help further conclude potential limitations of BMC in certain regional contexts.

4.4.1 Conceptualization of Existing Businesses Articles (Yiqing and Lijuan 2015; Cai et al. 2019; Li et al. 2016; Jamilah et al. 2019; Li 2018; Wang and Xu 2021; Lin et al. 2018; Zuo et al. 2020; Afni et al. 2019; Mustaniroh et al. 2020) use the BMC as the effective analytical tool for conceptualizing, generalizing, and visualizing the business models for the industry sectors and specific enterprises in China. Among them, Yiqing and Lijuan (2015) and Cai et al. (2019) focus on applying BMC to the analysis of nationwide industry or business sector; Li et al. (2016) and Jamilah et al. (2019) offer the evidence of using BMC for generalizing regional public–private cooperative businesses; Li (2018), Wang and Xu (2021), Lin et al. (2018), and Zuo et al. (2020) offer case studies of the marketleading companies in each of the industry sectors; Afni et al. (2019) and Mustaniroh et al. (2020) provide the analysis of the underdeveloped local businesses. A brief summary of how each paper employs BMC for analyzing the business is provided in the following paragraphs, and the business models displayed by the nine building blocks shown in each paper are briefly provided in Tables 4.3, 4.4, and 4.5. Zhang and Huang (2015) analyze three existing Chinese modes of e-commerce of agricultural products through the construction of the BMC and a new mode, namely, “the LBS O2O Community with WeChat” mode, which is proposed and visualized by the BMC. The disadvantages and advantages of different modes are compared with the display of the BMCs, but no specific example is provided to justify the BMC construction of the new mode. The study of Cai et al. (2019) compares different business models, including host-owned, energy management contract (EMC), and third-party-owned models, for China’s distributed solar photovoltaic (DSPV) power generation projects, through the lens of BMC and the Lean Canvas. The roles played by the government and the governmental orientation are highlighted by their canvas constructions. These two articles contribute to the use of BMC for the comparative analysis of business models for an industry sector or a nationwide business project in China. Li et al. (2016) adopt the BMC as a framework for analyzing the deployment and commercialization of electric vehicles, e.g., e-bus and e-taxi, in Shenzhen, China. Not only do governmental and corporative actors affect the value chain of the EVs, but also their interactions (as marked by the arrows in Fig. 4.7) are conceptualized through the construction of the BMC. A similar research project that uses the BMC for generalizing regional public–private cooperative business success and transferring lessons of business model innovation is the study of Jamilah et al. (2019) that identify

Leading Chinese companies

Regional public–private business cooperation

1. Reduced costs Sales of electricity, selling of exceed 2. Reduced financial and operational electricity to grid power, risks government subsidies, tax incentives 3. Environmental protection

China DSPV Power Generation (Energy Management Contract mode) Yiqing and Lijuan (2015)

Revenue Stream

Ctrip, Online Travel Agency (Jamilah et al. 2019)

1. Establishing an online travel supermarket 2. Enhancing customers’ travel experience with attractive price and quality

For customers: 1. premium and organic product quality For maricultural system: 1. Environmentally friendly 2. Technology innovation

Shrimp Mariculture in Seribu Island, Indonesia [22 J

Agency fees, advertising platform, VIP membership

Government funding, sales of shrimp

1. Providing e-bus and e-taxi service Citizen customers, government for Shenzhen citizens funding 2. Developing City infrastructure 3. Resolving for environmental concerns

Commercialization of EVs in Shenzhen, China (Cai et al. 2019)

Mobile phone terminal advertising revenue, platform advertising income, data mining income

Business modes of nationwide industry or business project

Value Proposition 1. Integrating offline entity shop resources with online information 2. Lowering product price to attract customers 3. Emphasizing on customer experience with offline farm stay and product delivery or pick-up

Business or Industry

E-Commerce of Agricultural Product (newly proposed “LBS 020 Community with WeChat” mode) [191

Object Type

Table 4.3 The BMC building blocks for the businesses in the selected papers: VP, RS and C$ Cost Structure

(continued)

Marketing costs, human resource costs, construction costs of the booking service center, costs of tourism resources

Investment, operations (feed and fuel)

EV bodies and batteries rent or purchase from relevant companies, charging cost, other operational costs

Operations management, construction, disposal

Wages, tech development, database maintenance, offline shop cost, businesses development fee, vertical application development costs

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Underdeveloped local business

Object Type

Table 4.3 (continued)

1. Healthy chocolate product 2. Nice flavor 3. Good quality raw materials 4. Local speciality 1. Branded fruit products 2. Tourism and education

Permata Agro Mandiri, Local Fruit Processing [281

“Technology-Based and Innovation-Oriented” vehicles including private vehicles, taxis, buses, coaches, trucks

BYD, Automotive Manufacturer (TLBMC’s economic layer for the NEVs) Wang and Xu 2021)

Rimbun Corp. Local Chocolate Manufacturer (Zuo et al. 2020)

Value Proposition Innovative store location in shopping center. For customers: 1. Supporting urban people’s cultural life 2. Space for cultural events 3. Supporting government’s “nationwide reading” advocate. For the shopping centers: 1. Enriching retail formal and cultural atmosphere 2. Attracting customers

Business or Industry

Sisyphe, Chain Bookstore 124]

Revenue Stream

Cost Structure

Sales of product and service

Chocolate sales, in-store events, government funds

Sales revenue, government subsidies, patent royalties

Materials, fixed cost, construction of customer services

Supply chain, production, fixed cost, shipping cost, local events sponsorship

R & D, manufacturing, labor

Book sales, sales of cultural and Initial investment in physical store, creative products, instore coffee and procurement cost in products, catering, membership services, operation and management cost renting of store space

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Regional public–private business cooperation

Shenzhen citizens

Shrimp Mariculture in Seribu island, Seribu island society Indonesia (Li et al. 2016)

Employment of EVs in Shenzhen, China (Cai et al. 2019)

1. Industrial and commercial enterprises 2. Industrial parks 3. Schools, hospitals, hotels

China DSPV Power Generation (Energy Management Contract mode) (Yiqing and Lijuan 2015)

Customer Segment 1. Catering 2. Hotelindustry 3. Convenience Store 4. Beautysalon 5. Home Economics

Business modes of nationwide industry or business project

of Agricultural Product (“LBS 020 Community with WeChat” mode) (Kitchenham et al. 2009)

Business or Industry

E-Commerce

Study Object

1. Direct sales 2. Educational exhibitions

Rent to e-taxi drivers

1. Salesman 2. Conferences 3. Promotion by the government 4. Online and offline promotion

1. Offline promotion team 2. Channels agent

Channels

Table 4.4 The BMC building blocks for the businesses in the selected papers: CS, CH and CR

(continued)

1. Personal and direct relationships via extension program and the knowledge transfer

Unspecified

1. Direct contacts 2. Online contact forms

1. Online WeChat promotion and offline coupon for customer loyalty 2. Agent cooperation for business ecosystem

Customer Relationship

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Under developed local business

Leading Chinese companies

Customer Segment 1. High-end business people 2. Tourism: self-service travel and holiday tourists

1. Youngster 2. Local and international tourists 3. People cannot drink coffee 1. Fruit product business customers and end consumers 2. Educative agro-tourism

Permata Agro Mandiri, Local Fruit Processing (Afni et al. 2019)

1. “Bus electrification”; public transportations and governments 2. Rental companies and other special uses 3. Individual customers

Rimbun Corp, Local ChocolateManufacturer (Zuo et al. 2020)

BYD, automotive manufacturer (TLBMC’s economic layer for the NEVs) Wang and Xu 2021)

Sisyphe, Chain Bookstore (Li 2018) Shopping center customer flow with age 26–45 pursuing quality life and highlighting personal taste Customer characteristics: (1) non-price-sensitive (2) incidental purchase

Business or Industry

Ctrip, Online Travel Agency (Jamilah et al. 2019)

Study Object

Table 4.4 (continued) Channels

Customer Relationship

Direct channels: 1. Online sales 2. Word of mouth 3. Showcase Indirect channels: 1. Sales partners 2. Wholesale

1. Outlets 2. Social media and website 3. Supermarkets 4. Souvenir stores

Personal assistance to business customers and end customers

Nothing

1. Online community “Che Youhui” 2. Integra] reward program and riders’ activities 3. Collaborations with customers

customer stickiness and loyalty 2. Regular offline activities between book authors and customers 3. Online activities of reading clubs for customer accumulation and marketing

1. Social media fan community 2. Network of chain operation and joint operation with shopping centers

Traditional car sales channels: 1. 4S stores 2. official website and mobile app 3. Distributors

1. Membership services and official WeChat for

Autonomy Highly personalized service Cooperations with offline service partners

1. Offline in-store experience

1. Intelligent network platform 2. Booking service center

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Leading Chinese

Regional public–private business cooperation

Tourism resources including airline and hotels, insurance company, bank, payment providers

Government, institutions, feed suppliers, juvenile shrimp suppliers

Shrimp Mariculture in Seribu Island, Indonesia (Li et al. 2016)

Ctrip, Online Travel Agency (Jamilah et al. 2019)

EV and battery providers (BYD and Potevio), local and central governments, the power suppliers (China Southern Grid Corporation and Shenzhen power supply bureau)

Commercialization of EVs in Shenzhen, China (Cai et al. 2019)

PV producers, PV wholesalers, financial institutions, grid, government, service suppliers

China DSPV Power Generation (Energy Management Contract mode) (Yiqing and Lijuan 2015)

Business modes of nationwide industry or business project

Key partners Government, channels agents, terminal providers, online platforms

Business or industry

E-Commerce of Agricultural Product (“LBS 020 Community with WeChat” mode) (Kitchenham et al. 2009)

Object type

1. Human resources for its tourism service-liaison center 2. Advanced technology 3. Tourist base; brand effect

1. Natural resources 2. Physical assets 3. Human resources: experts and fisherman

1. Land use 2. EV purchase subsidies 3. Exempt fuel surcharge fee (for e-taxi)

1. Existing customers 2. Banks 3. Cooperation with insurance, design, construction, bonding companies

1. Platform technology 2. Intelligent terminal 3. Vertical application development

Key resources

Table 4.5 The BMC building blocks for the businesses in the selected papers: KP, KR, and KA Key activities

(continued)

1. Travel product and service sales 2. Tourism information provision

1. Hatchery 2. Shrimp production

1. Sell/lease EVs and batteries 2. Building charging infrastructure and providing charging service

1. PV system installation 2. Operation and maintenance 3. Partnership with users 4. Project management

1. Publishing contents on WeChat accounts and public remark websites 2. Providing agricultural products and services through entities offline stores 3. Providing WeChat payment service

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Under-developed local business

Object type

Table 4.5 (continued)

Sales and production partners, suppliers

Permata Agro Mandiri, Local Fruit Processing (Afni et al. 2019)

1. Physical assets 2. Intellectual certificates of products 3. Human resources 4. Financial resources

Cocoa suppliers, shipping providers, 1. Raw materials selling channels, local government 2. Manufacturing utility 3. Suppliers 4. Stores and cafe

Rimbun Corp. Local Chocolate Manufacturer (Zuo et al. 2020)

Suppliers, government, Investors, research institutions, customers

1. Battery 2. Patents 3. Human resources

Key resources

BYD, Automotive Manufacturer (TLBMC’s economic layer for the NEVs) (Wang and Xu 2021)

Key partners 1. Physical chain store 2. Brand influence

Business or industry

Sisyphe, Chain Bookstore (Li 2018) Supply Chain: publishing houses, copyright organizations, book distribution enterprises Commercial Property Providers: real estate companies, shopping malls

Key activities

1. Production 2. Marketing 3. Service provision

1. Requirement 2. Production 3. Marketing 4. Promotion 5. Shipping

1. R & D 2. Designing and Manufacturing 3. Battery production

1. Book sales 2. Store opening in shopping centers 3. Offline/online cultural activities

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Fig. 4.7 Illustration of the business model canvas for the E-bus system in Shenzhen, China (Cai et al. 2019, Fig. 4.4)

the business model components in the existing vaname shrimp mariculture social business in Semak Daun Island, Indonesia. Research also provides case study examples of specific market-leading companies with the BMC as the analytical framework and graphical vehicle. Li (2018) analyzes the Chinese online travel service company Ctrip’s business model with the BMC and concludes strategies for business model innovation from the analysis. Similarly, Wang and Xu (2021) study the business model innovation of the Chinese leading chain bookstore Sisyphe by applying the concepts of the nine BMC building blocks. The study of Lin et al. (2018) analyzes the Chinese vehicle manufacturing company BYD’s traditional fuel vehicle through the construction of a BMC and compares it with the triple-layered BMC that depicts the sustainable model for BYD’s new energy vehicles. The research done by Zuo et al. (2020) employs the BMC in a more innovative way, transforming the original nine building blocks into four dimensions, namely value proposition, customer model, business process, and profit model, as shown in Fig. 4.8. With the simplified BMC, this multi-case study explores three typical businesses of different types, i.e., Aihuishou, Huishouge, and Wangyou, in the Chinese market of the online to offline (O2O) Waste Electrical and Electronic Equipment (WEEE) collection. Cases on underdeveloped local businesses are studied by Afni et al. (2019), Mustaniroh et al. (2020). In Aceh of Indonesia, Afni et al. (2019) fill the BMC

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Fig. 4.8 The reduced four-dimensional business model canvas (Lin et al. 2018, Fig. 4.1)

for the local oldest chocolate company Rimbun Corp with data collected from interviews, observations, and other qualitative methods. The canvas reveals that lack of promotion for maintaining customer relationships serves as the major obstruction to the business expansion. In research by Mustaniroh et al. (2020), the business structure of the local fruit processing company, Permata Agro Mandiri, in Batu, Indonesia, is decoded through the BMC and the strengths, weaknesses, opportunities and threats (SWOT) analysis is performed on the nine BMC components. While in these papers, no discussion of whether the BMC is suitable for the study of businesses in the Chinese or Asian context is explicitly provided, the adoption of BMC or its variants as the major methodology for their study automatically implies the applicability of BMC for synthesizing Chinese and Asian business models. However, this statement does not mean that the efficiency and effectiveness of the BMC serving as the analytical tool are optimal. Implications of the issues of BMC and some suggested directions for future study in this topic are discussed in Sect. 4.5.

4.4.2 Business Start-Up and Business Model Innovation In entrepreneurship education, BMC is often used as a basic concept and innovation tool for students to acquire the skills of developing a new business idea systematically and methodically. In the course VX420: Business Basics for Entrepreneurs provided by University of Michigan-Shanghai Jiao Tong University Joint Institute (UM-SJTU JI) (Center For Entrepreneruship 2021), BMC serves as a tool for idea iteration. During the entrepreneurship process, after coming up with a new business idea, BMC is employed to validate and converse the business model. If it turns out that the business model does work well, the idea can be carried out into real products or services. Otherwise, it means that the idea requires revision. When the products and services are well developed and need to be upgraded, BMC is applied again to renovate the old business model and create new products or services within the

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Fig. 4.9 Entrepreneurship process

existing business model (see Fig. 4.9). Thus, entrepreneurs will experience the idea iteration using BMC all the time during their career life. The thesis article by Janrattana (2017) conducted an Action Research project to study the business model innovation for a Small and Medium Enterprise (SME) retail business, an electrical appliance store started up by the researcher in Thailand, over a 4-year period. The BMC and the key concepts (the nine building blocks) were employed for supporting the identification of opportunities and the innovation cycles within the study and the business expansion. According to the author, the BMC’s suitability and effectiveness in the ideation on what to change and the representation of the business logic for the retailing business in Thailand is well confirmed; yet the BMC offers insufficient help for planning the key processes in realizing ad hoc changes in daily operation, such as the partnership with the six local cooperatives given the reduced resources. The Retail Business Model, proposed by Sorescu et al. (2011), serves as a compliment to support the implementation and realization of the specific operation planning. The work provides empirical evidence for the validity of BMC in helping entrepreneurs to start new businesses in Asia.

4.4.3 Limitations and Reference for New Business Models Although BMC provides an architecture for developing business models for commercial context, it is not very suitable for non-profit and social businesses. As pointed out by Graves (2021), BMC is apparently profit-oriented thus its built-in assumption about the value contradicts the core value of non-profit business. Besides, its asymmetric focus on only the relationship with customers without paying much attention to the supplier makes the business model presented by BMC not clear for a non-profit business. Finally, two roles extremely important for non-profit businesses, investors and beneficiaries, are not shown in the BMC. These limitations existing in the BMC make it not able to fit for modeling of the non-profit businesses well. Considering

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Fig. 4.10 Social Business Model Canvas (Social business model canvas 2021)

these limitations, TANDEMIC (Social business model canvas 2021) established a social BMC to adjust it more suitable for social businesses (see Fig. 4.10). In Asia, the one leading the business innovation is the government instead of the enterprise. The nature of the value of most Asian businesses has both social and commercial value. Therefore, BMC in the context of Asian businesses obviously has quite a few limitations when generating a new business idea. Research (Chin et al. 2021; Leng 2017) also suggests that the existing canvases developed by Western scholars and practitioners manifest significant limitations in China and Asian Pacific context; adaptation of the BMC with new elements added or creation of new business models is necessary. The Confucian Business Model Canvas, proposed by Chin et al. (2021), adds three new building blocks to the original BMC: Confucian social legitimacy, institutional disablers, and institutional enablers. The three blocks serve the BMC as a social legitimacy pillar that defines the business conformation to the socio-cultural values and ethical norms. As pointed out by the authors, different from the stakeholder-oriented financial profit missions in many Western businesses, the underlying institutional logic of value creation in many government-involved Asian Pacific business models is to fulfill both the social and economic benefits for the society, which is not characterized in the BMC. In addition, the Eastern cultural cognition of Confucianism and Yin-Yang harmony theory contributes to a completely different value logic system that should be highlighted in the business model for the Confucian Asian Pacific countries. Leng’s thesis paper (Leng 2017) explores the limitations of the BMC for the specific industrial area: the Chinese private art galleries. As the author identified through fieldwork, interviews, and other collected data, the Western BMC, built

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upon the linearity between value creation of customers and the value realization of an enterprise, fails to resolve the nonlinear conflicts between commerciality and commonweal within the value proposition of the Chinese private art galleries. Consequently, with elements from the BMC incorporated, the author proposes an innovative Evolutionary Business Model to counter many Chinese specific problems, such as the difficulty in network relationships preservation and the low cultural consumption within the family budget, and to serve an alternative canvas business model that integrates the commerciality and commonweal. Both works provide the examples of recognizing limitations of the original BMC in the specific Chinese and Asian regions or regional industries and proposing new canvas business models to combat problems unencountered in Western businesses and support business model innovation for Chinese or Asian entrepreneurs. However, no application to justify the validity and credibility of the newly proposed business models is provided in both articles.

4.5 Discussion 4.5.1 Applicability and Effectiveness of BMC in Analyzing Existing Businesses We see that while the BMC is designed to be an archetype for business innovation and entrepreneurship, the research summarized in this work displays that it is also an applicable analytical tool for studying existing businesses. Unfortunately, none of the papers that focus on conceptualizing the existing Chinese businesses provides the evaluation of the analytical framework BMC itself. It relies on future research to consider the BMC as the research object and assess its efficiency and effectiveness of synthesizing the existing businesses from an outsider’s point of view, in the Asian developing countries and the Chinese context. Specifically, it may be of great interest to understand the BMC’s weaknesses or the areas for improvements with respect to the specific characteristics of the Chinese market (see Fig. 4.11). In addition, generalized frameworks or analytical tools adapted from the BMC may be developed with new building blocks specifically accounting for or emphasizing the regional-specific economic and sociocultural patterns, or serving for more general purposes. Some hypotheses of the BMC’s potential issues when serving as the conceptualization of the existing businesses, as identified from the thorough reading of the selected papers, are listed below. • The BMC might fail to highlight the external boosting forces or opportunities specially observed in developing countries because of the fast-paced development that makes significant contributions to the success of a business model

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Fig. 4.11 The lean canvas is used for the triple-wise comparison of business models for the DSPV power generation (Yiqing and Lijuan 2015, Fig. 4.6)

As mentioned in Wang and Xu (2021), the fast development of urban commercial property accelerates the construction of urban commercial complexes in many cities of China, with the number of newly constructed shopping malls doubling in 5 years. The fast expansion of Sisyphe Bookstore highly depends on the external opportunities of the accelerating development speed of urban commercial areas in China, which is not observed in many developed countries. In addition, the unique pattern of Chinese shopping centers, i.e., the objectives of Chinese shopping malls to create public cultural spaces for customers’ area, is also a significant underlying contributor to the success of the Sisyphe Bookstore. As illustrated by Lu (2018), distinct from European or US malls, shopping malls in China are usually more than five floors and are condensed into city complexes that miss public open spaces; The Chinese customers also seek shopping centers to serve the integrated functions

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of both “shopping” and “center”, requiring the malls to offer more functions other than the basic commercial function. Consequently, Sisyphe’s innovative location at the shopping centers captures the implicit opportunities to serve both a public open space and the non-commercial functions. While the original BMC has offered powerful blocks, e.g., KP and KR, that illustrate the business interactions with the external environment and captures of market opportunities, a new block, for example named “Key Opportunities”, might be defined to better and more explicitly transfer to audience with different backgrounds the knowledge of the external economic and sociocultural contributing factors. • The BMC might need to highlight the significance of the governments and the public sectors The roles of government or state-owned corporations are usually complicated in playing with private business founders in China and other developing Asian countries as illustrated above. The Sisyphe bookstore takes supporting the government’s “nationwide reading” advocate as a value in the Value Proposition (Wang and Xu 2021). For the Revenue Stream, the DSPV project, the shrimp mariculture, and the BYD company all highlight the government funding, subsidies, and tax incentives as part of the income resources (Cai et al. 2019; Jamilah et al. 2019; Lin et al. 2018). The DSPV project, as the Chinese national project, also emphasizes the promotion by government as one of the major channels, and the government as a key partner (Cai et al. 2019). Many other businesses, including the e-commerce mode for agricultural products, the EV commercialization, the shrimp mariculture, the BYD, and the Rimbun Corp chocolate company, all recognize the importance of the government as a key partner (Yiqing and Lijuan 2015; Li et al. 2016; Jamilah et al. 2019; Lin et al. 2018; Afni et al. 2019). As the government and the public sectors have been actively involved in business innovation from different perspectives in China and many other Asian developing countries, whether to explicitly express and emphasize the roles of the government is an integral manner, e.g., in a single block or a layer with multiple blocks, maybe of concerns for improving the BMC as an analytical tool in our context. • The BMC may be adjusted to better support multi-case comparative analysis As discussed above, Yiqing and Lijuan (2015), Cai et al. (2019), Zuo et al. (2020) all conducted a comparative analysis among several business modes for a certain industry or business models of competitors in a market. All of the three articles display model details in three separate canvasses and (Cai et al. 2019) additionally use a single Lean BMC for the comparison among the three business modes for the DSPV power generation, as shown in Fig. 4.9. In addition, Li et al. (2016) displays the two separate BMCs for the e-bus and e-taxi but with a significant amount of duplicate information in the two charts. Research may consider devising canvas models that preserve the information from the BMC and support more integral comparative analysis or to reduce redundancy for variants of business models.

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4.5.2 Validations of the BMC and Other BMC-Adapted New Models Among the 13 relevant papers, only one doctoral thesis paper (Janrattana 2017) employs the BMC for the startup process in Asian developing countries. As shown earlier, the author praises the overall effectiveness of the BMC in supporting the opportunity identifications and the innovation cycles and shows the general limitations of the BMC in planning some key processes for the daily operations. However, no significant resistance against the BMC-based business initiation process is stated in the paper. With such a lack of evidence, it is unsafe to recommend the employment of BMC for business innovation in Asia. Therefore, to support a more comprehensive understanding of the effectuality of BMC for Asian entrepreneurs and advocate the use of BMC for business innovation in Asia, it is expected to be conducted more empirical research, potentially with the joint efforts from the academia and the practitioners, that applies the BMC to start businesses in different industry sectors and different Asian societies and emphasizes the evaluations of the BMC’s validity in facing with regional-specific resistances or in meeting with new risks posed by the different economic statuses and the variety of sociocultural conditions. In addition, papers, including Yiqing and Lijuan (2015) that proposes a new business mode for e-commerce of agricultural products with BMC, Leng (2017) that raises a new canvas business model for synthesizing and developing private art galleries, and Chin et al. (2021) that design the Confucian BMC, all lack real entrepreneurial practices and empirical evidence and data to justify their newly developed frameworks. Future scholars and practitioners may build real applications upon these theoretical foundations, justify their validity and effectiveness, and improve the business models. Further research may also adapt and deploy the successful business models analyzed via the BMC by papers summarized in Sect. 4.4.1 in other Asian communities or industries and offer more insights into the BMC-based model.

4.5.3 Suggestions for Asia-Adapted BMC New Model Although further research validating the applicability and effectiveness is still required, Confucian BMC (Chin et al. 2021) still gives a great insight for creating an Asia-adapted BMC new model. The core of a business model is value creation and innovation. Profit-oriented BMC cannot fit the requirement of business modeling of Asian businesses well since Asian businesses are not only for commercial purposes but also have the aim of benefiting society. While the organizational culture plays an important role in business model innovation, it is also essential to consider the Asian culture when constructing an Asia-adapted BMC new model. Yin-Yang harmony cognition, embracing harmony, hierarchy, and moralism can become the underlying logic for the Asia-adapted BMC to solve the limitations of the underlying Western cultural cognition of BMC. With a suitable underlying logic, three new

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Fig. 4.12 Confucian business model canvas (Socialbusinessmodelcanvas 2021, Fig. 4.1)

building blocks are added to present it. Confucian social legitimacy (CSL) is used to show the degree that the business model conforms to Confucianism while institutional disablers and institutional enablers describe the degree of humanly devised constraints and how legitimacy pressure can be reduced (see Fig. 4.12). Besides considering adopting the underlying logic and three new building blocks of Confucian BMC to create the Asia-adapted BMC New model, the relationship with suppliers, investors, and beneficiaries shown in the BMC adapted for non-profit businesses can also be considered to be adopted. The emphasis on these relationships can help Asian businesses to achieve their goals of benefiting society.

4.5.4 Limitations of This Work As a literature review, while we have conducted a systematic approach, this list of literature provided by this paper may not be complete. To facilitate the clarity of the search, the query defined in this paper omits the specific Asian developing country name other than “China”. This may significantly miss papers researching in a single country context without mentioning “Asia”. In addition, among the available databases, only six are chosen, which can potentially skip a number of relevant articles. Further, based on the capacity of the search engine for different databases, some queries are simplified and may not find the most relevant articles. Lastly, some articles may call the BMC a different name or refer to some concepts related to the BMC, e.g., the nine building blocks, without explicitly mentioning BMC in the titles, abstracts, and keywords. These articles can be omitted by our work. However, we believe this work has presented sufficient information for overviewing the current research status regarding the applicability of the BMC in the context of Asian developing countries and especially China.

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4.6 Conclusion Inspired by the popularity of powerful business model archetype, BMC, in the context of Asian developing countries with a Chinese focus, the paper aims to discover the actual adoption situation from an academic perspective and figure out the gaps and reasons behind this topic. By applying a systematic literature review (SLR), 13 relevant articles are selected and it can be concluded that high popularity of BMC in China isn’t identified using SLR method. Then analysis and review are provided based on the selected literature. Identifying the topic of these 13 articles, they are classified into three sections: (1) conceptualization of existing business; (2) business start-up and business model innovation; (3) limitation and reference for new business models. After summarizing the main idea of each article in the content analysis, following gaps are figured out. • Applicability and Effectiveness of BMC in Analyzing Existing Businesses: future research assessing the efficiency and effectiveness of summarizing the existing businesses in the context of Chinese and Asian context focusing on the following issues: – The BMC might fail to highlight the external boosting forces or opportunities specially observed in developing countries because of the fast-paced development that makes significant contributions to the success of a business model. – The BMC might need to highlight the significance of the governments and the public sectors. – The BMC may be adjusted to better support multi-case comparative analysis. • Validations of the BMC and other BMC-Adapted New Models: further research validating the applicability and effectiveness of BMC and its variants to create a startup idea especially considering the regional-specific resistance, new risks, and sociocultural conditions. • Suggestions for Asia-adapted BMC New Model: adopting the underlying logic and three new building blocks of Confucian BMC and the relationship with suppliers, investors, and beneficiaries shown in the BMC adapted for non-profit businesses to create the Asia-adapted BMC new model.

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Chapter 5

Global Entrepreneurship Sustainability Through Evolving Ecosystems Zhigang Zhang and Yang Xu

Abstract Global entrepreneurship sustainability focuses on meeting not only the needs of the present stakeholders in innovation and entrepreneurship but also those of future generations. Based on the objective of entrepreneurship that is inspired by the ultimate purpose of the development of human society together with the roles of incubator in addressing challenges encountered by entrepreneurs, this chapter sets forth the driving force of ecosystem evolution and its objectives in entrepreneurship as well as the characteristics of an evolving ecosystem contributing to global entrepreneurship sustainability. It encourages an incubator/accelerator to frame decisions in terms of technology transfer, industrial development as well as economic and social impact for the long term, rather than on short-term profits as practiced by neoBay in Shanghai-China, which not only serves as the local ecosystem for innovation and entrepreneurship as the application layer with zero distance to university to activate regional vitality but also co-works with its international partners on the ecosystem for global collaboration and resourcing through three phases— Bilateral Modality (Internationalization 1.0), Multiple Modality (Internationalization 2.0) and Inter-Ecosystem Modality (Internationalization 3.0), which starts to boost collaboration between Asia and Europe in terms of innovation and entrepreneurship. Keywords Global entrepreneurship · Collaboration · Incubator · Sustainability · Ecosystem · Flexibility · Synchronization · Internationalization · Problem-solving

5.1 What’s the Purpose of Entrepreneurship? 5.1.1 What is the Relationship Between Individual and Social Development? Society and social development are the terms that have been talked about for a long history. However, there is neither a consistent definition nor theory. At the beginning Z. Zhang (B) · Y. Xu neoBay, Shanghai, China e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_5

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of this chapter, we take the perspective of the function of a society as well as the purpose of social development, which refers to the improvement of every individual’s well-being in a society to reach their full potential. In other words, the success of a society is based on the well-being of each individual (New Brunswick, Canada 2021). Therefore, it calls for the perspective of human-oriented, requiring the removal of barriers on the journey of all citizens to fulfill their dreams as well as helping each individual pursue self-sufficiency (New Brunswick, Canada 2021). The issues in terms of the relationship between individual and society should be discussed seriously, as it defines what kind of society that all human beings are heading for. All human beings need to live in a society, even though they are not always willing to act in a way conforming to a harmonious social life (Delassus et al. 2020). Thus, the human society would come to an end if all humans are living in Natural Condition. To avoid the doomsday caused by ceaseless conflicts of human beings, the great thinker like Jean-Jacques Rousseau tried to find us a fair and legitimate political regime based on the idea of social contract. In this social contract, all human beings are interconnected and form a group of people. In return, the members of this group accept a clause: the alienation of their rights, that is to say of their freedom to form a whole, a common self (Vincent 2021).

5.1.2 What Are the Ultimate Purposes of the Development of Human Society? The questions are why human beings are willing to alienate their rights and their freedom; why we would like to form a society rather than living in Natural Condition. What are the ultimate purposes of the development of human society? The answers to these questions lie in human history, which is made up of a series of revolutions for more effective production and a better life such as the Cognitive Revolution, the Agricultural Revolution, the Industrial Revolution, the Electric Revolution, the Information Revolution and finally the Intelligence Revolution (Fig. 5.1). The Cognitive Revolution is a great leap in human history, as it turned animals, more precisely a sort of apes, into human beings. In the prehistoric era, when Homo sapiens gathered in the caves, they started a revolution thanks to their capability of imagination and collaboration. The Cognitive Revolution is more like the revolution of animals, while the successive revolutions are those of human beings. The Agricultural Revolution changed humans’ life and their production, from hunting and gathering to feeding and cultivating. In the agricultural society, human beings settled down in one place. Social collaboration called for the division of labors. Meanwhile, knowledge and skills were accumulated, which resulted in a more complicated structure of organization, improving greatly the efficiency of social production. The upgrade of living condition and environment led to the explosion of population. During that moment, city-states, like Athens of Ancient

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Fig. 5.1 Human history featured by successive revolutions

Greece, flourished, becoming the key point for gathering of human beings for social collaboration. The Science Revolution broke out during the nearest 500 years, which can be divided into four phases such as the Industrial Revolution, the Electric Revolution, the Information Revolution and the Intelligence Revolution. The Science Revolution started with the fact that human beings began to utilize machines, which has extremely changed humans’ life. Especially, the Intelligence Revolution has improved greatly life condition and the way of production. The Intelligence Revolution is the unprecedented turning point of human history. Through a long history of efforts, human beings have experienced a series of revolutions until nowadays. The Intelligence Revolution has stimulated the adequate connection not only between human beings and machines but also among machines themselves. As a result, machines are becoming capable of processing a huge amount of data. As countless machines with their high complexity have appeared, the machines collaborate closely with human society due to their capabilities of information generating and processing, which leads to the emergence of a sophisticated super system constituted by human beings and machines, also bringing about brand-new features as we have never known. These features have not only improved the efficiency of social collaborations but also induced significant change in global economy and geopolitics, which could finally evolve the whole humanity into a highly collaborative and highly optimized super life system characterized by the high dependence of human beings on machines. The year 2020 is the turning point of human history, which we call Big Evolution, as this is the first year of the Intelligence Revolution. We have witnessed the emergence of this super life system in which the scope of machines and their complexity have greatly surpassed the comprehension of no matter what social organization. Therefore, human beings cannot fully dominate machines. Only if human beings

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collaborate closely with machines and address with a serious attitude any problem caused by this super life system, the sustainable development of human society could be guaranteed. Meanwhile, in the year of 2020, the world political and economic patterns are undergoing remarkable changes. As the Belt and Road Initiative (BRI) is continuously moving forward, here comes even closer collaboration between Asia and Europe. In consequence, the ultimate purpose of the development of human society is collaboration not only among all human beings but also between human and machine to address the issues such as global warming, pandemic, famine, natural disasters, etc. to ensure the survival and a better life of all human beings.

5.1.3 Entrepreneurship—Establishment of a New System to Collaborate with the Society The society, as a whole, is a complex system with all the actors contributing to its development, who in return get the rewards from the society for their contribution. Through the human history, we have witnessed a large variety of jobs and careers. Traditionally considered as starting and running a business rather than working as an employee for an organization, entrepreneurship can be regarded as another way to collaborate with the society. It’s the process of building up a new system within a much bigger system. An entrepreneur collaborates with this bigger system in his or her own way, which can create values favoring its sustainable development. Furthermore, the society, as mentioned, is a complex system, which is composed of different kinds of nodes. Only when collaborating with the essential nodes of the system should collaboration between the small system (startup company) and the much bigger system (society) be effective and/or efficient. For example, a startup company specialized in intelligent healthcare should collaborate with hospital or medical laboratory, which meets with the problems that the startup company can solve.

5.2 Roles of Incubator in Addressing Challenges Encountered by Entrepreneurs 5.2.1 What are the Objectives and the Functions of Incubators? Each time entrepreneurs and startup companies fail, and huge amount of money, time, passion and technology are wasted. Entrepreneurship is a long journey full of extreme uncertainty. Survival of a business is one of the first concerns of entrepreneurs.

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Usually, an entrepreneur seeks the help from an incubator that, according to MerriamWebster (2021), is an organization, which aids business growth through provision of low-cost commercial space, management assistance or shared services. The objective of incubators is not confined only to producing successful companies. It should fit within the general purpose, which lies in simulating innovation and promoting regional development by providing entrepreneurs with infrastructures, resources and various types of services and information (Mas-Verdu et al. 2015).

5.2.2 Why Should Entrepreneurs Use an Incubator to Address Their Challenges? As mentioned, entrepreneurs are facing up to extreme uncertainty and as a result take the risk. However, “Business incubators reduce the risk of small business failures. Historically, NBIA member incubators have reported that 87 percent of all firms that have graduated from their incubators are still in business” (NBIA: National Business Incubation Association, USA) (Fountain et al. 2012, p. 1). Albort-Morant and Oghazi (2016) argue that entrepreneurs, who are facing uncertainty that is resulted from insufficient information, need advice from people and entities with experience while running their business in the purpose of avoiding making mistakes.

5.2.3 How Does Incubator Typology Affect Results? Not all the types of incubators are the same or perform in the same way. Performance of an incubator is executed in accordance with its objectives. Some types perform better in specific measures of performances but others worse. Barbero et al. (2012) present the typology of Spanish incubators and their objectives: The basic research incubator links incubation with fundamental research by helping technologies take the form of IP to be licensed by commercial partners or exercised by spin-off companies. Considering that, this type of incubators can access incubatees to very specific resources such as personnel with expertise, specialized assets and networks. The university business incubator is innately mixed (both public and private) and doesn’t necessarily have a technology focus. The incubatees can use the university’s infrastructure in the form of tangible and intangible assets and get access to public funding for innovation. However, this type of incubators lacks experience in new venture creation or company management. The economic development incubator, publicly funded, incubates small and medium-sized enterprises to promote economic development of the area by providing physical assets such as offices, space, equipment, business support, advice and training. Strategically, it offers more tangible assets than intangible ones.

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The private incubator, by private and corporate nature, focuses on fast track to market and return on investment, adopting a professionally organized knowledge flow to obtain profits from venture management. According to Barbero’s research (2012, p. 901), “economic development incubator performance is substandard, university incubators perform satisfactorily. Private incubator and basic research incubators performance are outstanding.”

5.3 Principles and Ideas on Sustainability 5.3.1 Definition of Sustainability in Western Culture Despite different types of incubators that can bring about different resources and results, entrepreneurs focus exclusively on their own survival and the sustainable development of their business. Robertson (2017) defines that sustainability refers to the existence into the long-term future, which consists of systems and procedures capable of operating and persisting over time. Furthermore, sustainability means the integration of environment, scientific achievements, social welfare and economic growth for our generation and generations of the future. As all these issues are interconnected, we need to recognize complexity and adopt a systematic approach to mobilize limited resources with a perspective of long-term priorities (UCLA Sustainability 2021).

5.3.2 Perspectives of Chinese Traditional Philosophers on Sustainability In addition, Chinese traditional philosophers hold another perspective regarding sustainability. They concern about the relationship between human beings and universe, respecting nature’s inherent ability to sustain life. According to a Chinese traditional medical book “Inner Canon of Huangdi” base on philosophy, the rule of individual life is interacting with that of the universe (Chinese Social Sciences Net 2021), which can be regarded as the interaction between the human being (the small universe) and the nature (the great universe). Man is an integral and inseparable part of nature, based on the similarity between these two objects in terms of systematization and complexity. Besides this, the small universe and the great one keep exchanging energy and information. These two universes can innovate themselves constantly and develop sustainably through exchange and synchronization between them (Chinese Social Sciences Net 2021), which is quite similar to the significance of entrepreneurship that we have illustrated—collaboration between the small system of entrepreneur and the bigger one which is the society.

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5.3.3 Sustainability in Global Entrepreneurship Before discussing on sustainability in global entrepreneurship, it’s necessary to illustrate the meaning of sustainable business. As Gittell et al. (2012) point out, sustainable business is changing business practices by creating new products and services, which address social concerns in new ways, replying on entrepreneurship and innovation. Under the influence of globalization, almost every aspect of our life and work is going international. The whole world has been becoming progressively a small village in the past decades. Panwar (2017) indicates that globalization is the integration of economies across the world through the movement of goods, services, capitals, labors and technologies, bringing about not only benefits in terms of advanced technologies and business expansion but also challenges to entrepreneurs to compete in a more complicated environment with “multivariate challenges.” Accordingly, global entrepreneurship sustainability is the capability in changing business practices through product and service innovation to handle with “multivariate challenges” in global environment in favor of business survival and development. We will discuss on how to achieve that in the following sessions of this chapter.

5.4 What are the Driving Force and the Objectives of Ecosystem Evolution? 5.4.1 Definition of Ecosystem Global entrepreneurship is a complex system, and this system gathers together the interlinked parts and becomes more than the sum of its parts (Simon 1962). In ecology, an ecosystem is defined as a functional ecological unit composed of interacting biophysical and chemical components (Lovelock 1979). While according to economists, an ecosystem refers to “production, distribution and consumption of goods and services in an economy and the network of societal arrangements and institutions governing them” (Sandhu 2017, p. 17).

5.4.2 Driving Force of Ecosystem Evolution—Organic Flexibility According to De Meyer and Williamson (2020), an ecosystem is alive like other living organism and should keep evolving and restructuring to adapt itself with a changing market. As a result, an organization/an ecosystem is persuaded to adjust this method of doing things to effectively cope with the ever-changing partner network by taking

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the new roles, processes and leadership styles which make it possible to transform the structure into a more flexible one (De Meyer and Williamson 2020), which can be regarded as the organic flexibility.

5.4.3 Objectives of Ecosystem Evolution (1)

Creating value to entrepreneurs

Flexible as the organism should be, an ecosystem is worthless if it cannot create value to entrepreneurs. Thus, the first point for ecosystem development is associated with the question of what kind of value it could create to customers who are mostly entrepreneurs, meanwhile, the ecosystem leader should help their partners succeed in creating value to the customers (De Meyer and Williamson 2020). (2)

Improving its efficiency

De Meyer and Williamson (2020) have also noticed an efficiency disadvantage of ecosystems in comparison with hierarchical organizations at delivering values to customers. Different from a vertically integrated company, it is no simple matter for an ecosystem to bring all activities under one roof to achieve the maximum alignment between different activities. Therefore, efficiency improvement in line with vertically integrated company must be taken into account in ecosystem evolution. (3)

Enhancing the probability of startups’ survival

As mentioned, business survival is the first concern of entrepreneurs. Ro et al. (2020) indicate that the ecosystems for entrepreneurship provide a platform of resourcing in terms of new market exploration, skill acquisition at lower costs as well as the trust to buyers and investors, which could help startups survive during the Pandemic.

5.5 Characteristics of Evolving Ecosystems Required for Global Entrepreneurship Sustainability 5.5.1 Oriented to Problem-Solving As an ecosystem is set up to create value to entrepreneurs, the most important value that an incubator, an accelerator and even an ecosystem can create is to solve the problems encountered by entrepreneurs. According to De Boer and Hogeweg (2012), “ecosystems are capable of decomposing and solving complex problems.” (p. 58) as they have studied this issue through a co-evolving framework of problemsolvers (“Predators”) and problems (“Prey”) together with the actors who collaborate

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with problem-solvers (“Scavengers”). With a regime favoring specialization, selforganization in space and time, “problems are automatically decomposed in easier to solve parts.” (p. 47).

5.5.2 Self-Organization An evolving ecosystem should be organized by itself. According to Meadows and Wright (2008), self-organization, is something like the function of human body developing from a single cell and repairing itself constantly. It’s the ability to learn, evolve and create new complex systems/structures to survive, rebuild and thrive. For example, a startup company should learn from the mistakes made in the past, rebuild norms and create new organizational structure to improve its competitivity and/or to adapt itself to the new circumstances of the market.

5.5.3 Synchronization Meadows and Wright (2008) also reveal that ecosystems require hierarchies to organize the huge amounts of information and interactions and operate stably, offering an example that human body is composed of systems, such as digestive system; each system is made up of organs; each organ is filled with cells. Another example is that each of us is a part of a family, community, city, nation, etc. Ideally, each sub-system should be capable of managing itself to serve the needs of a larger system. In return, the larger system should integrate the sub-systems synergistically. This idea is quite similar to the Chinese traditional philosophy, which highlights the synchronization between human beings (the small universe) and the nature (the great universe). Therefore, a system is sub-optimal when the hierarchies in an ecosystem don’t work in synchronization. In such cases, imposing centralized control won’t work and may even cause problems. The only sustainable approach is to understand and address the needs of each sub-system so the entire ecosystem can develop sustainably (Meadows and Wright 2008).

5.5.4 Flexibility and Effective Response to the Demands of Customers In the circumstance of VUCA, which is the abbreviation of the four English words of “volatile”, “uncertain”, “complex” and “ambiguous”, flexibility (Baike 2021), the most essential characteristics for a startup company, an incubator, an accelerator and

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an ecosystem to survive and develop sustainably is flexibility based on problemsolving, self-organization and synchronization that we have discussed so far. Sushil (2016) argues that changing customer needs resulted from today’s complex business environment cannot be addressed by only one player in a sole manner. Thus, it calls for flexible and adaptable ecosystem to satisfy new requirements. As a result, the ecosystem that is composed of technology, market, venture capital and vertical resources with relevant processes should be flexible for innovation and business development and adaptation to unexpected changes in the business environment. Furthermore, the customers of an ecosystem who are mostly small businesses also need to be flexible in today’s circumstance. Stringfellow (American Express 2017) states that “some entrepreneurs see competition as proof of demand. It’s not necessary to be the first to enter the market; it can be about doing it bigger, faster or better than everyone else. That’s why the importance of flexibility in business can’t be overstated. With the capability to adapt and mold offerings and experiences to deliver better products, higher-quality services or greater overall value, small businesses can earn market share even in the most saturated niches.” Therefore, it is crucial for an ecosystem to be flexible in effective response to the flexible business strategies of their customers who are small businesses as the success of an ecosystem for entrepreneurship is depending on how effectively it could respond to entrepreneurs’ demands.

5.5.5 Resourcing and Matchmaking in a Larger Scale—Case Study on neoBay As revealed previously, driving force of ecosystem evolution is organic flexibility, like a living organ, which evolves constantly and restructures itself to be adaptive to the ever-changing external world. neoBay, cofounded by Shanghai Jiao Tong University, Shanghai Land Group and People’ Government of Minhang District Shanghai 6 years ago, is such a flexible organ serving as the local EcoSystem for innovation and entrepreneurship as the application layer with zero distance to university to activate regional vitality by mobilizing a large diversity of resources and services, such as space, public services, venture capital, industrial resources, mentoring, etc., inspired by the principle of “enterprise-oriented” which in other words, oriented to solving problems encountered by entrepreneurs and startup companies. enlargethispage-16ptEvolution of international ecosystem for this purpose is one of the most important strategies during the development of neoBay. Through the years of exploration, neoBay’s international ecosystem is not confined only to “big” in size, but more importantly, this ecosystem is becoming more than the sum of its interconnected partners, and more pragmatically, its capability in terms of resourcing and matchmaking for the business growth of startup companies has been largely upgraded. (1)

Internationalization 1.0—Bilateral Modality

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Since its foundation in 2015, neoBay has been focusing on the partnership with overseas institutions such as universities, incubators and international corporates by signing memorandums of understanding (MOU). The initial partnership is bilateral collaboration (one-to-one collocation) to realize talent exchange, co-incubation, cross-border acceleration and matchmaking between the startups and multinational enterprises (Fig. 5.2). By 2019, neoBay has established partnership with six institutions from South East Asia and Europe. However, the collaborations under the bilateral modality are confined only to liaison and coworking between two parties. As the world is a complex system, the mutual exchange cannot fulfill the demand for effective resourcing and matchmaking in innovation and entrepreneurship. Therefore, a new modality, which is multiple one, occurred in the year of 2019. Internationalization 2.0—Multiple Modality neoBay has upgraded international collaboration that year, which is manifested by the foundation of International Ecosystem for Innovation and Entrepreneurship (hereafter IEIE), which was co-founded by neoBay and other institutions from Eurasian countries on the occasion of the Fourth China-CEEC Conference on Innovation Cooperation. IEIE is a long-term, sustainable, mutually beneficial collaboration and resourcing mechanism in global innovation and entrepreneurship by accessing all the members and all the startups to new networks, industrial resources and overseas markets, which represents the multiple modality of collaboration (Fig. 5.3), making it possible for a large diversity of resources in innovation and entrepreneurship to circulate among different members according to the veritable requirements. By the aid of internet, IEIE has folded the world, as all the communications and all the

Fig. 5.2 Internationalization 1.0—Bilateral Modality

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Fig. 5.3 Internationalization 2.0—Multiple Modality

collaborations can be realized via internet with much lower cost and higher responding efficiency. During the breakout of the pandemic, IEIE has set up a website to implement: 1. 2. 3. 4. 5. 6.

Membership application and management; Display of IEIE members; Resourcing; Technology transfer/industrialization of new technologies; Publishing of IEIE news and events; Introduction of IEIE to the whole world.

In 2020, IEIE organized a series of online events such as IEIE Think Tank to discuss on the most focused questions like “The World after the Pandemic”, “Idea, strategy, technology and business plan to address new challenges” and “Student entrepreneurship—experiencing the market off-campus”, having attracted more than 200 audiences. Furthermore, on November 18 2020, neoBay and emlyon business school—two members of IEIE, co-organized a student career forum on the occasion of “neoShow Week 2020” of neoBay. In 2021, neoBay and emlyon business school co-organized online Incompany Consulting Project from April to June during which neoBay’s International Cooperation Manager guided the graduate students of emlyon localized in China, France, Syria and Benin to analyze the demand of international startups and co-designed the procedure for business localization via IEIE. Meanwhile, a Singaporean undergraduate took her internship with neoBay in distance from May to July. Besides this, neoBay’s offshore accelerator was inaugurated on June 18 via Ming Innovation, which is also an IEIE Member

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located in Kaiserslautern, Germany. From July to September, the on-site and online mentoring sessions for French startups have been organized to enable them to access IEIE network and resources. After 2 years of growth, IEIE has expanded largely with 12 members localized in China, France, Germany, Indonesia, Serbia, Singapore, etc., having gradually found its way to better serve the startups. As the resources within one institution are limited, it is important to mobilize the resources in a wider range like IEIE. For example, a startup’s business incubated at neoBay in Shanghai China, one member of IEIE, can access the resources and the networks contributed by Ming Innovation in Kaiserslautern Germany on condition that this startup is officially incubated by neoBay based on Incubation Agreement signed between neoBay and this startup. This mechanism is inspired by the idea of Schengen Visa. The holder of this kind of visa issued by France can travail around the European countries within Schengen area without application for any other visa, so as the startups incubated by any IEIE member. Based on any proof of relationship between startup and incubation platform, the IEIE visa’s holders—the startups incubated at neoBay can roam through the IEIE Network to realize resourcing which is contributed by Partner F (Fig. 5.4). By the aid of online platform like WeChat, Zoom or WebEx, the process of roaming and resourcing is folded as the virtual distance has been shortened, the cost reduced.

Fig. 5.4 Startups’ roaming and resourcing through the IEIE Network

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Internationalization 3.0—Inter-ecosystem Modality After less than 2 years since the foundation of IEIE with the international partners, neoBay serves as IEEE TEMS Chapter in Mid-China (including Shanghai), meanwhile helping in localizing French startups in China in partnership with la French Tech Shanghai but also promoting localization of European companies and internalization of local ones through EEN (Enterprise Europe Network). As a result, neoBay serves as a bridge, which coordinates four ecosystems—IEIE (International Ecosystem for Innovation and Entrepreneurship), IEEE TEMS (Institute of Electrical and Electronics Engineers—Technology and Engineering Management Society), EEN (Enterprise Europe Network) and la French Tech Shanghai (French ecosystem for innovation and entrepreneurship across the globe) so that resources, talents, expertise, ideas, technologies, network, markets, customers, etc. can circulate among different ecosystems (Fig. 5.5). From September 8 to September 9 2021, the 4th International Entrepreneurship Week (hereafter IEW2021) took place virtually and successfully. Under the theme of “Global Technology Entrepreneurship—International Ecosystem for Innovation and Entrepreneurship and Sustainable Development”, IEW2021 was held in a larger scale, cohosted by IEIE and IEEE TEMS and supported by EEN (East China) and la French Tech Shanghai with the participation of experts, professors, corporate executives and entrepreneurs from different ecosystems, having attracted nearly 100 audiences across the globe.

Fig. 5.5 Internationalization 3.0—Inter-ecosystem Modality

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IEW2021 is more than an online forum, including keynote speeches and panel discussions. A new initiative has been implemented for the purpose of exploring the roles of different ecosystems in helping the startups go international or localize their business in China. The networking strengths of different ecosystems have been utilized for the first time to create the linkage between entrepreneurs and ecosystems in terms of mentoring, matchmaking and localization/internationalization. On the first day of IEW2021, two startups from Singapore and China presented their entrepreneurial projects to the whole world regarding carbon–neutral aviation fuel and digital simulation for engineering process (IEIE 2021). Afterwards, CEO of the Singaporean startup incubated by Institute of Innovation and Entrepreneurship—Singapore Management University (IEIE memeber), who is working on carbon–neutral aviation fuel, had the chance to contact a French governmental agency called “Choose Paris Region”—an EEN member, which is in charge of innovation collaboration between French companies and Asian startups, to discuss on the startup’s planning expansion into France/Europe in 2022. By December of 2021, CEO of the Singaporean startup company had a first round of introductory discussion together with the representatives of this EEN member who understood the business model of the startup company, their segment and positioning in creating value impact to the aviation industry in France and Europe. From there, both sides were able to identify a direction in how they could collaborate together, and the EEN member quickly had a collaborative proposition between startups and the intended market. Thus, the Singaporean startup company planned to localize by the second quarter of 2022 in Paris as their European base.

5.6 Conclusion In this chapter, we have shown that the significance of entrepreneurship lies in the establishment of a new system to collaborate with the society based on the illustration of the relationship between individual and social development, which is the philosophical reflection, together with the ultimate purpose of development of human society, which has witnessed several revolutions, referring to the collaboration not only among human beings but also between human and machine. By indicating the roles of incubator in addressing challenges encountered by entrepreneurs, we have found that incubators exist for the survival of startup companies by mobilizing different resources to reduce the risk of small business failures, and various types of incubators can bring about different results through the cases regarding the typology of Spanish incubators and their objectives which are the basic research incubator, the university business incubator, the economic development incubator and the private incubator. Then, we have talked about the principles and ideas on sustainability with two different perspectives—according to Western culture and Chinese one. Besides this, an ecosystem evolves due to its organic flexibility just like a living organ,

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which should be able to create value to entrepreneurs, improve its efficiency and as a result help startup companies survive. Afterwards, we have indicated the characteristics of evolving ecosystems needed for global entrepreneurship sustainability which are oriented to problem-solving, self-organization, synchronization, flexibility and effective response to the demands of customers, revealing that an ecosystem capable of decomposing and solving complex problems should be also able to learn, evolve and create new complex systems/structures to survive, addressing the needs of each sub-system so the entire ecosystem can develop sustainably. Moreover, an ecosystem should be flexible in effective response to the flexible business strategies of entrepreneurs who are facing up to today’s circumstance of VUCA in global market. Finally, neoBay’s strategy in terms of Internationalization from 1.0 to 3.0 has been talked about to prove that an ecosystem is not becoming bigger in size but more than the sum of its interconnected parts to improve its resourcing and matchmaking capability, supporting global entrepreneurship sustainability, which has gradually brought about outcome in terms of internationalization of an Asian startup company to Europe.

References Albort-Morant, G. & Oghazi, P, (2016) How useful are incubators for new entrepreneurs? J Bus Res 69:2125–2129 American Express (2017) https://www.americanexpress.com/en-us/business/trends-and-insights/ articles/why-flexibility-is-key-to-small-business-success/ Baike B (2021) https://baike.baidu.com/item/乌卡时代/56393411 Barbero JL, Casillas JC, Ramos A, Guitar S (2012) Revisiting incubation performance: how incubator typology affects results. Technol Forecasting Soc Change 79:888–902 Chinese Social Sciences Net (2021) The Philosophical significance of perspective on life from inner canon of Huangdi http://www.cssn.cn/kxk/zhyj/202011/t20201130_5226535.shtml De Boer FK, Hogeweg P (2012) Co-evolution and ecosystem based problem solving. Ecol Inf 47–58 De Meyer A, Williamson PJ (2020) Ecosystem edge sustaining competitiveness in the face of disruption. Stanford University Press Delassus E, Ernet S, Fourcassier E, Gerault S, Le Grand F, Leveau P, Moracrine R (2020) Réviser son bac avec le Monde. Le Monde Fountain J, Milbert M, Hagen B (2012) The incubation workbook: navigating innovation from concept to commercialization. Wheatmark Gittell R, Magnusson M, Merenda M (2012) the sustainable business case book. Flatworld IEIE (2021) The 4th international entrepreneurship week took place virtually and successfully. http://ieie.link/news/detail?uuid=2c46a45b-2ab3-439c-88b0-1dbe0a08d698 Lovelock J (1979) Gaia: a new look at life on earth. Oxford University Press, Oxford Mas-Verdu F, Ribeiro-Soriano D, Roig-Tierno N (2015) Firm survival: the role of incubators and business characteristics. J Bus Res 793–796 Meadows DH, Wright D (2008) Thinking in system. Chelsea Green Publishing Merriam-Webster (2021) Incubator https://www.merriam-webster.com/dictionary/incubator New Brunswick Canada (2021) What is social development? https://www2.gnb.ca/content/gnb/en/ departments/esic/overview/content/what_is_social_development.html Panwar HS (2017) The impact of globalization on entrepreneurship development in India. J Modern Manag Entrepreneurship (JMME) 249–251

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Ro SC, Zhang Z, Dayaneni N, Chen R (2020) Technology and innovation to weather the storm?— a case study of the role of technology and innovation for start-up survival in service industry in Shanghai, China. In: Han HS, Lee J (eds) COVID-19 and the future of the service industry post-pandemic: insights and resources. Springer, Singapore Robertson M (2017) Sustainability principles and practice, 2nd edn. Routledge Sandhu H (2017) Ecosystem functions and management theory and practice. Springer Simon HA (1962) The architecture of complexity. Proc Am Philos Soc 106(6):467–482 Sushil (2016) Strategic flexibility in ecosystem. Global J Flexible Syst Manag 247–248 UCLA Sustainability (2021) What is sustainability? https://www.sustain.ucla.edu/what-is-sustai nability/ Vincent KJ (2021) Du Contrat Social de Rousseau (explication). https://vincentkjoly.com/contratsocial-rousseau/#:~:text=Le%20contrat%20social%20est%20un%20pacte%20permettant% 20à,ce%20qu’il%20a%2C%20alors%20nous%20sommes%20tous%20égaux

Chapter 6

Starting Up STEAM in China: A Case Study of Technology Entrepreneurship for STEAM Education in China Sam Ro, Siqi Xiao, and Zhoumin Zhou

Abstract There has been a surge in STEAM education for K-12 students since the beginning of the twenty-first century. This chapter sheds light on the current state of this relatively new but rapidly growing field of education through a case study of STEAM education startups in Shanghai, China. We begin by summarizing general discussions on the key characteristics of STEAM education that distinguish it from traditional school education through a literature review. Three identified characteristics are (1) the focus on real-world problem-solving, (2) the utilization of project-based learning methods, and (3) the emphasis on interdisciplinary principles. These key characteristics form the basis for evaluating the STEAM program in China. For the analysis of its viability as a business, we first analyze the business model using Business Model Canvas followed by an analysis of the business environment within which it operates. The study concludes by drawing implications regarding practical implementation of the STEAM program as a business in China. Keywords K-12 STEAM education · Innovative education · Engineering and technology education · Business model canvas

6.1 Introduction Education is the 4th item in UN Sustainable Development Goals, and the importance of ICT (information and computer technology) education is recognized in target 4.4, which aims to ‘substantially increase the number of youth and adults who have relevant skills, including technical and vocational skills, for employment, decent jobs, and entrepreneurship’ (UN DESA 2021). The importance of ICT education is also emphasized in China as the key for China’s further growth into a sustainable society which will require empowering current youth with technological literacy so that they can shape and channel the advancement in technology to make positive changes to the world. In this regard, STEAM (Science, Technology, Engineering, S. Ro (B) · S. Xiao · Z. Zhou Center for Entrepreneurship, UM-SJTU (University of Michigan-Shanghai Jiao Tong University) Joint Institute, Shanghai, P. R. China e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_6

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Art, and Mathematics) education has received much attention in recent years. With its focus on broad-based and creativity-oriented education that encourages engagement of students of diverse aptitudes and backgrounds, STEAM education has been recognized as a way of enhancing STEM (Science, Technology, Engineering, and Mathematics) learning by ‘embracing the cross-cutting translational skill common to STEM and arts and design disciplines’ (Allina 2017). Indeed, there are new afterschool learning centers for children mushrooming in Shangai’s urban landscape with the word ‘STEAM’ in their signboards, filling in the gap between parents’ anticipation for their children’s future needs and somewhat slow progress in the national school curriculum. Yet many of these centers are simply teaching coding under the new signboards of STEAM. Considering the vast potential areas STEAM can cover, exactly what should be taught in what ways need some consideration among those interested in the future of STEAM education in both theory and practices. STEAM education, compared to the subdisciplines such as physics, mathematics, engineering, and so on, is a relatively new concept, and academic discussions on the objectives, components, pedagogies, and evaluation strategies are still in progress. At the same time, more trials and evaluations are needed relating to the modes of implementation, for example, through reform in the school curriculum, or as an added activity to the traditional school curriculum, or as a private afterschool education delivered by for-profit or non-profit entities outside schools, or any combination of these. In this chapter, we contribute to such a discussion by examining STEAM education in China through four cases of startups (see Sect. 6.3 for details). They are all relatively new private companies delivering educational services and products for STEAM Education. Other than this common aspect, they differ in terms of their core product/services as well as their business models and represent the range of startup companies in China in this sector. In the following, we will use these cases to discuss the challenges faced by STEAM education in two dimensions. The first dimension relates to the key defining characteristics of STEAM education that make it important for the twenty-first century and the second dimension relates to the sustainability of the startups in the STEAM Education business in China. For the first dimensions, we will start with a literature review (Sect. 6.2) to identify key characteristics of STEAM Education. This section will be followed by an analysis of some startup products and services (Sect. 6.3) against the backdrop of the identified characteristics. For the second dimension, we will analyze the startups using ‘business model canvas’ (Sect. 6.4) and discuss the business environment in Sect. 6.5. Then we will summarize our findings relating to the challenges of designing and implementing quality STEAM education in Sect. 6.6.

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6.2 Key Aspects of STEAM Education Current literature on STEAM education seems to converge on three, closely interrelated, key aspects of STEAM education that differentiate it from traditional K-12 education of the component disciplines. The first is its focus on practical skills in the real world; the second is project-based learning (PBL) that aims at cultivating creativity; the third is the encouragement of an interdisciplinary (or transdisciplinary) approach. The first aspect, or the focus on practical skills in the real world, can be found from the origin of STEAM and its older cousin STEM (Science, Technology, Engineering, and Math) at the start of the twenty-first century. The acronym STEM is often traced back to the policy discussions within the National Science Foundation of the US in the early 2000s. Then in 2005, it was popularized in a Congressional report titled Rising Above the Gathering Storm prepared by the National Academy of Sciences, National Academy of Engineering, and Institute of Medicine, together with corporate leaders, scientists, and education leaders (National Academy of Sciences 2005). The report was an alarm on the state of education in STEM fields in the US that are lagging behind the competitors, or the ‘gathering storm’, which will affect the competitiveness of the US economy and businesses in the twenty-first century (National Academy of Sciences 2005)—a sentiment that was to be echoed later in the famous ‘Sputnik moment speech by the former President of the US, Barak Obama, in his 2011 national address. In the follow-up report published in 2010, the authors reiterated the importance of the STEM fields in ensuring ‘the future competitiveness, innovation capacity, economic vitality, and job creation’ in the twenty-first century and in increasing ‘the ability of Americans to compete for employment in a [globalizing] job market’ (National Academy of Sciences 2010, xi-xiii). Naturally, the whole reason for reinvigorating K-12 STEM education was not just academic, or ‘producing graduates pursuing degrees and careers in science and engineering’, but to increase job creation capacity in the STEM fields and to provide ‘at least rudimentary skills’ demanded by the growing job opportunities (National Academy of Sciences 2010, 53). It was not just in the US of course: the attention on STEM (and later STEAM) education spread across and other countries and the UN’s sustainable development goals 4.4 also highlights ‘relevant skills, including technical and vocational skills, for employment, decent jobs, and entrepreneurship’ (UN DESA 2021). From this origin comes the first of the key characteristics of STEAM education, or the emphasis on the practical skills and real-world (or everyday life) problem-solving (Yakman and Lee 2012; Spector 2015; KOFAC 2017; Stehle and Peters-Burton 2019; Bautista 2021). This aspect is closely related to the skills necessary for productive citizens in the twenty-first century as identified by Spector (2012), arranged in Table 6.1. These could be regarded as the skills that a successful STEAM class needs to incorporate in the learning outcomes in addition to the knowledge and skills embedded in the component disciplines of STEAM.

118 Table 6.1 Framework for skills necessary for productive citizens in the twenty-first century

S. Ro et al. Learning and innovation skills

Creativity and innovation Critical thinking and problem-solving Communication and collaboration

Information, media, and technology skills

Information literacy Media literacy ICT literacy

Life and career skills

Flexibility and adaptability Initiative and self-direction Social and cross-cultural skills Productivity and accountability Leadership and responsibility

Source Spector (2012), Christensen and Knezek (2015)

Following naturally from the focus on practical education is the second aspect, the project-based learning method. Also expressed in loosely interchangeable terms such as ‘hands-on approach’, ‘active learning’, or ‘learning-by-doing’, project-based learning provides an opportunity for students to ‘understand, assess and successfully handle techno-scientific issues that arise in everyday life’ (Bautista 2021). This follows what John Dewey termed as ‘learning by doing and experiencing’ principle (Dewey 1938), and incorporates the principle of active learning, as Christensen and Knezek (2015) characterize in the following points: • • • • • •

relevance to real-world applications authentic solving of real-world problems application of prior knowledge and/or experiences to solve new problems collaboration with others integration of subject matters (interdisciplinary) and self-directed learning. (Christensen and Knezek 2015).

This approach differs from traditional education in that it focuses on experiencing and application rather than teaching knowledge; the leading actor is the students rather than the teacher. Yet, this does not mean simply asking students to complete a task, as learning would occur when students are ‘actively engaged in making meaning’ (Bonwell and Eison 1991). Hence, for active learning to be a ‘learning’, students should be instructed not just to get involved in ‘doing things’ but also ‘thinking about what they are doing’ (Jonassen et al. 2003). There are, however, a variety of views on how STEAM education should be implemented in schools (Bautista 2021): some highlight STEAM education as a ‘movement in search of innovative pedagogical experiences’ (Colucci-Gray et al. 2019) which

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complements and reinforces traditional disciplinary learnings, or making classes ‘more engaging and attractive’ (Peppler and Wohlwend 2018), while others advance it further as a fully fledged educational model (Quigley et al. 2017; Yakman and Lee 2012). As for now, considering the current realities in K-12 schools, especially at the upper-end, where paper-and-pen types of assessment are still dominant and work as a key criterion of success for both students and schools, fully developed project-based education is often delivered in informal ways as extracurricular activities outside schools somewhat independent of school education. Perhaps, what we currently need is for all these different approaches to progress simultaneously and accumulate more creative examples to improve the overall quality of STEAM education. The third characteristic of STEAM education is interdisciplinarity. This is closely related to the other two characteristics mentioned above: as Roy (1979) puts it ‘the real problems of society do not come in discipline shaped blocks’ (Roy 1979) and projectbased learning methods encourages students to actively apply prior knowledge from different subject matters to solve new problems (Christensen and Knezek 2015). There are, however, multiple rather ill-defined terms being used to describe interdisciplinarity such as ‘cross-disciplinary’, ‘multidisciplinary’, ‘interdisciplinary’, and ‘’transdisciplinary. In this paper, we regard ‘cross-disciplinary’, as a loose umbrella term for all other forms of disciplinarity following Russell et al. (2008). Regarding, ‘multi-’, ‘inter-’, and ‘trans-’disciplinarity, Petrie (1992) distinguishes them based on the intensity of integration. Risking oversimplification, ‘multidisciplinary’ can be represented as a project where different disciplines (specialization or institutionalized body of knowledge) works as a ‘group’, making their contributions where each of the disciplines is best suited. ‘Interdisciplinary’, on the other hand, describes a situation where there is a more meaningful interaction between disciplines, working as a ‘team’, exchanging disciplinary knowledge and tools to strengthen the team’s ability to find solutions or gain new knowledge, leading to a degree of modification in the disciplinary knowledge. Whereas ‘transdisciplinary’ is achieved when the integration results in transcending the boundary of disciplines to create some meaningful whole (Petrie 1992). The situation is aptly illustrated by Wilson and Presley (2019) in the following example: If children are asked to make a car, they would decorate their car in art class that they made previously in their science class in a single disciplinary case [hence ‘multidisciplinary’ since two single disciplines are involved]; they would plan in both art and science classes but work separately in each car in interdisciplinary case; and they would ‘create the art/science car in which art thinking and concepts (e.g., color theory and design) inform the scientific and engineering aspects of the car and the scientific and engineering aspects of the car (e.g., aerodynamics, physics) inform the esthetic choices’ which means they would not succeed without either art or science in transdisciplinary case (Wilson and Presley 2019).

Such distinction to STEAM education implies that a properly designed STEAM program should aim at encouraging interdisciplinary (or even transdisciplinary) application of disciplinary knowledge in response to real-world challenges. A multidisciplinary approach in this context would be STEAM education projects in which students are guided to deliver preset activities that are designed to demonstrate particular knowledge/skills of several disciplines juxtaposed (or layered like a cake in

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Petrie’s metaphor) in an activity. Not disputing the educational value in strengthening disciplinary learning by making classes more engaging and attractive, this would fall short of the first aim of STEAM, or that of cultivating real-world problem-solving ability that gave rise to STEAM education. After all, as Russell et al. (2008) argue, the driving forces behind current enthusiasm for transdisciplinary practices are, first, the knowledge economy that increasingly demands problem-focused, relevant, and communicable’ knowledge; second, the global challenges that require collaboration among multiple disciplines and stakeholders to find and implement solutions; and third, more educated populace empowered by the information technology who demands knowledge that is ‘responsive, relevant, translatable into different language and contexts and problem-focused (Russell et al. 2008). These are the same forces that drive STEAM education to current characteristics. As Bybee (2010) pointed out, the acceleration of innovations in science and technology and social change makes it an imperative ‘to bridge divisions in knowledge and technology’ increasing the need for ‘convergence education such as STEM and STEAM education (Bybee 2010). The same forces of the real world brought the proponents of STEAM to add ‘A’ to STEM. Here again, there are various interpretations of the ‘Arts’ in STEAM. While much focus is on visual and performing arts such as painting, crafting, photography, dance, and drama as a medium of human expression, there is a case that these subdisciplines help more than making your product pleasing to human senses. For one, skills in these areas make ‘more personally relevant learning and more exploring experience’ that help science learning more engaging (Ascbacher et al. 2013; Peppler and Wohlwend 2018) and it also increase ‘translational skills’ that work between technology, people and context (Allina 2017). Others extend it to humanities, liberal arts, and even to social sciences to develop abilities associated with esthetics, flexible thinking, innovation, and creativity (Ferrall 2011; Yakman and Lee 2012; Spector 2015). The placement of social sciences such as Psychology, Sociology, and so on under ‘A’, as seen in the framework for STEAM in Yakman (2008), might raise eyebrows of some hardcore social scientists. Yet, debates on exactly what disciplines should be included or excluded STEAM, or whether we need to add more letters to represent other disciplines, appear to be beside the point next to the most important focus on real-world problem-solving through a project-based approach that utilizes knowledge and skills from multiple disciplines in an interdisciplinary manner. The problem on hand, as well as the people involved in the project, will determine disciplines to be mobilized and the point is not on what disciplines but on how those disciplines are utilized. After all, disciplinary boundaries of knowledge are not as hard and sharp as walls between departments in colleges. In sum, the main characteristics a proper STEAM education project should aim at can be arranged as below: • to improve the ability for real-world (or everyday) problem-solving • through a project-based learning strategy in which students take the leading role to engage in a real-world problem but are also given a chance to reflect upon (and express) what they have learned through the process

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• in an interdisciplinary environment where knowledge and skills from different disciplines, either learned previously or taught during a project, are applied creatively in a project in consideration of the best abilities of the group (both students and teachers).

6.3 Characteristics of STEAM Education Among Startup Companies in China 6.3.1 Introduction of the Companies and Their STEAM Products Table 6.2 summarizes the key aspects of the four startup companies in this case study. (1)

Company 1: Company 1 was founded in 2014. The main customers are the parents of K-12 students. Therefore, its business model is B2C only. The main product it provides can be categorized into three categories. For the coding classes, it provides Scratch courses to increase awareness, JAVA for advanced coding education, and Python to give students a sense of Artificial Intelligence (AI). The coding and development kits course uses Scratch and Micro:bit to interact with the environment.

Table 6.2 Introduction to selected companies Cases

Year established

Target group Main product

Business model

Relationship with schools

Company 1 2014

K-12 students

Scratch, Python, AI, JAVA, Scratch/Micro:bit, real-life problem solution project

B2C only Service-oriented

Independent of schools

Company 2 2020

K-12 students, Schools and other private educational institutions

Scratch, Scratch/Micro:bit, programmable robots, real-life problem solution project

B2B + B2C Service-oriented with some technology products

Independent of + Cooperate with schools

Company 3 2015

K9 + students and schools

Python, Unity, programmable robots, real-life problem solution project

B2C + B2B Service-oriented

Independent of schools

Company 4 2015

K9 + students through schools

programmable robot/devices packages,

B2B only Product-oriented

Take place at schools

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Company 2: Being founded in 2020, Company 2 is the newest of the group. Although it has developed its own products such as programmable robots, cars as well as a development board, the company does not rely on its proprietary devices as the core of the business but focuses on developing a comprehensive STEAM educational curriculum and lessons using devices available in the market. It has B2B as well as B2C models. For the B2B model, the target customers are schools and afterschool educational institutions and for the B2C model, the target customers are K-12 students and the lessons take place in its own office space. It provides all types of classes to customers. Similar to Company 1, it provides Scratch courses to younger students as a pathway to the other courses that use development boards, such as Micro:bit. It also provides programmable robots and AI, Arduino-based classes, and small group tutoring courses for those who are entering innovation competition. Company 3: Company 3 was founded in 2015 as a project under the umbrella of an educational consulting company which had been providing training and supports for students preparing for overseas education. In 2015 they added another project allowing students to experience design courses at undergraduate engineering programs, centered around Arduino boards and robots. It has B2B and B2C models. For the B2C model, the target customers for their STEAM project are high school students as well as some undergraduate students. The B2B model offers programmable devices workshops to schools. Company 4: Company 4 was also founded in 2015. The main product it provides is programmable robot packages with educational booklets. It conducts a B2B business model with schools as its main customers. Since it develops its own hardware package, it can be regarded as a technologyoriented company that offers customized teaching materials. There are several other examples of similar startups that design and market programmable robots, devices, and toys. Many of them also market their products to schools and other educational companies and NPOs, in addition to direct sales to individual customers. What distinguishes Company 3 from the others is that their supporting materials are more than instruction booklets and aim at demonstrating the educational points of the package by linking it to the concepts students learn at schools as well as broader social issues of sustainable development. For this purpose, they are devoted to providing teacher training for their institutional customers.

(3)

(4)

In general, all of these companies benefitted from the rise of the block-based programming language and the development boards such as Micro:bit and Arduino. These made coding education easier for students and opened possibilities for these companies to build lessons that incorporated programming into real-world interaction, without having to invest in a lab or a maker space. Adoption of these technologies led coding education companies, such as Company 1, to quickly expand into other STEAM areas and also led educational service companies, such as Company 3, to easily adopt innovation projects mixing design elements with real-life problemsolving experience in which students not only provide abstract ideas but also create

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Table 6.3 Origins and approaches to STEAM education (primacy of ICT skills) of the four companies Origin Primacy of IT skills

Originated outside STEAM education

Originated with STEAM education as the main goal

ICT education as a core

Company 1: Origin: Coding training Current focus: STEAM education service focused on ICT skills

Company 2: Origin: STEAM education Current focus: STEAM education service focused on ICT skills

ICT skills as a complementary

Company 3: Origin: overseas education services Current focus: STEAM education service focused on design projects to solve real-world problems

Company 4: Origin: STEAM education Current focus: STEAM education packages focused on strengthening official school education

prototypes. In this respect, the four companies can be re-categorized into two based on their origin. Company 1 and 2 are those that focus on ICT skills, programming to artificial intelligence, but expanded into STEAM, and Company 3 and 4 are examples of companies that started with a broader interest in STEAM education that utilizes development in ICT technologies. Of these, Companies 1 and 3 did not have STEAM education as the main focus specializing in coding (Company 1) or educational consultation (Company 3) but gradually moved into a full range of STEAM due to the observed market needs and the abilities of the team. On the other hand, companies 2 and 4 started with STEAM as their main goals (see Table 6.3).

6.3.2 Analysis of STEAM Education Products/Services All four companies offer several classes of STEAM education that can be classified into the four types below. (1)

Type A (programming courses): These are courses offered by Company 1 and Company 2 that are aimed at programming skills without utilizing other hardware. The company offers a range of courses on block-based programming from beginner to advanced level as well as other programming language courses such as Java, Python, and C++. On the other hand, Company 2 currently offers an elementary block-based programming course which is meant to be a pathway to other courses. This type of class can be indistinguishable from any programming course and have little claim to the objectives of STEAM education such as real-world problem-solving in an interdisciplinary environment. Yet, depending on how each lesson is structured and delivered, it could also have some elements of

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STEAM education. Block-based programming does enable learners to immediately visualize what they are creating which increases the possibilities of the teachers to run classes with pre-determined activities suitable for the lesson’s learning objectives. For most type-A classes, students will be following instructors step-by-step (rather than taking leading roles), but open-ended group tasks can be given at the end of the courses in which students take more active roles in determining their own goals utilizing skills that they acquired. An example would be an end-term team competition to create multi-player games with design inputs from students working in teams. Type B (programming with development boards): This type of course, also offered by Company 1 and Company 2, exploits the versatility of development boards (such as Micro:bit) to let students learn, explore and interact with the physical environment while learning programming. Courses that utilize Arduino boards as a part of learning programming languages are also classified as type B. Classes in such courses tend to be organized as step-by-step instructions to learn how to use the functions of development boards with programming but due to their ability to interact with the real world through sensors and actuators, these courses can bring multiple STEAM-related topics. Hence, it could work as a good pedagogical strategy to enhance topics in school subjects by demonstrating the relevance to real-world applications. It also brings the possibility of designing more open-ended tasks and in-class competitions, especially when interfaced with external sensors and actuators, cultivating creativity in real-world problem-solving. Type C (courses focused on pre-determined real-world applications): Type C courses focus on using programmable robots, toys, development boards (including Arduino types), and other devices to guide students through predetermined activities. Such courses usually require a degree of competence in programming and are usually offered to intermediate learners in programming. Unlike Type B classes, the focus is not on learning programming languages but on interacting with the world and Type C classes are often termed AI education. Company 1 and 2, as well as 4, offer Type C classes using Arduino boards, programmable robots, and other devices. Company 2 also has designed several models of customizable automobiles and robots for this purpose and uses them together with other commercially available products. Compared to Type D classes, what students can do in Type C classes is limited by the predetermined activities and the functionalities of devices but students do have room to creatively explore other applications of what they have learned/built. All the products of Company 3 are also classified as Type C because each package contains a complete set of kits that students can build and program according to the instruction manual. Students are then encouraged to find different applications modifying programs or devices. These courses do have the potential to provide more linkage to the realworld applications but the key claim to STEAM education here is how the courses are structured and delivered. On the one hand, lessons in these classes

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tend to be a collection of craft projects without coherent learning objectives. On the other hand, when students regard this as a follow-the-instruction-tomake-robots-move class the chance for students taking lead in making creative applications will be reduced. This is the reason all the companies prefer to keep the classes within their own facilities. For B2B customers, Company 2 sends its development team to deliver such class at schools and Company 3 offer the classes at schools with their own trained instructors. Type D (courses focused on open-ended innovation or design): This type of class incorporates an element of design thinking and the core element of the curriculum is an open exploration of the problems in the real world which resonates with participating students’ passion. Students are guided through the process of innovation starting from problem definition, identifying and conceptualizing solutions, building prototypes, and presenting their results. Company 1, 2, and 4 currently offer such classes to small groups. In the case of Company 1 and 2, these courses are offered to enter students to domestic and international innovation competitions to provide extra incentives to students and parents. This type of course seems to be the one that has the most potential to provide the full extent of STEAM education. The whole class is a project in which students engage in real-world problem-solving and students are expected to lead while instructors work as mentors. Students are encouraged to survey existing solutions before coming up with their own ideas. They learn practical skills such as collaboration in-group, and, due to the requirements of competitions in recent years, they need to create and deliver effective multimedia presentations of their innovation process. Knowledge and skills from different disciplines will be utilized in various stages of the project giving it an interdisciplinary character.

In sum, all the four types of classes do contain a degree of relevance to the skills needed in the twenty-first century as identified by Spector (2012) in that they have a common footing in ICT literacy. To what extent the offer of ICT can be related to the other elements of the skills such as creativity, problem-solving ability in the real world can be analyzed using ‘the self-assessment tool for educators to measure the impact of ICT training in school proposed by Christensen and Knezek’ (1999), which adopting six stages of ‘adoption of technology instrument’ by Russell (1995) as in Fig. 6.1. Whether each class will reach the upper stages depicted in Fig. 6.1, however, depends not on the claims but how each lesson is designed delivered by the instructors. For example, a type B class can be delivered in the way students simply follow the procedure demonstrated by a teacher to sense the ambient lights and ask the development board to turn on LED lights onboard or make a sound at a certain level of brightness and repeat the procedures with different parameters until students get accustomed to the process of coding, or the teacher could intrigue students to think creatively by deciding the parameters or appropriate actions based on what they think sensing brightness might be used for in real life. Similarly, depending on the design and delivery of the curriculum more disciplinary knowledge can be used and

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Stage 6: Creative applications to new contexts Stage 5: Adaptation to other contexts Stage 4: Familiarity and confidence Stage 3: Understanding the application of the process Stage 2: Learning the process Stage 1: Awareness STEAM Education Type

Type A (Programming)

Companies delivering

Company 1, 2

Type B (Programming with Development Boards) Company 1, 2

Type C (Pre-determined projects and activities)

Type D (Open projects)

Company 1, 2, 3

Company 1, 2, 4

Fig. 6.1 Education classes based on six stages of adoption of technology (adapted from Christensen and Knezek 1999)

reinforced in classes across the types to reinforce students learning from the official school curriculum and encourage students to actively utilize knowledge from outside the class. In relation to activity- or project-based learning methods as well, although all these classes naturally involve tasks and activities, students should be at least given a chance to actively explore and design concerning the real-world problems utilizing knowledge and skills for a course to be a meaningful, fully fledged STEAM education.

6.4 The STEAM Education Startups in China as Business In this section, we will analyze the business models of these companies separated into two categories: first those focus on providing services including companies 1, 2, and 4; and second the one that focuses on producing products, company 3. As noted earlier, company 2 also designs some of its own devices but it is focused on making a coherent and comprehensive STEAM education curriculum, and we have decided to include it as an education service. On the other hand, company 3 does have teacher training programs but it is focused on developing kits in packages, which made us regard it as a technology products company in line with many similar producers of STEAM devices. For the analysis, we will use the Business Model Canvas, which has

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been widely used among entrepreneurs and entrepreneurship educators as a tool for ‘describing, analyzing, and designing business models’ (Osterwalder 2010) (Figs. 6.2 and 6.3).

6.4.1 Business Model Canvas of Service-Oriented Startups Figure 6.2 represents the business model of service-oriented startups. (1)

(2)

(3)

(4)

Value Proposition: The general value for a service-oriented company is to provide them with a well-organized curriculum and well-trained instructors to deliver quality STEAM education. Customer Segments: The ultimate customer base is the parents of K-12 students and their parents. They can either directly be served in classes run by the company (B2C) or through the schools and extracurricular educational institutions (B2B). Channels: Currently, most courses of these startup companies are offline in China. There are, however, some larger companies that offer online courses using video tutorials and live sessions but the startup companies we have surveyed do not have such classes other than sample videos they put on social media for advertising. Customer Relationships: These startups currently maintain their operation on a relatively small scale, which helps them fully utilize the concept of community. Institutional customers (schools and other organizations) are acquired through personal contacts and word-of-mouth references. They form an online community through social media platforms such as WeChat groups which allows them to spread their social-media-based publicity material and receive instant feedback from the customers and users of its services.

Key Partner:

Key Activities:

Value Propositions:

STEAM product production company

Recruit students Design curriculum Hold classes

Providing activitybased STEAM curriculum/lessons

Competition organizers

Customer Relationship: Feedback collection Social media and websites

Key resources:

Channels:

Course developers

Offline (Classroom) Online including Video

Office and classroom space Cost Structure:

Revenue Stream:

Employees’ salary Course development Equipment maintenance Venue rent

Course fee Franchise Fee

Customer Segment: K-12 students (Parents) Schools and afterschool educational institutions

Fig. 6.2 Business model canvas of service-oriented STEAM education startups

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Revenue Streams: Currently, these startups make profits from the course fees from their B2C customers as well as from institutional, B2B customers. Key Activities: At this early stage, these startups focus on course development and systematization, and instructor training. Key Resources: Human resources are the most important key resources for these startups at this stage. Cost Structure: The main cost items of such startups are the rental of the office space, salaries for employees, and the cost of the equipment. Key Partners: These startups cooperate with the companies that produce STEAM devices for better software and hardware to give their customers a better learning experience. They also work with organizers of competitions and ICT qualification exams to provide additional incentives for their customers.

(6) (7) (8) (9)

6.4.2 Business Model Canvas of Product-Oriented Company The business model for product-oriented startups is arranged in Fig. 6.3. (1)

(2)

Value Proposition: Since STEAM is still developing in China, many schools and afterschool institution is less proficient in creating the platform for children to learn well. These companies provide the hardware and software that STEAM education needs. For companies or institutions, the devices can be customized based on their own needs. Customer Segments: The customers can be divided into two parts. The first is the companies, afterschool educational institutions, and schools (B2B), which are the main customers. Company 3 in our case study focuses solely on this

Key Partner:

Key Activities:

Value Propositions:

STEAM afterschool educational institutions

Design the programmable devices Promote the product including organizing competitions

Customized hardware/software for STEAM education

Factories

Key resources: Software/hardware developer Salesperson Cost Structure: Employees’ salary Hardware/software development Equipment maintenance

Customer Relationship: Customized product Long-term cooperation

Customer Segment: Schools. STEAM education service providers. K-12 Students and Parents

Channels: Websites or apps Word-to-mouth recommendation Revenue Stream: Product turnover

Fig. 6.3 Business model canvas of product-oriented STEAM education startup

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(5) (6)

(7) (8) (9)

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segment. There are, however, other startups that build programmable educational robots and devices for individual customers (B2C) as well as institutional customers (B2B) similar to LEGO and Make Block. Channels: The product is mainly sold by its websites. Unlike other, larger, producers such as LEGO, and Make Block, Company C’s products are not sold in physical stores or any other online shopping platforms. Customer Relationships: Since most of these companies are startups, they need to maintain long-term relationships with their customers. Therefore, they may provide customized services to fulfill the needs of their customers. Revenue Streams: Currently, these companies make profits from the product turnover from their B2B customers. Key Activities: As a technology-oriented company, Company C focuses on hardware development, and to maintain a good relationship with their customer, they also work on customized service, part of which includes educational booklets and videos. Some larger companies tend to hold competitions as a way of promoting their products but Company C for the time being focuses on enhancing educational experience through trained instructors. Key Resources: Human resources, namely, software/hardware developers are the most important key resources for these startups at this stage. Cost Structure: The main cost items of such startups are the salaries for employees and the cost of the development. Key Partners: These companies cooperate with STEAM educational service companies and provide teacher training for these groups of users. They also cooperate with factories that produce the hardware.

6.5 Business Environment for Education Startups in China 6.5.1 Positive Environment As noted earlier in Sect. 6.3, all the startup companies in the current study include ICT education. This is in line with the market needs in China. More than 90% of Chinese primary and middle school students showed a willingness to learn about artificial intelligence (China.org 2021) but the market penetration rate of the coding industry in China was only 1.5% in 2018, compared to 45% in the US and 10% in the UK (iResearch 2018; China Daily 2019). This provides ample room for growth in this sector and the iResearch report predicted coding education to grow tenfold in the 5 years from 2018 (iResearch 2018). The popularity of such courses is in part due to the lack of ICT-related education at schools. This, however, is expected to improve gradually as the Ministry of Education revealed plans to include programming, big data, virtual reality, and artificial intelligence to K-12 education and assessment (Ministry of Education 2018,

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2019) and in 2019 five cities—Beijing, Guangzhou, Shenzhen, Wuhan, and Xian— were selected as the first batch of pilot cities to include such courses (Wu 2019). Yet, it will take some time before official schools will gain enough teachers to fill the national needs, and even then, activity-based STEAM courses are expected to be popular as afterschool learning. This is reinforced by the growing demand for STEAM education in China in general. China has been steering toward innovation as the driver of growth from the 13th Five Year Plan (FYP) period (2016–2020) which has been reaffirmed in the recently approved 14th FYP (2021–2025) (China Daily, 2021). Naturally, science and technological innovation are also in the minds of the parents of K-12 children. This is especially for cities like Beijing and Shanghai, where a growing number of wealthy and educated parents will demand more STEAM education which emphasizes creativity and an interdisciplinary approach through project-based learning. In addition, in 2015 Shanghai Government has modified the criteria for university entrance exams towards ‘a comprehensive quality evaluation system’ in four major areas of (1) moral development and civic responsibility, (2) academic achievements, (3) physical, mental health, and artistic quality, and (4) innovative spirit and ability to make achievements. Of these, the fourth part focuses on records of students’ participation in research or social survey activities, scientific and technological innovation activities (Shanghai Municipal Government 2015). The same criteria are also being applied to the high school entrance exams for students graduating middle school. Such development has already heightened interests among the parents of middle school and high school students to participate in PBL projects and competitions in STEAM-related areas in contrast to the times before when parents of high school students would be reluctant to let students spend time in any extracurricular activity other than preparation for customary paper-and-pen types of exams. This would be a good market opportunity for all the startups in STEAM education but it also means more fierce competition in the field of STEAM education.

6.5.2 Competition The Chinese educational market has been dominated by national giants that operate afterschool tuition centers that revise school subjects to help students get higher scores in school and national exams. They typically offer offline classes, 1-on-1 tuitions, and online classes and have branches all over China. Some of these have branched into STEAM education. In addition, there are smaller companies in STEAM education with a national or even global presence. We will discuss seven examples (see Table 6.4) of them in this section. Of the companies in Table 6.4, Xue-Er-Si is reported as the number two in China’s largest private afterschool educational institutions in 2019 (Tencent News 2019). Apart from the exam-oriented classes of mathematics and science courses, Xue-ErSi provides coding classes teaching Python, C++, and block-based programming for younger children. Notably, Xue-Er-Si’s coding program also includes two different

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Table 6.4 Seven education companies that offer STEAM education Company

Target market

Features

Location

Student age/grades

Xue-Er-Si (学而思)

National

K-12, Under-graduates

All school subjects, Programming

CodeMao (编程猫)

Shenzhen/National

K-12

Coding courses using apps, games, videos, and development boards (micro:bit)

XiaoMaWang (小码王)

Hangzhou/National K-12

Make Block (童心制物)

Shenzhen/Global

Age 4 +

Wide-range of products; Instructions through third-party partners

YuLeWan (寓乐湾)

Beijing/Global

Grades 1–9

Wide-range products Online instructions

Drosophila Academy (德 Beijing/ national 拉学院)

Age 4–12

Wide–range of science experiments/activities Offline labs and online videos

Only STEM (昂 立STEM)

Age 3–16

Wide-range of science experiments/activities Also include coding and AI education Mainly offline with online videos and games

Shanghai/National

Courses teaching Block-based programming and using multidisciplinary

Information contained in Table 6.4 is gathered from the official websites of the companies (as of May 2021): Xue-Er-Si: https://xueersi.com CodeMao: https://shequ.codemao.cn XiaoMaWang: https://world.xiaomawang.com/w/index MakeBlock: https://www.makeblock.com YuLeWan: https://www.yulewan.com/ Drosophila: http://www.drosophila.cn/ Only STEM: http://www.onlystem.com/pc/index

types of development boards. In July 2021, however, the central government of China introduced a policy to eliminate private for-profit tutoring centers. This was done in line with the ‘common prosperity’ policy aimed at eliminating the unfair advantage to wealthy families for better access to education. The fallout from this policy is that all private for-profit tutoring centers are prohibited from dealing with school subjects in the official curriculum (BBC News 2021). Private educational businesses are either forced to close down or turn into a vocational (or practical) education, while some NPOs are allowed to carry out the function under scrutiny by government officials.

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This is putting national giants such as Xue-Er-Si at high risk. It is not clear if XueEr-Si would continue to exist; however, smaller companies that deal with STEAM education have not been affected as yet. Codemao and XiaoMaWang are good examples of private companies focusing on coding education. Codemao offers coding courses online, using apps, games, videos, and development boards, which feature its programming education system and Matrix Computational-thinking Curriculum (MCC). XiaoMaWang, similarly, aims at cultivating children’s interest in coding and improving their imagination and thinking ability, and it offers offline courses which feature block-based programming. Two companies in Table 6.4, Make Block and YuLeWan, focus on developing and marketing a variety of products. They both produce programmable robots, science kits, 3-D printers, and drones designed for K-12 education. Their target market is not limited to China (Make Block products are available through Amazon). These companies operate similarly to LEGO and sell products directly to customers as well as through educational institutions that use their products to deliver STEAM education. Both of these companies, similar to LEGO, hold international competitions as a part of the promotional events. They pay, however, relatively less attention to educational content. YuLeWan provides online instructions through videos and live streaming, while Make Block works with third-party partners, mostly afterschool tuition centers, in various cities in China. The last two companies, Drosophila Academy and Only STEM, pay more attention to a wide range of practice-based STEAM classes, rather than ICT education. Drosophila Academy’s business model is based on specifically fitted labs to provide science activities for primary and middle school students covering chemistry, biology, physics, and engineering. It also includes coding courses using development boards and programmable robots developed by other companies. It currently operates 3 such labs directly and others in 15 cities of China through partners. Only STEM is a part of the larger Only Education Group, the earliest among comprehensive afterschool educational centers in China and placed at 6th in the 2019 ranking among private education companies (Tencent News 2019). Only STEM also provides a wide range of science experiments in chemistry, physics, biology, and so on. The main focus is activity-based (rather than project-based) courses to reinforce disciplinary learning through fun and engaging lab experiments. Yet it has recently branched into coding and AI education using games, video, programmable robots, and development boards.

6.6 Challenges for STEAM Education Startups It would be wise for startup companies to avoid direct competition with large national and international companies. This is particularly the case for product-oriented companies such as Company 3. There is a large room in the STEAM education service market for growth in China, but in the age of online commerce, producers of devices face competition from national and international giants with a large investment to

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develop, manufacture and market their products. Company 3 is avoiding such competition by putting more emphasis on the curriculum and well-trained instructors delivering educational classes through the B2B model. The other companies which are focused on educational service, however, also feel the need to emphasize a systematic curriculum and bring up the quality of instruction to match the key characteristics of STEAM education as a way of differentiating them from the competition. This is, however, not an easy task. The interdisciplinary nature of STEAM education requires both a comprehensive inclusion of subdisciplines as well as some depths in each discipline. In other words, a wider range of specialization paths is necessary for developing a systematic curriculum but this should not make any specialization paths completely self-contained into disciplinary boundaries, and students in any paths should have the opportunity for exploring a wider angle of approach. In addition, acquiring and training teachers for their growing business is expected to be challenging. Company 2 and 4 have a relatively small number of B2C customers who are taught in their own offices, and the curriculum development team is also involved in teaching. This also provides the startup with ready access to feedback from parents and observation to improve their program. Yet, both Company1 and Company 2 are facing difficulties in controlling the way their curriculum is delivered by their B2B partners and the problem will increase as they grow in business. One issue is finding teachers. As CGTN reports in 2019, people who are proficient in coding can earn more than three times the salary of teachers; and most of the current coding teachers have little experience in teaching children (CGTN 2019), not to mention teaching in project-based methods or interdisciplinary approach. Addressing these challenges will require much more resources beyond the capacity of small startups. Seeking commercial investment, however, is likely to result in changing its current vision and business model substantially to put profit first and may result in losing its differentiation from other competitors. In this regard, it is important to heed Prof. Muhammad Yunus’ advice on social business, in which he defines one characteristic of social business as a ‘non-loss, non-dividend company with a social objective’ (Yunus 2010). Building a quality STEAM education can be regarded as the ‘social objectives’ of these companies and the ‘non-dividend’ part of the equation enables a social business to focus on a social mission not being distracted by the single bottom line of profit generation. Yet for this to come true for startups, the investment environment in China has to embrace such modes as impact investment and patient capital. The continuing interest of the Chinese government and society in the area of science and technology innovation may result in more financial incentives for technology entrepreneurs in STEAM education and an increasing number of impact investors, and other funding opportunities for social enterprises might also give a suitable chance, but ultimately, this depends on the ability of the entrepreneur to find a balance and successfully claim its area of competitiveness.

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6.7 Conclusion This chapter has discussed the evolution of technology-based education startups as an entrepreneurial venture for the development of STEAM courses for K-12 students in Shanghai, China. We started with a summary of the key characteristics of STEAM education that makes it important for the twenty-first century and examined the key products and services of the startups against these characteristics. We then discussed the business side of these startups using the Business Model Canvas followed by an analysis of the business environment, including competitors, for such startups. We find that although the market of STEAM education is quite promising in China with rising demand and potential governmental support, the dilemma of scaling up or keeping core characteristics of STEAM to differentiate from competitors will be a critical challenge for new startups to sustain a profitable business while developing and delivering STEAM education to its full potential. To leap from an idea to a sustainable company with social impacts, aspiring STEAM education entrepreneurs will need to clarify further its marketing strategy and continue their efforts to provide an innovative ecosystem based on robust curriculum and technology. Acknowledgements The authors would like to thank Yiying Jiang and Xingyu Ming for their help in organizing the information in this chapter.

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Chapter 7

Sustainable Societal Development Through Holistic Education Programs Sankar Halder and Padmanava Sen

Abstract Mukti is a socio-economic organization, working in the domain of health, education, agriculture, livelihood, environment, rights, and disaster management, operating in Sundarbans, the largest delta, and a rural community in South Asia. Mukti surveyed different islands in 2005 with education rates as low as 20 percent and identified education as a possible game changer in the communities of Sundarbans in West Bengal state of India. Different educational and support programs covering elementary education to post-graduation levels have been developed for underprivileged students across rural communities, supplementing the existing educational system. To close the gaps between education and employability, vocational training and placement organizations have been established through the cooperation of volunteers from all over the world using digital platforms. Keywords Sustainable development · Education programs · Sundarbans · Education 4.0 · Support school

7.1 Introduction There has been much research on endangered (due to climatic vulnerability) regions of the world, such as the Amazon forests. It is essential to preserve them to save the world from ecological disasters. The largest such endangered region in the South Asia is Sundarbans that straddles across India and Bangladesh. The inhabitants of Sundarbans are subject to frequent natural calamities, such as cyclones and floods due to its proximity to the ferocious Bay of Bengal. Mukti, an NGO based in Kolkata, S. Halder (B) · P. Sen Mukti, Kolkata, West Bengal, India e-mail: [email protected] P. Sen e-mail: [email protected] P. Sen Research Group Leader, Barkhausen Institut, Dresden, Germany Director of Projects, Asha for Education, Walnut, USA © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_7

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India has been a pioneer in working for the integrated (livelihood, shelter, food, education, healthcare, etc.) and sustainable development of Sundarbans. This chapter presents the role of Mukti in helping the education of poor farming families in the Sundarbans using digital technology and social entrepreneurship (e.g., unsecured loans for women) schemes. The chapter is organized as follows. In Sect. 7.2, the societal challenges in Sundarbans will be discussed including educationrelated challenges. In Sect. 7.3, the approach taken up by Mukti as an organization to tackle these challenges will be covered. Section 7.4 will give further details of Mukti’s educational programs including an assessment of its impact. In Sect. 7.5, the setbacks of traditional approaches and the use of digital technology to bridge the societal gaps in the post-pandemic world are discussed. Section 7.6 will conclude this chapter by detailing a way forward. In the following section, the societal challenges along with the education-related issues and their inter-dependability will be discussed in the Sundarbans area of the state of West Bengal in India, the main site of Mukti’s projects.

7.2 Challenges of Sundarbans 7.2.1 Societal Challenges History of Sundarban Islands Sundarbans is the largest delta in the world. Over many centuries, the river Ganges has brought sediments (small particles) along the 2500 km route across India and Bangladesh to Bay of Bengal. Over the years, these sediments were deposited on the seabed and formed delta (islands). Gradually, the area got covered by natural salt-tolerant forest, called mangroves (Rudra 2018). The Indian portion of the delta starts around 50 km south of Kolkata and currently falls in the districts of North and South 24 Paraganas in the state of West Bengal. The rest of the Ganges Delta is in the south of Bangladesh. Centuries ago, during British times in India, people were sent to this area to settle. Kolkata was the economic center of British India during those times. Government initiatives have sent the socially marginalized communities away from Kolkata, primarily to expand agricultural lands and to obtain natural resources including seafood (e.g., fishes). In the initial stage after migration, people were mostly dependent on natural extraction for their livelihood. Gradually, the deforested lands become arable over the years with human intervention and the dependency on natural resources reduced with a new generation of farmers. However, with industrial progress across India, a portion of the population started migrating out of Sundarbans in search of better opportunities. As of 2021, around one-third of the population still depends on non-agricultural natural resources, one-third has migrated out of Sundarbans and the remaining population depends on agriculture for their livelihood.

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The Environmental and Ecological Challenges Due to global warming, the increasing seawater levels have added to the risks of the human inhabited islands, with some of their altitudes going below sea level. Further, local people have blocked small rivers/creeks/riverbeds to claim more lands. This disruption of natural high tide-low tide from blockages has raised relative water levels even more for the inhabited islands, creating additional flood risks. In addition to these two factors, the long-term extraction of natural products beyond a sustainable quantity has created an imbalance of natural resources leading to a livelihood and ecological crisis in the Sundarbans region. The Livelihood Challenges The livelihood challenges of the population living in the area can be summarized in the points below: • Agricultural issue—Since the area is surrounded by saline water, the harvests must be done using rainwater. As a result, a single crop per year during the rainy season is only possible. • Drinking water issue—The sweet water reserve under Sundarbans Islands is very limited. In multiple areas, the water reserve is also contaminated with saline water. Some islands closer to the sea have a sweet water access crisis. Few islands have better water reserves. The desperate need for livelihood to harvest multiple crops in a year has driven farmers to use groundwater for agriculture thus limiting already-constrained drinking water resources. • Housing issues—There is a dearth of stones and sand materials to build houses. That forced people to use local straws and soft clay materials. Thus, the houses are not built to withstand frequent cyclones from Bay of Bengal and high winds in monsoon season. • Healthcare issue—Since the residents of Sundarbans cannot afford to pay for health care, good hospitals are not available in the area. Also, due to remoteness and connectivity issues (to Kolkata), there is a lack of experienced doctors in the hospitals. There is less awareness about hygiene and other health factors. • Connectivity issue—Islands are disconnected from mainland, mostly surrounded by saline water rivers and creeks. The connectivity is not only affecting economic developments or industrial setups, but it is also becoming a bottleneck for healthcare access and educational progress. • Employability issue—Without any industrial development, lack of local job creations has forced the educated youths from the islands to migrate outside Sundarbans. • Frequency of disaster issue—The area is situated in a Cyclone prone coastal region at the Bay of Bengal. Yearly cyclones create drinking water, agricultural, and housing crises in the livelihood sector, eventually leading to more migration. • Digital inequality issue—Lack of internet connectivity and affordability have created large digital discrimination.

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Right-Based Challenges Due to the aforementioned livelihood challenges, human rights are repetitively violated in different sections of the society, namely, child rights and women rights. Due to financial constraints and lack of education/awareness, early marriages, domestic violence toward women, and trafficking for child labor have been rampant in the society. Due to remoteness, such incidents could not be stopped with the national laws and protection measures.

7.2.2 Education-Related Challenges The education-related challenges of the population living in Sundarbans can be summarized in the points below: Lack of Good Educational Infrastructure The number of schools is limited, and the teacher-student ratio is dismal in existing Government schools (below 1:50 in many cases). However, there are no private schools to compensate for that gap given the financial constraints of the existing population. For the same constraints, private tuition is not possible for students. There are also significant financial challenges for students to acquire educational materials. There is no computer Lab infrastructure in schools. This creates a digital learning and exposure gap for students in the following years and during their job search. In sparsely populated areas/islands, there are serious transportation challenges for students involving costs of boat crossing as well as river/jungle crossing to reach schools. After high school, higher education facilities are not available in the islands and migration is the only choice for higher education. That requires students to cover the additional costs of living. Also, the gaps created in early years of education are difficult to cope up with for most students while continuing education in the mainland. Poor Quality of Education Apart from the infrastructure deficiencies, there is a dearth of good quality teachers in public schools. Local Government policies are not in favor of deploying an adequate number of teachers. The local teachers have limitations especially in science and English. That also reduces the number of students taking up these subjects. Teachers from other areas in the district do not want to move or cannot commute due to transportation challenges in the area.

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Unfavorable Study Environment at Home Most of the students are first-generation learners. The parents cannot guide them or provide any at-home educational support to cover the quality of education gaps. The lack of electricity made studies after sunset impossible. Also, there is no culture of studying at home. Many students drop out from school to help their parents after reaching teenage years. Early marriages of girls are also common to avoid societal pressure for parents. Job Placement Challenges for Educated Youth The area has a big gap between the young population and the number of new jobs available. Thus, education does not assure any local jobs leading to a lack of motivation to continue education among students. At the same time, there is a serious gap of skill empowerment matching the local economy, paralyzing the local developments. In recent times, there is a significant challenge with digital inequality as well. Lack of good mobile connectivity (e.g., 4G connection) and lack of exposure to new technologies inside/outside schools, have impacted local job growth as well.

7.2.3 Inter-Dependability of Education and Other Humanitarian Factors It is evident from the aforementioned societal and education-related challenges that they are interconnected to each other. The population of Sundarbans needs education to break the vicious cycle of poverty where the financial and infrastructural constraints of students are depriving them of good education and the skills needed to come out of poverty. While livelihood challenges are restricting growth of the economy in the area, the lack of good education and jobs in the area is limiting students to avail better opportunities outside Sundarbans and to bring prosperity to their families.

7.3 Mukti’s Approach to Solve the Challenges in Sundarbans In the following subsections, the HEALER approach of Mukti will be described. Also, it is mentioned why Mukti has considered education as a driving force to mitigate the challenges in different spheres of people’s lives in Sundarbans.

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7.3.1 Mukti’s Inception and the HEALER Approach Mukti’s Inception The organization Mukti was founded in the year 2003 by a young enthusiastic group of people for holistic development in every sphere of life. Mukti is a Bengali (local language) word that means liberation. Since inception, Mukti has worked toward the goal of socio-economic development with people from Sundarbans delta region of South 24 Parganas, West Bengal, India. Over time, programs are developed in six spheres, namely, health, education, agriculture, livelihood, environment, and rights. Mukti has focused on these programs for thirty island communities that are very prone to frequent climatic hazards. These natural disasters have made the communities socially and economically vulnerable. Apart from employees executing/running the programs, Mukti has many volunteers spread across India and outside India with the most being locals in Sundarbans, dedicated to bringing a change in the society. Mukti’s HEALER Concept Mukti has adopted a HEALER concept toward the societal challenges where H stands for health, E stands for education, A stands for agriculture, L stands for livelihood, E stands for environment & R stands for rights. MUKTI works as the HEALER in the communities, to heal and reduce the vulnerability of the people of last miles through its various projects under six focused programs as shown in Fig. 7.1. As shown in Fig. 7.1, along with the six key focus areas, the different programs run by Mukti are also mentioned. More details about the programs are available at (Mukti Programs) https://www.muktiweb.org/programs/.

Fig. 7.1 The key focus areas of Mukti as HEALER

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In Sen (2014), it is mentioned that only lack of income does not indicate poverty. Poverty also means lack of good health, quality education, access to water and sanitation, and access to the capital market for entrepreneurship (Sen 2014). Apart from the above, the United nation’s sustainable development goals (UNSDG) include environmental aspects for every development initiative (United Nations Sustainable Development Goals). Banerjee and Duflo (2007) and Banerjee et al. (2015) have proposed custom holistic solutions covering health, livelihood, and education to solve the socio-economic challenges.

7.3.2 Mukti’s Social Entrepreneurship for Programs/Organizational Sustainability Even though most programs start with individual/organizational donations, Mukti’s programs are not planned to sustain with only charitable donations, rather with social entrepreneurship. Any social entrepreneurship model relies upon socially motivated people and social capital. Mukti designed Mukti Community Development Fund (MCDF) where socially motivated people can invest without expectations of dividend or interest, but the capital is guaranteed to be refunded. Mukti uses those capitals into various social entrepreneurship platforms and community businesses to make programs sustainable and to regenerate capital for future projects. Mukti is supported by many socially motivated people to make such programs succeed. Thus, Mukti programs are not only designed to be sustainable from environment aspect and aligned with UNSDG but also sustainable from funding/economical aspect with scalability in mind. Usually, any charitable work starts with fundraising and ends in operations. However, each Mukti program activities start with funds raised from external organizations and local donations, but it goes beyond operations. These raised funds are used for operations, and these operations are designed to generate funds after an initial period. The generated funds go back to sustain the program activities, thus reducing the dependency on external funds. Mukti’s most of the program allocation with Community businesses which raise/generate funds that get reinvested into programs to make it sustainable and reduce dependency on external funding. The Mukti community businesses are shown in Fig. 7.2, aligned with the focus areas of development with sustainable approach taken by Mukti (as of 2021). Mukti Community Business Model (MCBM) is an initiative to create community motivated social worker cum businessmen, who will create job opportunity, protect, and promote small entrepreneurs, take care of consumers’ health and interest before personal profit. Major part of the profit out of this business will be dedicated to the benefit of society. The main guiding principles are as follows: • MCBM will focus to create more community entrepreneurs who can take over and run such business with community of cause and interest. • This type of business will focus on maximization of direct or indirect job creation among locals.

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Fig. 7.2 Mukti community businesses

• Consumers interest like on-time delivery with right and affordable price, healthy products, or services should be priorities.

7.3.3 Mukti’s Focus Areas The six key focus areas aligned with HEALER concepts are described in brief below. Health, water, and sanitation—As mentioned in the livelihood challenges (Sect. 7.2.1), there are several issues with drinking water scarcity, lack of good hospitals and primary healthcare centers (PHCs), connectivity to testing facilities and low awareness about health/hygiene among most of the population. To increase the hygiene awareness, Mukti has conducted several health camps. Apart from them, large-scale health screening and awareness camps are arranged on a regular basis. Modern tools and IT are also currently being used in addition to tele-consultation with doctors in Kolkata. Till December 2021, Mukti helped build 20,000 toilets, organized 800+ health camps treating more than 90,000 people so far. Also, 165 health awareness camps are organized. Being a cyclone prone area, special health support and drinking water support are given during cyclone relief/rehabilitation activities. To make the above program sustainable, Mukti is incubating Hellobeta (Hello beta Platform) (http://www.hellobeta.in), a community health initiative for old-age care and low-cost medical facilities for poor. This program generates funds that are reinvested for health care facility expansion. Mukti Beverage is aimed to provide clear drinking water at much lower costs than other available options so that it is

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affordable for financially constrained communities. The low cost is achieved with zero profit principles and local water plant installation. Education and Empowerment—To solve the education-related challenges outlined in Sect. 7.2.2, namely, issues with quality of education, infrastructures, at-home support, and skill training, Mukti has started to support schools using existing infrastructures of school buildings or repurposing some of the other Mukti centers. Also, different programs including special focus on science and English, regular teacher training are outlined. To cover gaps in educational materials, Mukti Book Bank project was started. To stop dropouts and continuation of education after schools, a talented student scholarship (TSS) program has been started. To fill the gaps of skills, Mukti Institute of Technology was formed. More details and impacts of these programs will be given in Sect. 7.4. Mukti Education program sustainability is multi-fold. Mukti Institute of Technology promotes technology-based vocational job training on cost-to-cost basis. Talented student Sponsorship maps with sponsors directly and motivates student to return and sponsor juniors. This pay-it-forward principle is already happening in this program, successfully. Agricultural Reform—Due to the higher salinity of the land, traditional cultivation is difficult. To improve economic development, Mukti is using award-winning climate-resilient organic/sustainable agriculture practices in the islands to take care of the biodiversity and natural resources with 8000 farmers. This way, the land was made more fertile while assuring lower cost of production and the health of farmers. Mukti does not only train farmers for organic farming in saline lands but has already created procurement and sale channels called Mukti Fresh (Mukti Fresh Platform) in the community business model. The profits made in Mukti Fresh goes back to training farmers. Livelihood and Economic Security—To solve livelihood challenges, namely, migration due to limited job opportunities, exploitation by moneylenders, single crop cultivation, and low land per capita as well as to address the women rights issues, Mukti has focused on women empowerment thus creating economic security among families, traditionally with single breadwinner. Mukti has designed the Mukti Community Development Fund (MCDF) program in an interest-free microloan/micro-saving approach by creation of a small group with 10–15 women as Self-Help-Group (SHG). With that, social investors contribute to generate funds with initial administrative support from Mukti to stabilize a group. The autonomously elected body of SHG takes care of the management & execution of the group. Mukti also provides free training to equip them for new business. Till December 2021, 2415 groups are formed with 30,000 registered SHG members with 26 MCDF branches. Till 2021, 107 Social Investors came forward and invested in this program with 100% loan recovery. Around 10,000 women have taken loans and out of them, 7000 could run their business successfully. Also, 3000 women have been given capacity building training, namely, incense stick making, food processing, soft toy making, exotic bird breeding, etc. Multiple community businesses came out of these initiatives. Community business Mukti crafts (Mukti Crafts Platform) is selling handicrafts made by women, and the raised fund is used for their training.

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Environment and Disaster Response—Being a cyclone prone area, Mukti has always led the relief and rehabilitations in Sundarbans alongside Government relief efforts in recent years. That includes distribution of dry food packets and drinking water, arrangements of temporary shelters, and health support as needed. However, to combat the impact of climate change in a sensitive river delta ecosystem, Mukti has also started coconut and mangrove plantations to utilize the barren lands and to reduce the soil erosion. The women of self-help groups are also engaged in raising coconut plants in riverside and barren land. Since 2008, with Mukti’s initiatives, 150,000 coconut trees have been planted with 40,000 of them giving fruits in 2021. In this way, SHG women are also getting Rs 500 support per year for each coconut tree which they are cultivating on barren land. Mukti has also promoted large-scale plantation of fruits and flowers in the villages for beautification and to protect soil erosion. Setting up a separate food and flower nursery, Mukti volunteers have planted more than 2.5 million plants so far. Large number of micro nursery and plants are being grown and they are sold using the community business initiative called http://www.muktigreen.in Mukti Green Platform. The funds raised by selling seedling, plants, flowers go back to development of more micro nurseries and SHGs. Rights and Awareness—To stop corruption and exploitation of underprivileged sections, especially women, Mukti has done several camps to create awareness of basic rights and the Right-to-Information (RTI) act of Govt. of India. Working with 10 blocks, around 164 Civil Body Organizations (CBO) are trained on RTI Act, General Law, and Government Schemes. MUKTI RTI team creates RTI leaflets, books, and application formats for distribution to common people to create awareness and to enable case filings. Mukti has several success stories where MUKTI RTI team helped people to get their pension, ration card, BPL card, and even helped to claim justice in a job selection process. Mukti Voice is another initiative to improve rights of women and child. To preserve the sustainable community development values using the HEALER concept, Mukti has chosen Purba Sridharpur village of Mathurapur-II block in Sundarbans to build as a model village. This village is situated in the interiors of south 24 Parganas district, thus making it the victim of more vulnerable corrupt practices and devoid of many basic facilities like transport, education, health and hygiene, livelihood, etc. Mukti is designing the village’s internal economy and infrastructure with good education facilities, better livelihood opportunities for the villagers and good medical services. With correct utilization of natural resources, education, and skill training, Mukti aims to create livelihood for generations while their women empowerment program will reduce domestic violence and human trafficking cases in the area. The living standard of the community will increase which will lead to a better education for the children. The model village planning started in 2019/2020 and partially implemented in 2020. The societal impact of Mukti programs in these six focus areas are captured in Fig. 7.3 in a quantitative fashion.

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Fig. 7.3 The impact on society from Mukti programs (till December 2021)

7.3.4 Education as a Driving Force The role of education as a key enabler for holistic development has been established globally. We can take reference from one of the Indian states, Kerala. Kerala adopted education as a primary tool and made significant progress in sustainable development including health and livelihood The literacy rate in Kerala jumped from 47.2% in 1951 to 94.6% in 2011 (Historical literacy rate of Kerala State of India). As a result, Kerala has not only the highest literacy rate, but also it has the best human development index, best healthcare facilities and 2nd lowest hunger index among the Indian states (Sub-national HDI—Area Database—Global Data Lab 2018; Menon et al. 2008; Healthy States Progressive India 2019). Also, Kerala has been ranked number 1 in achieving UN sustainable development goals among Indian states (SDG India Index 2020). Summarizing the Kerala development model, (McKibben 2007) has mentioned Kerala as an anomaly among developing nations. Even though the per capita annual income is much lower than many developed nations, its child mortality rates, overall health conditions, and life expectancy are at par with the developed nations. Even though Mukti is engaged with holistic community development with six focus areas, education has been identified as the key driving force for change. The role of education is not only to train the next generation, but to break the cycle of poverty and exploitation, and to solve the existing livelihood challenges with a right-based approach. Also, it is no secret that investment in education has produced positive results in most countries across the world.

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Sustainable development must happen from within, and self-development is only possible with good education and training. Educated people can be the change and can own the change, at the same time. All other improvements and changes may depend on external factors that are mostly out of individual controls like political principles, worldwide economic situations, global climate change etc. However, resilience to such changes is possible through quality education. Aligned with the HEALER concept of Mukti’s engagement with Sundarbans community, education, being one of the six components, has significant impact on the other five factors, summarized below: • Health—Learning about basic hygiene and prevention against contagious diseases are part of education. The choice of foods for nutrition, the importance of safe drinking water, and effective usage of sanitation are part of quality education. • Education—An educated generation can pay it forward to the next generation improving educational infrastructure, becoming good teachers, and providing athome support to students of the future. • Agriculture—Awareness and Knowledge about government policies are of paramount importance in agriculture. Also, for sustainable agriculture, it is important to educate people about the adverse effects of chemical-based practices (e.g., fertilizers, pesticides) and to promote organic farming practices for sustainability. • Livelihood—Women empowerment through entrepreneurship development and skill-based training can only happen through awareness and skill education. • Environment—The role of education is to make people aware of climate change and its adverse effects on Sundarbans ecology. At the same time, the importance of beautification of rural landscapes, and the use of mangroves to protect coastal areas can only be explained with pertinent knowledge transfer. • Rights—Educated population will be aware of human rights, child rights, forest rights, and at the same time, will know about the India Government policies/Acts, namely, ‘right to education’ (RTE) and ‘right to information’ (RTI). Mukti is bringing in the changes across all spheres with their educational programs as catalysts and all six components of HEALER are interconnected with a good quality education including value education. More details are given in the following section.

7.4 Holistic Educational Programs for Societal Developments In the following subsections, the history, and different aspects of Mukti’s educational programs will be briefly described. A brief assessment of the success of these programs will be mentioned as well.

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7.4.1 Mukti’s Survey in 2005 In 2005, for a contextual survey, Mukti Members considered Jatar Dwip Sundarbans Island of around 30 thousand population, surrounded by creeks. The island was disconnected from the mainland, lacked good school infrastructure, good teachers and it had connection as well as communication challenges with muddy roads. The livelihood of the population depended on one time rainwater agriculture, catching fish and crabs, cutting woods, and collecting honey. The survey showed around 20 pct literacy rate (who can read/write) and the following issues are grossly observed that may have caused the low literacy rate • • • •

100 pct students depended on Government education facilities; Teacher student ratio was very bad; in many schools, as low as 1:100; Quality of teaching and teachers were below par; Dropping out after Class 7 was a big issue. Most students drop out between Class 7 to Class 12 due to multiple factors, given below – The books were not given for free, and the prices increased after class 7. – No schools were available locally after Class 10 forcing students to move closer to Kolkata for higher education. That demanded additional costs. However, after class 10 completion, parents used to expect boys to start earning at that age and educational costs had an additional financial impact on the family. For the same financial reasons, girls were forced to drop out. (Double negative impact from family economic reasons). – Early marriage of adolescent girls and girl trafficking were rampant. – Trafficking of adolescent boys for child labor, and organ trades were also common.

The problems covered in Sect. 7.2.2 were also prevalent and more severe in those times. As the Indian Government’s Right to Education Act (enacted in 2009) was not in force, there were no basic rights to education either. After conducting the survey, in the early days of Mukti, the members decided to focus primarily on solving the education-related challenges as a driving force to bring required socio-economic and humanitarian changes in the Sundarbans. When the society has several challenges that are coupled together, history has taught that the society could come out of dark times with the help of education and knowledge. This realization has helped Mukti Board to start considering education as the first priority among the six sectors they planned to tackle (HEALER). Also considering the role of education in their own lives as the main empowering factor, choosing education as the first driving force to change Sundarbans situation was acceptable to everyone. Also, considered was the Kerala model of development in India when different states were compared and progress in states with higher literacy rates were verified from statistical data.

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7.4.2 Mukti’s Solutions Programs for Students in Pre-Primary, Primary, and High School Mukti has designed and implemented three programs for students in primary and high schools—Kishalaya (primary), Mukti Support schools (primary and high school), and Book Bank (high school). These programs are aligned with UNSDG quality education target 4.1 and 4.2 (United Nations Sustainable Development goals) achieving complete free, equitable and quality pre-primary, primary and secondary education for all girls and boys by 2030. Kishalaya is a support system for first-generation learners in small groups to eliminate the gaps created in early years of education. It primarily employs women as support teachers for pre-primary and primary school going students. It is a new program started in 2020 during the school closure caused by COVID-19 pandemic. Mukti support school (MSS) is intended to address the challenges of poor school infrastructure in remote Sundarbans. With this program, low-cost bridge tuition support is given to fill the gaps of learning in Government schools. Also, special support is given in specific subjects where students usually fall behind due to bad teacher–student ratio like Math. With the help of teacher training, the quality of teaching is also improved. The impact in every section of the society for this program is captured in Fig. 7.4. The program is designed to benefit the school system, students, parents, and unemployed youth thus impacting the society long term. Mukti Book Bank is set up to solve the financial challenges endured by families to buy books and other supplementary educational materials. Also, the books supplied by schools are not sufficient to meet the current requirements of the students. To solve these two problems, Mukti has created a collection of textbooks ranging from standard V to master’s degree. Books are given to the students as a loan for a year. Books are distributed and collected back through the teachers and volunteers of a

Fig. 7.4 The benefits of Mukti Support School (MSS) program

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particular region. A committee of selected teachers and volunteers decides the student list and any need for additional books for a particular year. All financially challenged students having limited or no access to textbooks are covered under this program. Program for Higher Education Talented student sponsorship (TSS) program was designed to solve the problems of school dropouts due to financial constraints of studying in nearby towns and Kolkata metro, gender-biased societal norms, and transportation challenges. Since there are very few colleges in the vicinity, there are additional accommodation costs to cover as residential students or living in a hostel while studying in Kolkata. In this program, Mukti appeals to volunteers to sponsor students in different categories. The students are divided into different categories like Arts, Science, Engineering, Medicine, etc. and the sponsorship amount is determined accordingly. The program includes a thoughtful selection process to identify talented but needy students. Regular touch-point meetings between sponsors and students are arranged so that sponsors can motivate students. Also, to inculcate the social contribution practice among students, yearly 100 h of social work is mandatory for students supported in this program. This program is aligned with UNSDG quality education target 4.3 (United Nations Sustainable Development goals) providing equal access for women and men to affordable and quality technical, vocational, and tertiary education, including university. Program for Post-Education Training and Employment Readiness Sample Survey 2016 in villages of Nagendrapur and Kankandighi revealed that there were around 7,000 educated unemployed youth in the region. To help those youth population, Mukti started Mukti Institute of Technology (MIT) in Raidighi and Nagendrapur to combat this issue. One of the primary causes of dropout has been identified as the demotivating fact that education degrees do not assure any local jobs in Sundarbans. MIT is set up to understand the local job market first, and then, to bridge the gap of availability with training. In recent years, the new generation from rural Sundarbans is getting education degrees but not able to compete with privileged classes given the limited number of jobs available. At the same time, the educated young generation are not willing to go back to work in the field and take up professions like farming, fishing, etc. This is making many youths depressed and unmotivated to search for jobs after a few years of struggles. Since formal education does not train students with actual skill sets needed for local development, training modules catering to local needs and communication skill developments are formulated. Also, computer training is extensively used to mitigate the digital inequality created from connectivity issues as outlined in Sect. 7.2.2. The MIT initiative is designed to create opportunities for alternate professions for the young generation from the village by giving them vocational training. Also, soft skills and spoken English trainings are given to prepare them for interviews. A survey was conducted to identify possible areas for training. Following that, Computer Training, Electrical work, and Driving are found to be the need of the hour. Mukti Institute of Technology built the computer training Facility as a first step. A provision

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for electrical work has been kept for future growth and expansion. To connect the trained and groomed youth to the job market, an employment exchange has been set up as well. These programs are aligned with UNSDG quality education target 4.4 (United Nations Sustainable Development goals) providing relevant skill sets including technical and vocational training for employment and entrepreneurship.

7.4.3 The Impact and Success Assessment of Educational Programs The impact and assessment of success for 4 main educational programs (MSS, Book Bank, TSS, MIT) will be described below. MSS (Mukti Support School) As of December 2021, Mukti is running 24 support schools or coaching centers serving more than 2500 students yearly totaling 21,000 since starting the program in 2005. The boys’ and girls’ student distribution are 48:52. These centers also created jobs locally as around 125 teachers got a part time job in these support schools. The school dropout rate reduced drastically as the students started getting support in their daily studies. Every year, special coaching with experienced teachers from Kolkata is given as an educational camp to train students for the important Class 10 board exam. Also, parents are made aware of the progress of their children and are constantly encouraged to put more focus on education and continuation of the education of their children. Also, as a result of this program, dropouts have been reduced significantly. The number of students appearing in class 10 exams has increased three-fold. Mukti has done a survey after 10 years of running this program and a comparison of results in their government schools has been made between students attending MSS and not attending MSS. It was found that students attending Mukti support school are twice as likely to get marks above 45%, i.e., 63% students who attend MSS got above 45% whereas 31–36% students who do not attend MSS got above 45% marks in their school exams. Results from two schools are collected for students not attending Mukti support schools (Hemantakumari high school and Jogendrapur high school). Book Bank Around 5000 students from 19 schools receive textbooks from Mukti each year. Since its inception, 60,000+ students so far have benefited from this program. It was started with one school in a small village in Sundarbans and now it has the reach to the remotest part of Sundarbans. The school dropout reduced significantly as books became free for all financially challenged students. As more students came forward this led to an improved literacy rate in this area. Local schoolteachers and some volunteers impulsively came forward to support this initiative and made it a success.

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Talented Student Sponsorship (TSS) In this program, sponsors are continuing long-term uninterrupted sponsorship for 150 students per year with a total count of 2000 students since inception. Students are getting jobs in multiple private and public sectors featuring great success of the program. With regular status updates from the TSS team and the meeting with their sponsored students, the sponsors found it a very effective and value-adding sustainable model. The very nature of the program is to bring good humane value with the mind-set of giving back to society. More than 80% of students who got higher education with the help of TSS were established with good, intended jobs. They became teachers, doctors, engineers, and other jobs they wished for. They are also paying it forward by helping new TSS students and managing the program. Mukti Institute of Technology/Employment Exchange Mukti has started the institute with a computer training program targeted for 300 students yearly in 2017. Since the first session of 64 students, the number has increased to 90 students in 2020–2021 with a total count above 300 since inception. To encourage students, Mukti has initially offered a free course for beginners and received a great response. The target is to make this training center a sustainable model, which can bring job facilities to the educated young generation of Sundarbans. After a follow up survey in 2018 about effectiveness of the program, employment exchange was formed in 2019 bridging the training given with companies. In 2021, a total of 167 got jobs out of the employment exchange including 51 female candidates.

7.5 Digital Technology to Bridge the Education Gaps The use of digital technology in education has been a matter of debate since the 2000s as explained in this 2009 article (Underwood 2009). However, there is no second opinion on its role in next generation learning (White Paper, Bill & Melinda Gates Foundation). During the 2020 COVID-19 pandemic and to prepare for the postpandemic world, use of digital technology has become significantly more important than the pre-pandemic world (Crawford et al. 2020). However, it has created many new challenges for underprivileged sections without digital devices and the connectivity in remote areas. Mukti has used technology to recover from the setbacks of traditional approaches of education. The following subsections will cover the vision of Mukti in this aspect and provide Mukti Academy (introduced in 2021) as a use case. The proposed use of technology is termed as Education 4.0 and the concepts are envisioned before pandemic to fill the gaps of traditional educational systems/approaches.

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7.5.1 Limitations of Traditional Approaches The traditional educational approaches have several limitations, namely, • It does not account for differences in human beings. The current system is not customizable to address the needs of each and every one in our society. • In India, quality of education is compromised in the biggest school system—the government education due to poor teacher to student ratio and infrastructural deficiencies to provide modern educational tools. Even with the Right-to-Education Act 2009 coming into force, these problems remain. • Good institutes with international standards are very limited in number, difficult to get into and expensive. As a result, only elites in certain localities can access and afford it. • The non-flexible nature of the curriculum and courses is limiting the potential of every individual—teachers and students! • The division of students into classes is age-based as a result dropouts are not welcome on a regular basis after losing a few years in between.

7.5.2 Education 4.0 and Future of Educational Support Concept Education 4.0 Proposed education 4.0 will solve the above problems without overloading the existing infrastructure. It will enable the potential of every individual in the society. For any education we need mostly 5 essential components—(1) courses designed and based on the requirements of any individual, (2) study materials, (3) teacher lectures, (4) question-answer sessions with teachers, and (5) evaluation checkpoints. A guide will oversee the whole process of learning and will take decisions regarding the implementation. This model should be strengthened with continuous interaction between parents, guide, and students. The customization will include the job market needs in the societal context as well as the holistic development of the child. The process should evaluate the logical skills and other aptitudes apart from their academic strength. Mukti’s approach to Education 4.0 will cover these 5 essential Components by the following instruments: 1. 2.

3.

Tailored courses: Expert Educationist (guide/mentor) will work with each student to guide and design the course after an initial assessment. Study materials: Digital study materials (passive and interactive both) would be available over mobile devices. Interactive materials will be used for initial assessment. At the same time, the feedback from previous mentors and parents will be collected to decide the lesson plans. Teacher lectures: Eligible teachers will record their classes in the studio and these recordings will be available over the internet in various languages. For the same

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topic, there will be an organized series of lectures considering students’ needs. These lectures will not only be based on the concepts but will also consider the societal background of the students so that the students can connect to the content. The guide should plan these lectures based on the student assessment results/log history from interactive study materials. QA sessions: Common QA videos will be created based on initial interactions between students and teachers. However, support teachers will be available over the internet for QA sessions. The timing of these sessions will be decided based on the availability of students and support teachers. The support teachers should be aware of the lectures shown to the students and the assessment results. There will be an effort to accommodate few sessions between the teacher (who recorded the video) and the students following that video. Support teachers should report to the guide if they see any major issue in the learning process of a specific student. Checkpoints: Subject wise checkpoints will be available over the year with proper security and quality control. This will assure better retention of study materials and revisions at regular intervals.

In today’s technology-enabled world it is very much possible to provide tailored courses for every individual and support them with teachers, materials, and exam systems as long as there is a device that the child has access to and there is infrastructure to support the concept. The underlying assumption of long-distance coaching and analysis lies heavily on the willingness of the student to learn without supervision. However, even a model with distance learning and local supervision is less resource intensive. Online course libraries are already extensively in use. As an example, Carnegie Mellon University’s Open Learning Initiative (Open Learning Initiative) (OLI http://www.oli.web.cmu.edu/openlearning/index.php) offers a range of webbased courses across the world for free. University level courses are available for free in India using the NPTEL platform (NPTEL Academic Platform) (http://www. nptel.ac.in). This educational methodology can be applied to the education of higher-class students without any need of infrastructure or in person involvement of the mentor. However, it has limitations at pre-primary and primary levels where the role of education is more than imparting academic concepts. For elementary levels, there is a requirement of infrastructure where the mentor will be a localite for the group of students, and the role of the mentor will be that of a facilitator overseeing this process in a permanent infrastructure. Why Education 4.0? The author considered the previous versions given below: Education 1.0: Knowledge transfer through permanent medium. Education 2.0: Permanent structure and schedule for that knowledge transfer. Education 3.0: Partial customization and institutionalization of education 2.0.

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4 Features of Education 4.0 1.

2.

3.

4.

Customization for every individual—As every human being is different and their purpose of life is not the same therefore education to enable each of us need to be customized or tailored course. Expert educationists will work with each student to create customized courses. But the course structure should be compliant to a set of educational guidelines set by an established educational body. Any time anywhere—This methodology is not limited by fixed time schedules and location constraints since there is no specific school or class timing. Only QA sessions will be scheduled multiple times on the same topic where students are flexible to attend as per their convenience. (The limitations of this structure in lower classes can be addressed with a permanent setup or home schooling with parents’ supervision) Any age—As education should not have any age bar, this system will work for anybody of any age. The online teaching process will avoid any social barriers for the elderly attending schools. Flexible timing will help the working class with more time constraints. Also, the person will learn based on their own interest and need of the current profession. Horizontal Institute—It is a virtual Horizontal Institute where students can be from any part of the world. There will not be any traditional (vertical) institution like the building of campus concept. It will be fully on cloud.

4 Enablers to Implement This Concept 1.

2. 3. 4.

Artificial Intelligent (AI)—Like an expert educationist, Artificial Intelligence, Machine learning, and deep learning will be used, Bots will guide students on continuous process based on learning data of any individuals. On Cloud—IT cloud infrastructure will be used to set up this virtual horizontal institute. Automation—Tracking courses and students’ progress, coordination and scheduling, enablement, reporting monitoring would be mostly automated. Expert guidance—The role of the human mentor is crucial in the decisionmaking process. Progress of any individual will be guided constantly.

7.5.3 Technology Entrepreneurship to Promote Education 4.0—Mukti Academy As a use case, the ideologies of Education 4.0 are implemented in Mukti Academy to cover the wide gap created between rural and urban students due to COVID-19 pandemic. Education is one of the major pandemic-affected sectors, and the students became victims of the digital divide. To help the underprivileged children of the backward region, Mukti launched a free learning platform called Mukti Academy (Mukti Academy Platform) (https://www.muktiacademy.in/), for students to learn

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more through digital media. This website consists of various study videos from class V to X in Bengali and English medium. Under Mukti Academy portal, one can register themselves either as a student or as a teacher. There is also a provision of asking questions from the Teachers. The available language options for students and Teachers are Hindi, English, and Bengali. The portal includes all the essential content from WBBSE Board from class V to X and subjects like Life Science, Physical science, our Environment, Geography, History, Math, Bengali, English, and Science. One can select the language and follow the class wise content as per the need and requirements. Different lesson wise videos consisting of Q & A, lecture modules are also posted under each subject. The downloading option is also available for the students. The Mukti Academy platform is designed considering building blocks of Education 4.0 concept. The platform incorporates AI, Cloud, and other digital technologies to enable a socially sustainable way of running the program. Multiple modules with paid versions generate funds that can support development of new modules, and to provide low-cost/free access to a section of students with financial constraints.

7.6 The Way Forward—A Light of Hope A chain reaction has been created using education as a driving force since Mukti’s inception. As of 2021, nearly 100% of students are going to school in the areas where Mukti works. The culture of study at home has changed. Internet connectivity is getting gradually better, and the digital methods of learning have enabled better quality of education against the transportation/connectivity challenges. The number of school dropouts has significantly reduced with most local students going for higher studies. Not only that, but unemployed local youths are also receiving professional training and with that, new jobs as well as local entrepreneurs are being created. At the same time, local micro-businesses with women entrepreneurs have generated additional income for the families. Agricultural yield has also increased from the existing arable lands with lower costs for adapting organic practices and producing organic fertilizers/pesticides. The agricultural products are reaching consumers in and around Kolkata with better supply chain management, thus generating better income for the farmers. All the above initiatives have reduced the dependency on natural resources. Once a certain level of stability is achieved in the livelihood sector, value education has been of paramount importance for Mukti to mobilize the changes and to bring holistic human development. Educational and other societal challenges are interrelated like the Hen and Egg relationship. To break the vicious cycle, somewhere we have to start. Mukti believed in starting from education and it has proven to be the right choice. By educating people, Mukti is bringing positive changes in every sphere of the society.

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References Banerjee AV, Duflo E (2007) The economic lives of the poor. J Econ Perspect 21(1):141–168 Banerjee A, Duflo E, Goldberg N, Karlan D, Osei R, Parienté W, Shapiro J, Thuysbaert B, Udry C (2015) A multifaceted program causes lasting progress for the very poor: evidence from six countries. Science 348(6236) Crawford J, Butler-Henderson K, Rudolph J, Malkawi B, Glowatz M, Burton R, Magni P, Lam S (2020) COVID-19: 20 countries’ higher education intra-period digital pedagogy responses. J Appl Learn Teach 3(1):1–20 Hello beta Platform. https://www.hellobeta.in/ Historical literacy rate of Kerala State of India. https://www.ceicdata.com/en/india/literacy-rate/lit eracy-rate-kerala McKibben B (2007) Hope, human and wild: true stories of living lightly on the earth. Milkweed Editions Menon P, Deolalikar A, Bhaskar A (2008) Comparisons of hunger across states: India state hunger index. Intl Food Policy Res Inst Mukti Academy Platform. https://www.muktiacademy.in/ Mukti Crafts Platform. https://www.mukticrafts.in/ Mukti Fresh Platform. https://www.muktifresh.in/ Mukti Green Platform. https://www.muktigreen.in/ Mukti Programs. https://muktiweb.org/programs/ Niti Ayog Report—Indian Ministry of Health and Family Welfare (2019). Healthy States Progressive India NPTEL Academic Platform. https://www.nptel.ac.in/ Open Learning Initiative. http://www.oli.web.cmu.edu/openlearning/index.php Rudra K (2018) Rivers of the Ganga-Brahmaputra-Meghna delta: a fluvial account of Bengal (Geography of the Physical Environment) SDG India Index (2020). https://www.sdgindiaindex.niti.gov.in/#/ranking Sen A (2014) Development as freedom (1999). The globalization and development reader: Perspectives on development and global change 525 Sub-national HDI—Area Databas—Global Data Lab (2018). http://www.hdi.globaldatalab.org. Accessed 24 Oct 2018 Underwood JDM (2009) The impact of digital technology: a review of the evidence of the impact of digital technologies on formal education United Nations Sustainable Development Goals. https://www.sdgs.un.org/goals United Nations Sustainable Development Goals. https://www.sdgs.un.org/goals/goal4, Quality Education White Paper, Bill & Melinda Gates Foundation, ‘Next Generation Learning’. https://docs.gatesfoun dation.org/documents/nextgenlearning.pdf

Chapter 8

The Role of Technology Entrepreneurship in Facilitating Corporate Donations: A Model for B2B Social e-Business Development Samsul Alam, Md. Rakibul Hoque, and Pradeep Ray Abstract With the accelerated pace of technological innovation, many local and international corporations have been entering into e-Marketplace, launching new business models, and constantly generating new ideas for serving the society. The rising labor costs of business necessitate the exploitation of the evolving e-Business technologies for the optimal utilization of corporate donations. Such technologies have transformed the B2B global marketing of products and services from developing countries, as seen from the success of the Alibaba group in China. The purpose of this study is to develop a B2B social e-Business (SeB) model and subsequent implementation of a digital platform to facilitate donations from donors to eligible recipients all over the world. A case study has been presented to illustrate the practical feasibility of the model. Keywords Business model · B2B e-Business · Technology entrepreneurship · Social e-Business · e-Marketplace

8.1 Introduction e-Business is undergoing an evolution to enhance customer participation and thus, contributes to economic value creation (Kurnia et al. 2015). It is rapidly transforming new business relationships, and it has enabled new markets and new marketing paradigms (Jarvenpaa and Todd 1997). For this transformation, corporations can now interact with each other and their stakeholders (e.g., beneficiaries/customers, S. Alam (B) Begum Rokeya University, Rangpur, Bangladesh e-mail: [email protected]; [email protected] Md. R. Hoque University of Dhaka, Dhaka, Bangladesh e-mail: [email protected] P. Ray University of Michigan-Shanghai Jiao Tong University Joint Institute, Minghang, China e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_8

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donors, employees, partners, competitors, and the government) more efficiently than ever before (Siebold 2021). B2B e-Business, commonly known as buy-side e-Business, occurs between corporate actors (Beynon-Davies 2007). It comprises a wide range of IT to support the entire value chain (Thatcher et al. 2006). While B2C e-Business gets the most media attention, B2B e-Business is the biggest revenue generator worldwide (Kurnia et al. 2015). The entry of e-Business giant Alibaba into B2B e-Business as technology entrepreneurship has accelerated the trend of B2B e-Business. More recently, significant growth of B2B e-Business has been observed in developing countries (Kurnia et al. 2015) due to the unbelievable rapid spread of the Internet, opening up new opportunities for businesses (Lawrence 2011). As a result, effective business model development in B2B e-Business corporations has become a significant field for research in recent years (Raisinghani 2005). There are many top-rated corporations running e-Business platforms worldwide that are for-profit in general. These corporations can contribute to society by sharing their e-Business capability with other stakeholders serving the underprivileged people. These non-profit social businesses (SBs) need e-Business platforms to help reduce administrative costs. From early evidence, it is seen that SeB can help corporations introduce market-based solutions to reduce poverty (Yunus and Weber 2009). As a result, SeB can directly support the underprivileged population. This platform may help connect donors of products/services with specific policies with their target population through non-governmental organizations (NGOs) and other charity-based organizations. The SeB can help corporations bring forward market-based solutions, which can reduce poverty and its consequences. For SeB, words like motivation, innovation, and reputation are emphasized. In most cases, large NGOs/donors are potential agents for implementing SeB as they can introduce social changes by partnering with other SBs. SeB can also unite communities and government agencies. It might be an outstanding achievement because SeB bring together multiple talents to fight against poverty. At the same time, a SeB can allow doing the job more efficiently and effectively. This innovation in SB needs to be radical. The target of this business is to gain social goals. Its involvement in the social e-Marketplace emphasizes the enhanced return on society’s well-being by attracting customers in its processes. The success or failure of the business is measured in terms of society’s well-being. The long-term sustainability of a SeB indicates that it is running as a SeB. From the above discussion, e-Business corporations, e.g., Alibaba can initiate and contribute to society through a B2B SeB model in a developing country, China. This study aims to develop a B2B SeB model for e-Business corporations and suggest effective strategies in an SB environment. Given the fact that Alibaba provides a very successful e-Business model based in a developing country and the ongoing interest of its proprietor in SeB, we choose this organization as a model organization. Again, we exemplify the SeB model through a case study. From the above discussion, the research question is how e-Business corporations (for example, Alibaba) can implement B2B SeB model to contribute to society.

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SeB has a profound impact on people, society, and the environment. The study has a noteworthy contribution to society as a whole; thus, the more significant portion of the population can be benefitted by removing the curse of poverty. Again, in the future, this new model can be used as a role model for other e-Business corporations to implement the B2B SeB model in their existing business arena. In this way, there can be massive development in e-Marketplace to play corporate social responsibility (CSR). Like other e-Business corporations that contribute to society, if e-Business corporations like Alibaba adopt this model, they will be facilitated by contributing to society in the form of CSR and, consequently, reap its fruits. Furthermore, future researchers in the field of SeB will get a roadmap to contribute further by following this study. The current study is organized as follows. Firstly, the introduction section discusses the suitability of the SeB, research objectives, and contributions. The following section discusses the study background. Then the study discusses the B2B SeB for technology entrepreneurs where conceptualization of SeB theory and its validation along with the impact of IT on society are highlighted. Afterward, methodology section is discussed. Then, the discussion on e-Business adoption in China is given in section five. This section begins with a discussion of e-Business phenomena in China. Since the adoption of e-Business in China shows promising trends through Alibaba business processes and similar corporations, we discuss the ins and outs of the Alibaba B2B e-Business model and its e-Business process benefits. Section six shows and discusses the proposed B2B SeB model in Alibaba followed by a case study on DONATAWAY mobile app development in section seven. The subsequent section describes the implementation of B2B SeB based on the Alibaba B2B SeB model. Finally, a conclusion is drawn with an insight into the study.

8.2 Background Many researchers have studied on SB model development. For example, Caccamo et al. (2014) propose a model for SB in producing low-cost hearing aids. Aziz and Mohamad (2016) conduct a conceptual study on Islamic SB and propose a framework for an efficient Islamic wealth sourcing system to alleviate the poverty and social inequality in health, education, and shelter. Again, Gauthier et al. (2020) develop an ideal typology of the SB model for tackling economic exclusion. Sabatier et al. (2017) conduct a case study on SB model development and its application in developing countries. Another study by Ashraf et al. (2018) develops an entrepreneurial SB model in Bangladesh. Siebold (2021) argues how social purpose organizations create, deliver, and capture value from crucial stakeholders and concludes that business model value innovation is an excellent option to provide the best social impact. Silva et al. (2021) study on international SB model innovation whereas Peláez et al. (2018), Peláez and Marcuello-Servós (2018) study e-Social work while Costa and Tavares (2012, 2014) study on SeB. In the previous studies, no attempt is found explicitly on SeB as an entrepreneurial model development for B2B SeB. Considering current

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market demand amidst the fourth industrial revolution (4IR), we propose a B2B SeB model, starting from the well-known Alibaba model. B2B e-Business such as Alibaba has changed business transactions between firms domestically and globally, providing extensive benefits to corporations (Bhowmik 2012). Alibaba, founded by Jack Ma in 1999 headquartered in Hangzhou, China, is a worldwide market-dominant corporation that primarily operates B2B e-Business (Alam et al. 2015; Wang and Lim 2011). Wang and Lim (2011) state that as a frontrunner in e-Trade, Alibaba creates a miracle in Chinese e-Marketplace. Table 8.1 illustrates the studies that focus on Alibaba and B2B e-Business. Table 8.1 Studies conducted on Alibaba and B2B e-Business References

Main theme

Method(s)

Findings

Zhang et al. (2021)

Artificial intelligence (AI) in e-Commerce fulfillment

The case study focusing on Alibaba’s smart warehouse in Tianjin, China

The capability of AI collaborates with the capability of the human being to generate new value more efficiently and effectively

Li et al. (2020)

China online small and Data analysis of medium-sized enterprize 159 SMEs of (SME) entrepreneurial Alibaba orientation in B2B marketplace

Online performance for SMEs entrepreneurship in the B2B marketplace has been impacted by proactiveness and competitive aggressiveness

Guercini and Runfola B2B Business model (2020)

– Multiple case study – Interview

Some key change drivers of business models for suppliers companies in the fashion industry are identified

Koponen and Rytsy (2020)

e-Commerce B2B chat functions

Case study analysis of 157 chat conversations between customers and sellers

The authors find varied B2B e-Commerce chat functions based on the customer sales representative relationship

Schmuck and Benke (2020)

Innovation strategies

Case study on Alibaba

Elaborate the factors and methods to consider in the company’s innovation process and discuss in detail Alibaba’s innovation plan to modify the manufacturing sector worldwide (continued)

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Table 8.1 (continued) References

Main theme

Method(s)

Findings

Cen and Li (2020)

Effects of network externalities

– Factor analysis using structural equation model (SEM) – Survey of 710 buyer

Perceived value, the satisfaction of users, and switching costs are the predictors of customer loyalty to B2B businesses defined by network externalities

Kang et al. (2020)

B2B marketing responses to corona crisis

General review

The corona outbreak affects the B2B corporations greatly and identified 9 B2B marketing strategies against the challenges

Leavy (2019)

Smart business

Interview

The advent of Alibaba has evolved and exemplified a new era of an Internet phenomenon known as ‘smart business’

Kwak et al. (2019)

Linking legitimacy building and platform acceptance

Case study on Alibaba

Alibaba is competent in creating legitimacy that assists in platform evolution, thus Alibaba appears as a de facto standard e-Business model

Cen et al. (2019)

Predicting trust relationship

Dyadic and triadic correlation patterns from Alibaba’s collected datasets

Alibaba’s Taobao e-Business platform has applied perceived relationship of trust and gained 2.75 percentage of growth in gross merchandise volume

Wu and Gereffi (2018)

Internet governance, business models, and internationalization strategies

Case study on Amazon and Alibaba

Digital multinational corporations Amazon and Alibaba pose challenges in their business models in the USA and China and also in Internet governance, and the authors suggest areas for future international strategies (continued)

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Table 8.1 (continued) References

Main theme

Method(s)

Findings

Hong (2017)

CSR of e-Commerce

Case study on Alibaba

Alibaba enhances its business model and strategy regularly for sustainability. Its CSR practice and ethics grow inside and outside of Alibaba group

Ye and Ma (2017)

e-Business model

General review

Along with nine e-Business models consisting of B2B, B2C, B2G, C2B, C2C, C2G, G2B, G2C, G2G, the authors add two new categories SoloMo and O2O

Tan and Ludwig (2016)

B2B e-Commerce adoption in China

Survey of 3000 companies

Along with intra-organizational and international factors, external, economic, and cultural factors affect adopting electronic data interchange (EDI) in China

Chong et al. (2011)

B2B critical success factors (CSFs) framework for Chinese SMEs

Factor analysis based on the online survey of 275 Chinese SMEs

CSFs of buyers relationship, global competition, supply chain facilities, IT infrastructure, top management support, information visibility, security and trust, and cultural consideration affect SMEs

Zhao et al. (2008)

Creating value strategy in Chinese B2B e-Market

Case study of Alibaba and China national commodity exchange center (CNCEC)

A model is developed based on a process-oriented approach. The result provides a mechanism for how to deal with processes of e-Commerce business’s dynamic structure

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8.3 B2B Social e-Business for Technology Entrepreneurs 8.3.1 Conceptualization of Social e-Business Theory According to Nobel Laureate Dr. Muhammad Yunus, an SB is a kind of capitalist business that seeks to serve the community by ensuring the most basic needs. It is based on two different motives. The first one is serving the community by creating and designing businesses for addressing the social problem. It is sometimes used interchangeably with SB or not-for-profit organizations. The second motive is to generate profits that can be reinvested into other SBs (Akter et al. 2019). According to Tykkyläinen and Ritala (2021), SB intends to form both social and financial value, demanding the formulation of business models that support both intentions to be attempted concurrently. It must be noted; however, that profit generation is not the primary objective. Such a business does not depend on the private or public sector grants as it is self-sustained, and business owners do not receive any dividend (Yunus and Weber 2009). The SB model, by its name, concentrates on a distinct enigma and target market. The SBs produce products/services and fix a definite price before commercialization (Akter et al. 2019; Ashraf et al. 2018). Many limitations bound up the traditional SB. For instance, the pandemic situation created by COVID-19 hampers this business. Likewise, borrowers’ structural social capital hampered their funding and repayment performance (Chen et al. 2016), affecting the SB model. Again, the existing donation process interrupts mass donation. The massive Internet adoption throughout society opens a new dimension for solving the problem. Advanced IT has brought about highly convenient, unlimited online purchase opportunities for beneficiaries. The interactive Internet-based service environment allows them to co-create their service experiences (Jeon et al. 2018). Digitalization has enhanced interactions by incorporating new specializations. The IT infrastructure transforms interaction with users and their needs (Peláez and Marcuello-Servós 2018). When old problems in society are being redefined, new forms of inequality and exclusion are increasing in digital social networks. Consequently, the SeB concept emerges that is defined as an innovative e-Business vision that aims to emphasize the role of social capital and social networking within the social commerce (SC) and exploit the most recent collaborative technologies in order to create a highly collaborative environment, very much based on relationships management and companies’ reputations (Costa and Tavares 2012). This SeB theory for SC best suits manufacturing corporations like construction businesses that the authors of the concept propose. Nevertheless, fighting against poverty requires a fruitful, innovative idea for an SB. Therefore, solving social issues by SB donations needs conceptualizing a modified theory of SeB. The SeB that we are proposing for SB development is a novel idea. We define it below Social e-Business (SeB) is a new form of SB that adopts digital networks to integrate donors, distributors, and beneficiaries in a uniform platform to conduct an efficient business transaction to provide ample social support and service among stakeholders.

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Numerous studies are found in SB in a traditional form and few in digital form. Specifically, no study is conducted on SeB in the B2B e-Business field. Realizing the ample potent, we intend to cover the gap by developing a new model in the eBusiness platforms to serve society in this 4IR era. In this perception, we define it as follows B2B SeB model is the application of SeB concept in such a way so as a third party e-Business corporation works as a moderator in facilitating social good by integrating the donors and beneficiaries through a digital platform.

8.3.2 Technological Impact and Concept Validation Today’s corporations largely depend on IT worldwide, which will increase in the future individually, economically, socially, nationally, and in other ways (Erbschloe 2003; Hładkiewicz and Gawłowicz 2013; Kovacich and Jones 2006). Again, IT has a significant role in marketing and operational transformation. Furthermore, the corporations with IT leadership play a more significant role (Karimi et al. 2001). Although it does not guarantee increased corporate performance (Wu et al. 2006), investment in innovative IT yields a positive value for the corporation (Santos et al. 1993). It assertively increases legal, economic, and CSR obligations (Malaquias et al. 2016). Thus, Corporation-wide IT capabilities lead to new product development (Kawakami et al. 2014; Mauerhoefer et al. 2017); hence, IT has a positive impact on innovation (Tajudeen et al. 2021). It positively influences e-Commerce where the B2B segment far outweighs the retail market (Newman 1999) and supports the corporation’s market orientation capabilities (Borges et al. 2009). IT and the Internet transform industrial society to information society, industrial economy to knowledge economy. They have constantly been upgrading society’s well-being with its tremendous impacts in all social domains. For example, IT responds to climate changes actively by mitigating CO2 emissions (Danish 2019). Again, society is based on communication, and IT accelerates this communication resulting in social change (Hładkiewicz and Gawłowicz 2013; Rodríguez et al. 2015). It further transforms social workers’ practices and creates a digital environment where processes of exclusion are redefined by developing new strategies for identification, intervention, and evaluation (Peláez and Marcuello-Servós 2018). The digitalization of our society has been reshaping our behavior and changing the social work profession, resulting in e-Social work, a new specialization, affecting social intervention thwart. It is a social work that uses ICTs within the techno-social sphere (Peláez and Marcuello-Servós 2018; Peláez et al. 2018). The e-Business platform needs to enhance the emerging paradigms, and for this purpose, it must adopt collaborative tools, support social networking applications, and enhance interoperability among systems to develop collaboration, trust, and apply strategic approaches to network relationships. The SeB concept defines this e-Business vision that integrates Internet-based collaborative tools, emphasizes social capital and social networking, and improves the supply chain management

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(SCM) role (Costa and Tavares 2012). e-Procurement networks are getting pivotal to improving inventory network potentiality; they increase data, offer competency against rivalry, and uphold value-added services in procurement. These corporations depend on the choice of participation by procurers and suppliers, which rely upon the individuals’ capability to purchase or sell, just as the e-Procurement network is seen specifically regarding administration charges. Consequently, examining the elements of these networks is crucial for modeling their behavior and proposing better administration rules (Costa and Tavares 2014). e-Donator is a useful application that brings together the procurer and consumers at a single valuable platform in helping stakeholders meeting their needs by allowing them to gain much profit without any expenses (Yılmaz et al. 2021). In this regard, we choose Alibaba, the world’s most prominent and giant B2B e-Business platform in China, considering their suitability and feasibility of applying the B2B SeB model. We assume Alibaba platform is feasible for implementing B2B SeB for corporate donations realizing its long-term sustainable B2B e-Business in this planet as well as its unquestionable reputation from history and literature. Again, we show the applicability of the model through the DONATAWAY case. From the above discussion, the following proposition is made. Proposition: The e-Business corporations, e.g., the Alibaba platform, can initiate and contribute to society by incorporating a B2B SeB model and applying an electronic donation (e-Donation) system in developing country China.

8.4 Methodology Social business process management (BPM) has emerged to improve business performance by managing business processes through social software (Vugec 2019). The concept of social BPM is also supported by other scholars like Gasparin et al. (2021), Klein et al. (2021), Tykkyläinen and Ritala (2021). This study proposes a B2B SeB model for e-Business corporations following social BPM and takes DONATAWAY, developed by Haiso et al. (2018), as a case study. DONATAWAY mobile app development report is chosen because it provides a framework for e-Donation in e-Business corporations. Furthermore, DONATAWAY provides a higher level of support for mass donations. Thus, the case study method is applied to theorize a new model and implement it in the real-world scenario (Yin 2009). Alibaba is considered to adopt the model primarily as it is the world’s largest B2B e-Business corporation and with the applicability and possibility of such a model to solve social problems by facilitating social good through its B2B framework. There are other reasons why e-Business corporation Alibaba adopt a SeB. It ensures increased customer satisfaction, company culture, customer-centric leadership, customer recommendations bring in new customers, and sales through customers, etc. make it very acceptable. As the delamination of this study facilitates the SeB entrepreneurial aspect in developing countries, we find and consider

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no other corporation to adopt the model initially except Alibaba. Since the concept is novel, it must formulate the theory and consider IT application for social implications. Hence, considering the IT infrastructure in developing countries like China and the IT capability of Alibaba, and its spontaneous interest in bringing social good, it is wise to consider it as a prime corporation to adopt the model. Furthermore, for successful implementation of the SeB model, an application based on BPM is necessary to develop. It is a design science study based on secondary data. We develop and describe the model for e-Business corporation based on previous literature and our perception analyzing the current market trends. We follow a process-based approach (Raisinghani 2005) to develop the new model. To collect the necessary data, journal articles, books, conference proceedings, organization websites, and more published sources from reputed databases are used to lessen the probability of subjectivity. When we investigate the case, we get interested in using online transaction processes to involve SeB in its business domain to alleviate poverty and serve society. Based on the methods, we propose a B2B SeB model for e-Business corporations running on Internet-based models in developing countries that has impacts on society. We focus on Alibaba’s e-Transaction process in conducting the investigation. Therefore, the web transaction is incorporated into the model. Alibaba operates its business on a B2B platform; this study considers this platform and develops a B2B SeB model. A case study on DNATAWAY mobile app development is presented to examine the SeB concept and the B2B SeB model in e-Business corporations such as Alibaba’s innovative electronic platform.

8.5 e-Business Adoption in China 8.5.1 e-Business Phenomena in China China is now on the path to world domination in e-Business. The Chinese government begins building a nationwide data communication network in 1993 to develop eBusinesses. As feedback, it strengthens the economy and enhances corporate capabilities. In 1998, e-Businesses are spread up by the initiatives of government ministries and some forward-thinking IT corporations (Jiang 1998). Consequently, Chinese corporations find the latest information on foreign trade policies, government legislation and regulations, and the general market environment through the China international e-Business network. China materials information center provides information about the availability of raw materials, equipment, and other inputs. China crops exchange network shows the information on the world crops market and supports online trading. China national commodity exchange center, China economic information network, and China market collectively form a virtual exchange, facilitating the flow of goods. Ministry of interstate commerce establishes a national inventory adjustment network to reduce inventory and improve capital utilization. China’s

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commercial airline reservation system, online banking system, securities and investment information network, Beijing e-Business project, Shanghai information center also aid in promoting e-Business in China (Tan et al. 2007).

8.5.2 Alibaba e-Business Process Since Alibaba is a very well-known, successful e-Business in China (connecting Chinese manufacturers to global customers), we illustrate using the Alibaba model (Fig. 8.1) that shows the e-Business transaction between buyer and seller through their bank accounts based on the global e-payment service Alipay (a subsidiary of Alibaba). While Alibaba provides the framework for marketing and flexible payment process, the order fulfillment (including delivery/logistics) is directly handled by sellers to the buyers. Alipay also supports the difficult process of product return and refund. Besides, Alibaba maintains a business partner network, including banks and third parties for the benefit of small Chinese manufacturers. The process flow diagram indicates as (1) agreement signed between buyer and seller, (2) buyer company pays fully for their purchase to Alipay, (3) Alipay sends a request to seller for delivery, (4) seller delivers goods to buyer through logistics partner and thus, buyer-seller communication occurs, (5) buyer inspects goods and sends confirmation to Alipay, (6) Alipay transfers payments of seller to its bank account, thus the seller gets paid (7) final buyer–seller communication occurs and ratings for each other are done. This e-Business process can be adopted for B2B SeB where a beneficiary and donor can replace the buyer and seller, respectively. However, the beneficiary’s

Fig. 8.1 Alibaba e-Business order fulfillment process. Source Zhao et al. (2008)

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Technology (Marketing and Sales)

Social Media Use (Content Marketing, Online Media, and Other Tools) → Social CRM

Sales Process Stages (Marketing and Sales)

Benefits (General Organization)

Identification of Potential Clients Prospection Contact → Leads Service and Products Presentation → Opportunities Closing Sales → Clients Post-sales

Greater Client Relationship Sales Support Branding/Corporate Image Talent Recruitment Efficiency in Prospecting Customers and Suppliers Service and Products Presentation (Communication + Demonstration)

B2B Context

Fig. 8.2 B2B e-Business process benefits. Source Rodrigues et al. (2020)

credentials must be rigorously assessed based on the criteria and policies of the donor. Figure 8.2 shows the facilities in the context of the B2B e-Business process.

8.6 Proposed B2B Social e-Business Model We propose that e-Business corporations, e.g., Alibaba implement a B2B SeB model. The proposed model is developed (Fig. 8.3) that connects SeB service providers, e.g., donors and/or NGOs; moderating e-Business corporation, e.g., Alibaba; and service receivers, e.g., the poor beneficiaries of donation or service. In this model, users (i.e., SBs/NGOs and SB service receivers) must create an account and make a profile in the Alibaba web portal. They will be automatically added into individual databases such as supplier databases (for SBs) and customer databases (for beneficiaries). It is essential to specify the role of Alibaba as a B2B SeB itself. It acts as the guarantor to repay the beneficiary’s obligation in the absence of beneficiaries’ ability. The SBs (both for-profit and not-for-profit NGOs and other agencies) have to negotiate with Alibaba to get the customer base and broader business opportunity with this SeB platform. In return, they opt to pay a certain minimum amount (or no payment in the preliminary stage) as per the contract signed with Alibaba. On the other hand, Alibaba risks taking bailment for providing donations or social services to the beneficiary in the proportion of a certain rate/amount (or no payment in the preliminary stage) to be paid by them. For a transaction to occur, beneficiaries must log in to the web portal and place his/her need for service from the B2B SeB platform. Alibaba then searches and lists NGOs and SBs that provide the required service. Once the appropriate social partner is selected (supplier of donations or social services), Alibaba negotiates with a service provider and the service received. After arriving at a fair agreement between the parties, a contract must be signed by the required parties. At the last stage, the SB provides the service to the customer, and thus the target community service requirement gets fulfilled.

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Fig. 8.3 Social e-Business model based on Alibaba B2B model. Source The authors

This model (Fig. 8.3) adapts the e-Business B2B model of Alibaba to SeB. For communication and collaboration, social media platforms, digital communication, collaboration tool, and value analysis techniques can be used to attract and engage customers, partners, and employees to achieve corporate goals of corporate social responsibility (CSR) donors. The success of a SeB model hinges on the following key considerations: • • • • • • •

Not-for-profit objective Focus on cost-effectiveness Mobile-based agile information model for easy management Sustainable innovation Long-term customer loyalty Retention of valued employees and volunteers Appropriate partnerships across public and private sector

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Figure 8.4 is the use case in this study that illustrates the process flow among the beneficiaries, donors, and the SeB corporation. In this process, the donors whether it is NGOs or any other donating corporations need to register with the SeB online platform after checking and agreeing the contractual agreement. After being a registered member of this platform, they have the right to display their products in the online platform. Once the products are available in the platform, they are visible among the registered and unregistered beneficiaries or customers. Nevertheless, only the registered beneficiaries can apply for a donation whereas the unregistered who get interest in the products can apply after registering with the system. During registration process, authentication is required. The applications for donation will be transferred to the selected donator after authentication who will give the final approval or cancel the application in unsatisfactory case. After approval of the donation, the approved application will be sent to the SeB payment agent like bank. The bank will arrange for checkout for the donation to the beneficiaries through online payment gateway.

Fig. 8.4 Social e-Business use case. Source The authors

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8.7 Case Study: DONATAWAY Mobile App Development for Corporate Donation It is a case on mobile app development ‘DONATAWAY’ for entrepreneurs. DONATAWAY is a project conducted by a team (Andy, Min, Delmwin, and Jin), and it was intended for large corporations, NGOs, and poor people who participate in donations. It was initiated based on market survey result on corporations having various sizes and revenue margins. The team asked about the kinds of products and the outflow of money for these products. Based on the survey questions, they decided on the optimal features of their project. They find some issues in security to be addressed for ensuring the donated goods are arriving at the doorstep of the beneficiaries. This section presents the design and implementation of DONATAWAY system that can be generalized into an SeB platform for various types of donors, recipients, and products/services. The project team developed the app through technical and business assumptions. They adopted the quality function deployment (QFD) method for setting technical requirements, including the number of search filters, time of shipping process, and shipping options. The entire design is done by continuous integration, as shown in Fig. 8.5. The project team categorized three types of users: unregistered NGOs and corporations, registered corporations, and registered NGOs. The software architecture (Fig. 8.6) is designed in four separate sections. First, the view section, alternatively known as the user interface, states that the user uses to view the app interface. It

Fig. 8.5 Design process of DONATAWAY mobile app. Source Hsiao et al. (2018)

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Common

Data

Controller

View

User Hybrid UI (Multiple Platforms included)

User Interface Presentation Logic Application Facade Workflow

Entities

Data Access

HTML 5 Application Presenters SQLite DB REST Services AWS Server Services

Configuration Security Communications

Fig. 8.6 DONATAWAY software architecture. Source Hsiao et al. (2018)

is designed by HTML 5 to apply the hybrid app. Second, the controller presents the functionalities of the app, which is designed using SQLite DB. Third, data are considered to be stored in a database (Fig. 8.7) via an Internet-based server. The

Fig. 8.7 Database design. Source Hsiao et al. (2018)

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Fig. 8.8 Security mechanism of Amazon through API and DB. Source Hsiao et al. (2018)

final section, common, is the code used for interaction with the device, including the features of online connection, webcam, and payment methods. Considering the importance of the information shared over the app, security and controls are emphasized in three ways: application programming interface (API), database (DB), and APP level, as shown in Fig. 8.8. The team uses their app data in Amazon Cognito. Amazon web service (AWS) allows Amazon Cognito for secure authentication to get connected with API and user’s database. Amazon Cognito works as an authentication server generating JavaScript object notation (JSON) Web Token and delivers it to the user during the user’s sign-in in the app. Then, a GetId call is created for Amazon Cognito to regain the current user’s identity. When Amazon Cognito finds it initial, it generates a new identity, correlates with the user, and finds the interim credentials from AWS security token service (STS). Then Amazon Cognito sends back an AWS access key ID, a secret access key, and a session token. These credentials data are used to signing-in to AWS services. Code obfuscation is used to ensure app-level security (Fig. 8.9) to ensure any other engineers do not recognize the app code. The project team uses bitbuckethaving add-ons that permit code for circumlocution during release. The data sent through the app is first encrypted using the mobile public key and generating a key. Then the data, along with the encrypted key, are sent to the receiver, who uses a private key to decrypt the data to be used by the receiver.

Encrypt data with generated key

Encrypt the generated key

Send both encrypted data and key

Receive both encrypted data and key

Decrypt the key

Fig. 8.9 APP level key encrypt and decrypt process. Source Hsiao et al. (2018)

Use decrypted key to decrypt data

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8.8 Discussion on Social e-Business Model Implementation DONATAWAY illustrates the concept of SeB introduced in and it can be seen as an e-Marketplace of big corporations and NGOs as it connects the donors (providing products/services) and the beneficiaries (identified by the NGOs). It provides a simple proof-of-concept implementation of SeB discussed in the previous Sections. Thus we have adapted the Alibaba B2B e-Business model to SeB to address the issues highlighted in Sect. 8.6: • This suits not-for-profit social entrepreneurship. • Cost-effectiveness through mobile phones (no expensive hardware/software needed). • Since the system is based on ubiquitous mobile phones, anyone access information in a timely manner. • It is possible to incorporate innovation as illustrated in this case (for security functionality). • It promotes partnership between corporate donors and beneficiaries selected by NGOs, promoting long-term loyalty. • It also helps motivate and attract young volunteers needed for SeB. • As observed during the DONATAWAY project, such a design framework motivates young social entrepreneurs (public–private partnership) to develop and enhance such SeB systems.

8.9 Conclusion While many profitable businesses, such as Amazon, Flipkart, eBay, and TaoBao, are increasing profits using e-Business platforms, it is possible to use the same technologies for the benefit of poor, vulnerable people all over the world. The Nobel laureate Prof Mohammad Yunus has been popularizing the SB model that can help reuse and grow investments in social (not-for-profit) businesses all over the world. Prof Yunus stated that the world can achieve zero poverty, zero unemployment, and zero net carbon emission by using technology, innovation, and good governance (Yunus et al. 2015). This chapter has described a SeB model and its proof-of-concept implementation SeB is a form of Social Business (popularized by the Nobel Laureate Prof Mohammad Yunus of Bangladesh). This SeB framework adopts and modifies the existing B2B e-Business networks and infrastructure to integrate donors, distributors, and beneficiaries to conduct an efficient business transaction to provide enhanced social supports to beneficiaries and better service orientation to donors. It has adapted the Alibaba B2B business model for social business. The chapter has illustrated SeB using a case study project called DONATWAY implemented by the students of University of Michigan-Shanghai Jiao Tong University Joint Institute (Hsiao et al. 2018). The discussion in Sect. 8.8 has highlighted the value of such a system in achieving the core requirements of SeB, namely, not-for-profit

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objective, focus on cost-effectiveness, mobile-based agile information model for easy management, sustainable innovation, long-term customer loyalty, retention of valued employees, and volunteers and appropriate partnerships across public and private sector. DONATWAY was inspired by the excess, perishable food donation service from large hotels and restaurants to poor people in the same city in several developing countries. It is hoped that the SeB illustrates how the modern information and communication technologies can be gainfully deployed for social business (not-for-profit) of providing products/services from businesses to needy recipients through the SeB platform, donors, and NGO partnership to reuse donations cost-effectively, alleviating poverty substantially. This chapter uses the same technological developments and social entrepreneurship to assist social businesses (not-for-profit) all over the world. Acknowledgements Authors would like to thank the team members (Andy Hsiao, Willy Huang, Delmwin Baeka, and Sung Min Kim) for their contributions in Project DONATAWAY (2018), supervised by Pradeep Ray at the University of Michigan—Shanghai Jiao Tong University Joint Institute, as discussed in this chapter as the case study in Sect. 8.7.

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Chapter 9

Harnessing Mobile Technologies for Healthy Living: A Case Study on Smoking Cessation Koel Ghorai and Pradeep Ray

Abstract Mobile technologies (symbolized by the ubiquitous mobile phone) offer many opportunities for entrepreneurship as evidenced from thousands of apps made available through the appstores. This chapter discusses the role of entrepreneurship through the development and deployment of innovative mobile apps for motivating people to follow a healthy lifestyle, e.g., giving up smoking. The chapter highlights emerging multi-disciplinary innovative techniques, such as Persuasive System Design (PSD) in the development of such mobile apps. Similar innovations are happening in various other applications related to healthy living, such as exercising, diet management, and health condition monitoring. Lastly, this chapter also shows that entrepreneurship is now widely embraced not only for profits, but also for social service. Hence many mobile apps (e.g., for smoking cessation) are encouraging social entrepreneurship. Keywords mHealth apps · Smoking cessation · Persuasive system design (PSD) · Social entrepreneurship · Business model canvas

9.1 Introduction The world is facing a crisis due to the increasing cost of healthcare and governments are staring at budget blowouts. Hence many countries, especially in the developing world are trying to attract the private sector into the business of healthcare. Therefore, researchers have been working on technologies to provide better quality healthcare at lower cost. The advances in Information and Communication Technologies (ICT), K. Ghorai (B) · P. Ray School of Population Health, UNSW Medicine and Health, Sydney, NSW 2052, Australia e-mail: [email protected] P. Ray e-mail: [email protected] P. Ray Centre For Entrepreneurship (CFE), UM-SJTU (University of Michigan-Shanghai Jiao Tong University) Joint Institute, Shanghai, P.R. China © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_9

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especially the proliferation of mobile devices (e.g., mobile phones and PDAs), offer the potential to provide efficient health services at anytime, anywhere (Akter and Ray 2010). For example, there are 7.1 billion people in the world who are currently connected through mobile phone of which 3.76 billion are from developing countries (UN foundation, Vodafone foundation mHealth alliance 2011). “mHealth” is defined as health services and health information that is delivered through mobile communication tools such as mobile phones and Personal Digital Assistants (PDA) (Akter et al. 2011). It has dramatically improved the decision-making in healthcare by ensuring that right information is conveyed to the right person at the right time. Mobile phones today are being used for supporting health behavior to chronic disease management. Mobile communication has the potential of making services more affordable, accessible and of better quality, thereby bringing forth the much-needed transformation in healthcare delivery (Ghorai 2014). As such, investments in mHealth services are expected to realize benefits in terms of reduced costs, improved access and better quality of healthcare services ranging from patient monitoring (e.g., using vital sign sensors on the human body), disease management (e.g., through SMS reminders to patients) and prevention (e.g., promotional SMS messages) to promoting healthy living (e.g., supporting smoking cessation) (Demiris et al. 2008). This chapter focuses on the development of mHealth services for smoking cessation and an innovative intervention design framework through mobile phones in order to deploy ubiquitous access to health services (Akter and Ray 2010; Ekelan et al. 2010). The significance of quality perceptions in SMS-based mHealth environment has been captured in numerous studies (Akter and Ray 2010; Demiris et al. 2008; Akter et al. 2011). The role of patients (or, consumers) in evaluating the nature of quality becomes a critical competitive consideration (Akter et al. 2011; Ghorai and Ray 2019). As such, the impact of perceived service quality on patient satisfaction (Abroms et al. 2011; Ghorai et al. 2014b), continuance intentions (Akter et al. 2011), and quality of life (Ekelan et al. 2010; Ghorai and Ray 2019) gains an increasing attention to determine the success or failure of mHealth platform. If the mHealth system cannot be trusted to guarantee a minimum level of quality, it will remain underutilized, used as a measure of last resort or be bypassed (Akter et al. 2011). Furthermore, perceptions of poor quality may discourage patients from using the available services, leading to unsustainable health services. Most importantly, quality perceptions on mHealth programs would determine the investment from the private sector in mHealth services. Despite the importance of perceived service quality in mHealth context, there is a dearth of research to develop metrics for analyzing the relationship between service quality and use and its impacts on sustainable mHealth services. At the global level, mHealth is expected to play a major role in achieving the UN Sustainable Development Goals (SDGs) in terms of the access and reach of healthcare. Hence, it is important to develop an appropriate quality model to plan and monitor the deployment of resources and services for mHealth. Given the large societal and economic payoffs from the widespread adoption and creative use of

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mHealth services, there is a need for further collaboration between developed and developing countries (Ghorai et al. 2014a; Luxton et al. 2011). This chapter, based on the M.Phil thesis of Ghorai (2014), discusses the role of the ubiquitous mobile phone to provide services for healthy living through various types of apps and emerging innovations, such as the use of persuasive design to motivate people to quit smoking and adopt healthy lifestyle. The chapter is organized as follows. The next Sect. 9.2 provides a background and power of mobile phones in our daily lives. This is followed by a detailed discussion in Sect. 9.3 of how mobile phones can help promote wellness through smoking cessation. This is followed by a discussion of emerging innovations in Sect. 9.4, followed by a discussion of our multiintervention strategy (illustration of dire consequences of smoking to the individual, reminder of the cost of smoking, diversion through chats with loved ones and games) design in Sect. 9.5 and 9.6. This is followed by a discussion of mHealth based Smoking Cessation as an entrepreneurship opportunity, presented using the new standard framework called Business Model Canvas in Sect. 9.7. Section 9.8 concludes the chapter.

9.2 Mobile Phones: Predominant Way of Communication The transition of mobile phone users from generic phones to Smartphones has seen a very steep rise in the last decade. Growing competition among cell phone manufacturers has resulted in a drastic reduction in the prices of smartphones across the world. Due to the availability of cheaper smartphones, users in low- and middleincome countries can now easily access the same. Smartphones have become one of the most common channels for accessing internet in developed countries. Around 89.76% of the world population, which is roughly around 7.101 billion people own a smart or feature phone. Among them 6.378 billion are smartphone users. These high penetrations of smartphone devices have enhanced the development of various types of interventions and initiatives in the mHealth field. This has helped in supporting healthy living and also the control and prevention of lifestyle diseases. There is scope for development of multi-intervention services using mobile phones. Phones today are being used for supporting health behavior to chronic disease management. With increasing costs of healthcare services, people are opting for cheaper and affordable avenues instead. Mobile communication has the potential of making services more affordable, accessible and of better quality, thereby bringing forth the much-needed transformation in healthcare delivery. Mobile-based messaging systems have already seen unprecedented acceptance, all the more relevant when there is an underlying motivation to support behavior changes. Such mobile-based interventions range from tailor-made customized messages based on user-input to informational mass-weekly messages (Ghorai 2014).

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9.3 Role of Mobile Phones in Promoting Wellness Through Smoking Cessation There are 1.3 billion tobacco users worldwide and over 80% of those are from low- and middle-income countries (WHO 2021). Top ten countries with the highest smoking rates include Nauru, Kiribati, Tuvalu, Myanmar, Chile, Lebanon, Serbia, Bangladesh, Greece, and Bulgaria. Tobacco epidemic is one of the biggest health threats, killing more than 8 million people around the world each year. More than 7 million of those deaths are caused by direct tobacco consumption while 1.2million by indirect tobacco exposure. In 2020, 22.3% of global population consumed tobacco. Various behavioral interventions in combination with pharmacological interventions have proven to be very effective by almost doubling the chances of successful quitting (a 70% to 100% relative increase compared to brief advice or support) (WHO 2021). Behavioral interventions include personalized counseling by healthcare workers. Since 1:1 personalized counseling can be expensive and have availability issues, various smartphone applications are being developed to provide similar services but at a much-reduced cost or sometimes for free. Mobile phones have proved very efficient as well as effective in delivering interventions for various health conditions and non-communicable diseases including smoking cessation. These interventions vary from customized informational messages (Obermayer et al. 2004) to multimedia messages (MMS) (Free et al. 2011). Some of the interventions focus on providing distraction to users through motivational videos or games, in addition to sending informational messages in the form of SMS or email. Quite a few mobile apps that support smoking cessation are also available on app stores and they provide various services to the users. Some of the top-rated smoking cessation apps on iOS and Android app stores have been analyzed in Table 9.1. Most of the apps that have been analyzed have a combination of cessation techniques like motivational messages, progress tracking, instant distraction through games and videos and peer support through chat or messages. Even though some of the above apps have high smoking quit rates among its users, there is no service design framework that supports the development of such apps. Persuasive technologies and psychological theories have been considered for developing such a framework that will help in designing mobile-based disease management services, specially targeting smoking cessation. The framework includes factors that need to be considered while designing such a mHealth service for non-communicable diseases. A new service design framework has been discussed in Sect. 9.6 of this chapter.

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Table 9.1 Analysis of mobile apps for smoking cessation (Apple app store 2022) App name

Platform Motivational Progress Games Informational Peer Additional messages tracking videos/audios support activities

QuitNow!

iOS, android

Smoke free

iOS, android

✓

✓

✓

✓

✓

SmokeFree

Android ✓

✓

Quit tracker

Android

✓

Add notes, reminders Track savings, rewards

EasyQuit

Android

✓

✓

Quit genius

iOS

✓

✓

✓

MyQuitBuddy

iOS

✓

✓

✓

✓

Live body map

Flamy

Android

✓

✓

✓

Challenges

Stop smoking

✓

Leaderboard

Rewards ✓

Goal setting

Android

✓

Quit Android smoking—stop smoking counter

✓

Smoking log—stop smoking

Android

✓

Goal setting

myQuitTime

Android ✓

✓

Goal setting

✓

✓

9.4 Innovations Current literature of mobile-based smoking cessation programs presents various studies involving individual or a combination of interventions like motivational text or multimedia messages and telecounseling (Ghorai 2014). However, these were predominantly text messaging interventions with none of the studies focusing on a multi-intervention program for the same. In recent years, mobile-based smoking cessation interventions have become very popular due to their low cost and ease of dissemination to a larger population. However, despite its popularity, studies have shown that text message-based interventions did not have statistically significant short-term effects on smoking cessation; nonetheless, some of the interventions had statistically significant long-term effects on smoking cessation (Free et al. 2011). To improve on these shortcomings, the unique multi-intervention service framework will enable patients to access a number of interventions over and above conventional text messages including the following: • motivational messages • performance tracking • instant social/peer support through chat

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• motivational videos • games for distraction. Various studies have been conducted for exploring the effectiveness of all these interventions separately, but none has explored the impact of these interventions in a single service package. To design such a multi-intervention framework, the Persuasive Systems Design (PSD) model has been identified as the starting point. The Persuasive System Design model (Oinas-Kukkonen and Harjumaa 2009) provides a framework for designing Information Systems (IS) services that can be effectively used in healthcare and disease management. The model includes factors that need to be considered when designing a system but does not provide any requisites for software requirements and implementation features. The model also does not include some factors which are unique to smoking cessation such as instant gratification and distraction. Secondly, a psychological theory, namely, the Social Cognitive theory provides background for behavior change interventions through self-efficacy which is defined as one’s belief in one’s ability to succeed in specific situations (Bandura 1986). This theory posits that behavior change in a person can be brought about by personal factors and environmental factors. These two theories together have been used for developing the multiintervention framework especially in the context of smoking cessation. Besides, the development of the framework has also been based on a multi-disciplinary approach by exploring theories from Information Systems and psychology.

9.5 Existing Smoking Cessation Interventions Researchers and IT professionals have developed and assessed various kinds of health applications that have firm theoretical grounding (Trudelle 2021; Llorens-Vernet and Miro 2020; Paglialonga et al. 2018). Various programs and interventions have been disseminated through mobile phones. Some of the more widely used SMSbased quit smoking services used SMS as the primary mode of communication with the participants, with messages on motivation and quitting related information being sent to the users. Another method of intervention has been Tele-counseling where participants were provided counseling services on mobile phones for smoking cessation. Multimedia messages-based service, although not as widely used and tested as the first two, has also been used in some healthcare studies. From all the articles reviewed, the advantages of mobile phones for the interventions were found to be low cost, better reach, increased interaction between researcher and participants and easier as well as faster way to send tailored and personalized messages (Akter and Ray 2010). Based on the literature review of smoking cessation studies (Ghorai et al. 2014a), the following key findings were considered • Mobile phone supported interventions can make communication with ethnic minority groups easier and expand the potential of the intervention.

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• Some of the studies revolved around personal tailoring of messages based on participant name, age, gender, disease history, goals, and existing medical condition. • Only a handful of the studies had user-initiated craving support like quit help lines. Very few studies involved motivational messages triggered by a CRAVE or HELP message from the participant • Readership of mobile-based messages was much higher and sustained over time compared to emails whose readership was way lower and declined substantially. • Only one intervention used performance comparison as a factor in motivating the participants to quit tobacco consumption. This study used sharing of performance analysis of the participants and included interactive polls. Based on these findings, a new service design framework for developing mobile applications for smoking cessation has been developed and tested for user acceptance. More on this has been discussed in the following sections.

9.6 Service Design Framework and Smartphone Application There are a variety of reasons that motivate smokers to quit smoking. Some of those leading factors include Psychological, Physical, Emotional, Cognitive, and Social among others (Council and Tobacco in Australia 2022). These factors can accordingly be divided into two categories: (a)

Personal Characteristics—These involve • Duration of smoking: The duration of smoking refers to the number of years or months the person has been smoking. • Level of Dependence (heavy or light): Heavy smokers have higher level of dependency and light smokers have lower nicotine dependency. • Withdrawal symptoms: When people try quitting smoking, they undergo different kinds of withdrawal symptoms. It differs from person to person, and it can affect the quitting process. • Poor self-efficacy or low confidence: Low self-confidence or poor selfefficacy can affect quit attempts. • Recognition of Stress/Depression/Anxiety

(b)

External Factors: There are some external factors that can influence quit attempts. These include • Social factors • Cultural requirements • Tobacco marketing/ advertising.

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Fig. 9.1 Modified PSD model system design features for smartphone-based smoking cessation service

Though the external factors cannot be directly controlled, the personal factors can be influenced using behavior change theories and incorporating them in a multiintervention service. The framework for such a service design will require the inclusion of well-thought-out features that would influence the factors crucial for smoking cessation. Various studies have been conducted for behavior change interventions for smoking cessation. However, there is still a need for developing a framework that would provide the requisite features for designing a smoking cessations service. As per studies, behavior change can be brought about through. • Motivation: Motivating patients on a regular basis has proved to be effective in smoking cessation (Hughes 2003). • Distraction: Distraction strategies are effective in smoking cessation interventions. Some studies have used video games while others have tested the effect of physical exercises. • Social support: Studies have shown that social support has a positive effect on smoking cessation interventions though the exact kind of support has not been studied extensively. Considering these three factors motivation, distraction and social support, a modified system design framework, as per Fig. 9.1, was developed while specific features were selected and added to make the framework more pertinent in the context of smoking cessation.

9.6.1 Smartphone Application Based on the Service Design Framework A new mobile application has been developed using the above-mentioned design features and includes PSD design principles namely Tailoring, Personalization, Selfmonitoring, and Simulation. This application supports disease management like smoking cessation through behavior change brought about by features like praise, rewards, reminders, and suggestion via in-app messages. This innovative smartphone app provides multiple ways to manage and control smoking habits and includes the following six features:

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Progress tracking: The application has a progress tracker that helps users track their progress in terms of reduction in tobacco consumption. It also allows users to compare their consumption statistics with other users in the system as an option. One can share their progress with peers for receiving recognition. Motivational messages: The application has a list of pre-compiled motivational messages that are pushed to users at regular intervals. These messages are targeted to prevent relapse or motivate users to quit smoking. Games: Users can access games in the application to distract themselves while they are craving for tobacco. Videos: The application has a list of videos available for watching anytime. This helps users to distract themselves when they are craving. Peer support: The real time instant chat functionality in the application allows the users to access support from other app members through various chat channels. Goal setting: Users can set goals like reducing the number cigarette consumption or save money by reducing cigarette purchases. Achieving a goal would result in user receiving a congratulatory and motivational message.

9.6.2 User Acceptance Testing and Outcome According to the user acceptance study carried out using the above-mentioned smartphone application and service design framework (Ghorai and Ray 2019), the following factors were considered in assessing the user acceptance of the application. These factors include • Performance expectancy: It is the degree to which individual perceives that using a system will help in attaining a gain in job performance • Facilitating conditions: The degree to which an individual believes that an organizational and technical infrastructure exists to support use of the system • Effort expectancy: It is the level of easiness related while using any system. • Social influence: It is defined as how an individual feels the importance that the others believe he or she should use the new system. • Behavior intention: This refers to the motivational factors that influence a given behavior where the stronger the intention to perform the behavior, the more likely the behavior will be performed. As per the study conducted, “performance expectancy”, “facilitating conditions”, “effort expectancy” and “Social influence” positively impact the “Behavior intention” which in turn impacts the “use behavior” of the Smartphone-based multifeature service (Ghorai and Ray 2019). “Effort expectancy” significantly influences “Behavior intention”. This implies that services and applications of disease management need to be easy to use and effortless in order to increase the intention to use by users. There is a very high demand for easily available and low-cost services due

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to the increasing costs of healthcare services. Service quality and customer requirements should be the main focus for ensuring acceptability and mass scale use of a mobile app intervention for smoking cessation. The modified service design framework as mentioned in Fig. 9.1 can be used for developing smartphone-based interventions for management and prevention of diseases like diabetes, obesity, and hypertension among others. This can be used by healthcare service designers for developing behavior change interventions with high user acceptance rate. Smartphone-based healthcare management applications are affordable and easily available through online app stores and have seen immense uptake by people in many countries in recent times. This area has been attracting substantial investments for new startups. mHealth services and entrepreneurship in mHealth is a growing area (Ghorai 2014; Ostenwalder and Pigneur 2010). The next section discusses mHealth from the perspective of entrepreneurs.

9.7 Entrepreneurship in mHealth According to Akter and Ray (2010), fifty-one mHealth programs were being operated under private-public collaboration in 26 countries around the world about ten years ago. An analysis of these programs shows that there were mounting concerns about sustainability of such services due to the lack of perceived quality of such services in view of a host of factors, such as the value for money, reliability and efficiency of the service delivery platform, knowledge and competence of the provider, privacy and security of information services and above all, their effect on satisfaction, future use intentions and quality of life (Ekelan et al. 2010; Akter et al. 2011). As a matter of fact, there were at that time very few mHealth services in commercial use in spite of the obvious potential benefits, especially in developing countries. However, there has been some progress (thanks to entrepreneurship) in the deployment of mHealth services even in developing countries, such as Bangladesh where mHealth services were available and used commercially through telecom providers, such as Grameen Phone, Banglalink, etc.(Motamarri et al. 2020). Pradeep Ray and his team carried out a systematic survey on mHealth entrepreneurship at the University of Michigan-Shanghai Jiao Tong University Centre for Entrepreneurship in 2016–2017. The results were analyzed in the context of major mHealth deployment issues (Ray and Zhang 2017): • Sustainability: Many mHealth and telehealth projects do not go beyond the pilot stage and the surveyed literature discussed a range of applications, such as chronic illnesses, population aging, wellness, lung cancer, medications, asthma, and mental health in decreasing number of publications • Evaluation: The gold standard of health technology assessment called Randomized Controlled Trials (RCTs) are too slow for mHealth evaluation due to high technology obsolescence. Surveyed publications considered feasibility,

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acceptability, efficiency, security and development in decreasing number of publications • Social Media: mHealth is now rapidly integrated in highly proliferating social media applications, such as Facebook, twitter, WeChat, and WhatsApp. However, not many publications were found at that time except for some on disaster management • Interoperability: Many apps do not work across different mobile platforms, e.g., iOS and Android. 15 out of 38 shortlisted publications talked about this topic from different technical perspectives, such as wearable to cloud transformation, data management, mobile personal health record, mHealth apps, and cardiac monitoring in decreasing number of publications. Since public health including smoking cessation is a government service that chronically suffers from under investment (particularly in the developing countries) as highlighted during the recent pandemic, there has been a strong push towards publicprivate partnership or social entrepreneurship to address such long-term social problems that are not profitable. We will now discuss the mHealth for Smoking Cessation Service as an entrepreneurship opportunity using a standard technique called Business Model Canvas (BMC) used for the description and validation of new startup ideas.

9.7.1 Business Model Canvas (BMC) Business model canvas (BMC) is a systematic way to present and validate a startup business idea. BMC helps an entrepreneur in developing the business idea iteratively. In the initiation stage, the idea is based on the gut feeling and guesses of the entrepreneur and the team. Hence it needs to be validated in the next stage with real data from customers and the market. BMC consists of nine building blocks as summarized below (Ostenwalder and Pigneur 2010). 1.

2.

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Value propositions are the core values of a product/service from a customer perspective, e.g., customer problems they overcome and customer gains they provide. Hence value proposition of a product/service could be different for different customer segments. The Customer Segments describe the target customer groups (e.g., demographics, industry segments, etc.), that benefit from the above values proposition. Channels indicate the means (e.g., retail shopfronts, Internet sites, etc.) through which the product/service will reach the customer segments. How will the customers know of the product/service and how they will access the product/service? Customer Relationships refer to the strategies to get, keep and grow customers from targeted Customer Segments. The viability of an entrepreneurial business will depend upon the scaling up of the number of customers within a timeframe.

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Revenue Streams are strategies the entrepreneur adopts to gain commercial value (e.g., profits) from each Customer Segment. These include the major revenue sources (including buy, rent, subscription, etc.) and pricing strategies. Key Resources are concerned with the resources required, (e.g., financial, physical, intellectual, and human) to achieve above five buildings of the BMC. They basically help make the products/services and reach the targeted customers to their satisfaction. Key Partners can be strategic alliances, established businesses in complementary products, industry experts, suppliers, key customers, etc., who help complete product or service, reach the targeted customers and publicize the product/service effectively. Key Activities usually consist of all major activities concerned with the continuous development, testing, production and promotion, of the product/service. Cost Structure involves all expenditure on each aspect related to the development (including customer acquisition), production, distribution, and maintenance of a product/service.

Although the above model canvas is primarily designed for businesses-for-profit, it is possible to use its variations for social businesses that are not-for-profit. However, the term surplus (instead of profit) is the main motivation for revenue generation in such businesses. In a public health startup, such as smoking cessation, the main motivation is to recover the costs for sustainability. It may be possible to get one-time grants to start such social services, but the revenue must be more than the cost for the business to be sustainable. We now discuss the mHealth Smoking Cessation Service in terms of the nine building blocks of BMC described above.

9.7.2 mHealth Entrepreneurship Opportunity Analysis Using BMC mHealth for Smoking Cessation as an entrepreneurial opportunity using the nine BMC building blocks (in bold) have been discussed below. • The Value Proposition of mHealth-based Smoking Cessation Service is to get people off from the addiction of smoking, responsible for many diseases, such as diabetes, heart problems, and cancer. The value comes for individuals as better health/ better quality of life and for the society and government/businesses the economic value in terms of reduced health expenses, better productivity, and general well-being. The mHealth service provides appropriate context-sensitive messages (including videos) to prevent people from smoking while they are craving. The app described in Sect. 9.6 does that by tailoring the message and video to the smoker so that he/she does not smoke. The mHealth service may also divert attention to a mobile game or a chat with a loved one so that craving does

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not persist. Currently, this service is offered in English. However, this needs to be a multilingual service for use in different countries and ethnic groups. The Customer Segments are individuals (e.g., smokers are the users of the service, and they may enter a payment plan to give up smoking), employers or government (willing to pay as part of staff welfare expense). According to LANCET, there were 1.1 billion smokers worldwide in 2019 (The LANCET 2022). Nearly 64% of smokers in US had a mobile phone according to the report published in 2017 (Heffner and Mull 2014). This will vary from country to country. On the other hand, mobile ownership has gone up sharply over last 7 years. So the market size is very large. There is a large population of smokers who can be motivated to join this service through incentives provided through employers, doctors, and community services as part of Customer Relationship Management. Since this is a mobile service, the best channel is to advertise and access through mobile phone services and service providers or free apps at Appstore or Google Play Store. The Revenue model can be through plans like mobile phone plans paid by individuals, or through employers like health insurance premium. Also, there should be a drive for fund raising through charities and government grants. Since this is a mobile service, there is not much investment in terms of physical space and technology resources. However, the main cost is that of human resources (people to support the operations and technology of mHealth) and it may not need a large financial investment. The key partners of an mHealth Smoking Cessation Service will be mobile service providers, doctors, government public health departments, community service organizations and NGOs and companies interested in the welfare of their employees. Besides, large technology companies like CISCO and Microsoft fund technology costs of such ventures. Key activities include the software app development, content management (e.g., collection and organization of information related to personal lives of enrolled individuals to tailor messages/videos for individuals), networking with various community and corporate partners. It is extremely important to make sure that the Revenue exceeds the cost, failing which the startup mHealth venture will not be sustainable beyond the pilot stage. The main cost is on the human resources for the operations and the technology.

This shows that it is possible to recover the costs (including decent salaries) of an mHealth Smoking Cessation Service from the perspective of an entrepreneur who may offer such services for different market segments with different pricing strategies (starting from free to premium).

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9.7.3 Recent Advances in mHealth Entrepreneurship The Belt and Road initiative addresses the development needs of poor populations in the border regions of China and neighboring countries, such as Thailand, Vietnam, Pakistan, Bangladesh, and Nepal. While the Belt and Road Initiative pays for the infrastructure in the region, there is strong need to develop entrepreneurship to exploit the emerging infrastructure to uplift the economic conditions of disadvantaged people in the remote regions of developing countries adjacent to China. This motivated a large multi-disciplinary, multi-country project called “mHealth for Belt and Road region” involving more than 50 researchers from 14 countries led by Pradeep Ray and Koel Ghorai led one of the sub-projects (Ghorai et al. 2019). The project considered several mHealth technologies including smartphones, robots, drones, and software apps for reaching healthcare to remote, developing regions. The work resulted in a book (2020) edited by the project leaders (Ray et al. 2020). This book is organized into six sections each led by a project leader: • Global Challenge involving the entrepreneurship issues in this field in developing countries; • mHealth for Primary Care in the context of remote, developing regions; • mHealth and drones for healthcare, such as reaching medications to remote regions, especially for disaster management; • mHealth for the elderly to provide rehabilitation and care for independent living; • mHealth for Chronic Illness Management, such as Parkinsons disease and diabetes (including smoking cessation). It has been observed that digital technology for healthcare has been attracting very high-level entrepreneurial activity with strong interest from venture capital funds in global entrepreneurship centers, such as the Silicon Valley in USA and Shenzhen in China, thanks to the growing innovations through technologies such as Artificial Intelligence (AI), Machine Learning (ML), Virtual Reality (VR), Augmented Reality (AR) and Internet of Things (IoT). These technologies are expected to help address a major social challenge of aging population in the developed world and the consequent need to harness digital technologies to support efficient and effective healthy aging. The ongoing COVID pandemic has highlighted the need for mobile and telehealth technologies (Ray et al. 2021).

9.8 Conclusion This chapter has presented a discussion on technology entrepreneurship and innovation in the context of a major social need of healthcare using mobile technologies. As people live longer (thanks to the advances in medicine), it will be more and more important to exploit digital technologies for healthy living. Research has shown that the disease burden of mankind is shifting to lifestyle diseases like diabetes that need

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to be managed with a controlled lifestyle and hence mobile technologies can play a major role through tools like mobile SMS reminders, health parameter monitoring (e.g., blood sugar), calorie management through regular exercises, etc. Hence, there is so much opportunity for entrepreneurship with technologies in healthcare, especially with mobile phones possessed by almost all today. Thanks to multi-disciplinary innovations across cognitive sciences, healthcare, mobile technologies, etc., we are seeing the emergence of methodologies like Persuasive System Design (PSD) that help persuade people to adopt and practice healthy lifestyle using digital and mobile technologies, saving enormous amount of expenses for the governments and the society. This chapter has provided an overview of innovations, such as the PSD and a summary of entrepreneurship opportunity in mHealth using the Business Model Canvas with the examples of Smoking Cessation (Healthy Living) mHealth services. Thanks to the popularity of mobile apps, there has been an explosion in the availability of mobile apps related to various aspects of health services (e.g., exercise, diet, healthy aging, COVID management, etc.) in addition to various clinical applications in specialized fields, such as cancer treatment, cardiology, diabetes, and asthma treatment. However, most of these apps have not been evaluated thoroughly. Hence that is an important future work, already recognized by some researchers and technology entrepreneurs and many future products/services are expected in this field.

References Abroms LC, Padmanabhan N, Thaweethai L, Phillips T (2011) iPhone apps for smoking cessation: a content analysis. Am J Prev Med 40(3):279–285 Akter S, Ray P (2010) mHealth-an ultimate platform to serve the unserved. IMIA Yearbook Med Informat 2010:75–81 Akter S, D’Ambra J, Ray P (2011) Trustworthiness in mHealth information services: an assessment of a hierarchical model with mediating and moderating effects using partial least squares (PLS). J Am Soc Inform Sci Technol 62(1):100–116 Apple app store (2022). https://www.apple.com/au/app-store/ and Google play store https://play. google.com/store. Accessed Jan 2022 Bandura A (1986) Social foundations of thought and action: a social cognitive theory Demiris G, Afrin LB, Speedie S, Courtney KL, Sondhi M, Vimarlund V, Lovis C, Goossen W, Lynch C (2008) Patient-centered applications: use of information technology to promote disease management and wellness. J Am Med Inform Assoc 15:8–13 Ekelan GA, Bowes A, Flottorp S (2010) Effectiveness of telemedicine: a systematic review of reviews. Int J Med Informat 79:736–771 Free C, Knight R, Robertson S, Whittaker R, Edwards P, Zhou W, Roberts I (2011) Smoking cessation support delivered via mobile phone text messaging (txt2stop): a single-blind, randomised trial. The Lancet 378(9785):49–55 Ghorai K (2014) Persuasive system based mHealth design for multi-intervention service for smoking cessation. M.Phil thesis, UNSW-Australia Ghorai K, Akter S, Khatun F, Ray P (2014a) mHealth for smoking cessation programs: a systematic review. J Personal Med 4(3):412–423 Ghorai K, Jahan S, Ray P, Chylinski M (2014b) mHealth for behaviour change: role of a smart phone based multi- intervention service for hypertension and diabetes in Bangladesh. Int J Biomed Eng Technol 16(2):135–155

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Ghorai K, Ray P (2019) Factors affecting the acceptance of mobile based multi-feature service for smoking cessation using UTAUT. Eur J Biomed Informat Heffner JL, Mull KE (2017) Smartphone ownership among US adult cigarette smokers: 2014 Health information national trends survey (HINTS) data. J Med Internet Res 19(8):e305. https://doi.org/ 10.2196/jmir.7953 Hughes JR (2003) Motivating and helping smokers to stop smoking. J Gen Intern Med 18(12):1053– 1057 Llorens-Vernet P, Miro J (2020) Standards for mobile health-related apps: systematic review and development of a guide. JMIR Mhealth Uhealth 8(3):e14680 Luxton DD, McCann RA, Bush NE, Mishkind MC, Reger GM (2011) mHealth for mental health: integrating smartphone technology in behavioral healthcare. Prof Psychol Res Pract 42(6):505– 512 Motamarri S, Akter S, Ray PK (2020) The status of healthcare service delivery systems: comparison, mobile health, and healthcare service design. In: Ray PK, Nakashima N, Ahmed A, Ro S-C, Soshino Y (eds), Mobile technologies for delivering healthcare in remote, rural or developing regions, Chap 20, IET Book series on health technologies, pp 323–234. IET Press, UK (more appropriate for reference on mHealth service delivery in the introduction) Obermayer JL, Riley WT, Asif O, Jean-Mary J (2004) College smoking-cessation using cell phone text messaging. J Am Coll Health 53(2):71–78 Oinas-Kukkonen H, Harjumaa M (2009) Persuasive systems design: key issues, process model, and system features. Commun Assoc Inf Syst 24(1):28 Ostenwalder A, Pigneur Y (2010) Business model generation. Wiley, USA Paglialonga A, Lugo A, Santoro E (2018) An overview on the emerging area of identification, characterization, and assessment of health apps. J Biomed Inform 83:97–102 Ray P, Zhang C (2017) Role of entrepreneurship in universal health coverage (UHC) using mHealth. In: Proceedings of the IEEE Technology and Engineering Management Society Conference (TEMSCON2017) June 2017, Santa Clara, USA Ray PK, Nakashima N, Ahmed A, Ro S-C, Soshino Y (eds) (2020) Mobile technologies for delivering healthcare in remote, rural or developing regions, IET Book series on health technologies, ISBN 978-1-83953-047-0 (hardback) ISBN 978-1-83953-048-7 (PDF). IET Press, UK. https://www.shop.theiet.org/mobile-technologies-for-delivering-healthcare-inremote-rural-or-developing-regions Ray P, Liaw S-T, Serrano A (eds) Digital methods and tools to support healthy ageing. IET Press, ISBN: 13: 978-1-83953-462-1 Ro SC, Huang WJ, Ray P (2019) Advancing the role of entrepreneurship in the healthcare industry in developing countries. Asian Hospital & Healthcare Management (AHHM), Issue 44 The Cancer Council, Tobacco in Australia Facts & Issues A comprehensive online resource, https:// www.tobaccoinaustralia.org.au/downloads/chapters/Ch7_Cessation.pdf. Accessed Feb 2022 The LANCET, The global burden of tobacco. https://www.thelancet.com/infographics/tobacco. Accessed Jan 2022 Trudelle P (2021) Assessment of apps in the mobile health (mHealth) sector-overview and quality criteria of medical content for referencing digital services in the digital health space and the professional service package, Haute Autorité de santé (French National Authority for Health) (HAS), 2021, Haute Autorité de Santé - Portail HAS Professionnels (has-sante.fr). Accessed Jan 2022 UN foundation, Vodafone foundation & mHealth alliance (2011). Health information as health care: the role of mobile in unlocking health data and wellness WHO (2021). https://www.who.int/publications/i/item/9789240032095

Part II

Climate, Environment, and Disaster Management

Chapter 10

Linking Climate Action and Sustainable Development Goals by Activating Co-Benefits Sardar Masud Karim and Pradeep Ray

Abstract Climate change is posing as major challenge for sustainable development. Achieving sustainable development requires action across multiple dimensions beyond climate change mitigation goals. Recognising non-climate-related benefits of climate action and purposefully considering them in the policy process can address the two issues together and simultaneously deliver climate change mitigation and sustainable development goals. This article explores the possible linkages and synergies between climate action and SDGs and how best to establish those linkages in the policy process to attain synergies by activating co-benefits. Presenting the main findings of a broader study focusing on use of ‘co-benefits approach’ by local government in Australia in their efforts to link climate action with local development policy goals it suggests measures that could assist policymakers to purposefully consider, plan, generate and activate co-benefits to link climate action with local development goals. The article concludes by discussing policy implications of the findings, the transferability of the research to settings outside Australia and possible direction for future research. Keywords Climate change · Sustainable development · Co-benefits

10.1 Introduction Climate change is undeniably the most urgent issue facing humanity. While the Paris Agreement on climate change made progress in bringing about international collaboration, its potential as an effective global agreement for solving the climate problem remains to be developed through continued negotiations. An urgent, global response is now required from the countries in terms of developing coordinated S. M. Karim (B) CRC for Low Carbon Living, UNSW, Sydney, Australia e-mail: [email protected] P. Ray Centre For Entrepreneurship, University of Michigan-Shanghai Jiao Tong University Joint Institute, Shanghai, China © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_10

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national policies for large-scale reduction in global greenhouse gas (GHG) emissions through international negotiations under the United Nations Framework Convention on Climate Change (UNFCCC) process (UNFCCC 2015a). Despite this urgency, climate change policies at the national level are not being implemented at the pace and scale required to limit global temperature rise by 2 °C, as targeted in the Paris Agreement to avoid the prospect of crossing catastrophic irreversible tipping point in climate system (UNFCCC 2015b). A review of global politics around climate change and international efforts to reach an agreement on climate change found that the reasons which are slowing the progress in climate action include concerns about the costs of climate action on the economy, fairness of sharing the burden of the costs across various sectors of the economy and domestic politics around climate change (Karim 2020). The realisation that the goal of mitigating climate change alone may not be enough to motivate countries to climate action has led to growing research in the assessment of climate polices to identify other non-climate-related benefits resulting from climate action. It has been found that most climate policies have wide range of positive macro-economic, environmental, human health, social, and equity effects on areas other than climate. These additional benefits from climate action are often referred to as ‘co-benefits’ (Karim et al. 2021). For example, many climate change mitigation policies have co-benefits in advancing progress towards achieving several Sustainable Development Goals (SDGs), in such areas as ‘health (SDG 3), sustainable energy (SDG 7), economic growth (SDG 8), sustainable industrialisation (SDG 9), reducing inequities (SDG 10), sustainable urbanisation (SDG 11), and others’ (UN DESA and UNFCCC 2019, pp. 35–36). On the other hand, several SDGs within the sustainable development agenda can significantly contribute to achieving the goals of the Paris Climate Agreement. For example, ‘the energy transitions envisioned in SDG 7 are vital to lowering GHG emissions relative to ‘business as usual’ pathways. Similarly, sustainable industrialisation (SDG 9), sustainable food production systems and resilient agricultural practices (SDG 2), responsible consumption and production (SDG 12), and sustainable management of forests and other terrestrial ecosystems (SDG 15) as well as of oceans (SDG 14) can all contribute to low-emissions pathways, the creation of decent work and quality jobs and long-term progress in eradicating poverty and other deprivations’ (UN DESA and UNFCCC 2019, p. 6). This suggests that addressing climate change and development issues separately is not an effective approach. Rather, an integrated or ‘co-benefits approach’, which addresses the two issues together, would be more effective not only on cost grounds but also on the grounds of achieving broader sustainable development benefits. Cobenefits of climate actions has led to a paradigm shift in our understanding of how to reframe climate actions from ‘burden sharing’ to a growing extent of ‘benefits sharing’—a move that was echoed both in the Paris Climate Agreement and the 2030 Agenda for Sustainable Development. Article 6.4 of the Paris Agreement and the 2030 Agenda for Sustainable Development provide for ‘a strong foundation for coherent implementation of climate action and sustainable development objectives across all levels and sectors by exploiting synergies and co-benefits’ which can

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simultaneously deliver SDGs and climate change mitigation goals (UNFCCC 2015a, p. 7; UN DESA and UNFCCC 2019, p. 6). In this chapter we focus on exploring the possible linkages and synergies between climate action and certain SDGs and how best to establish those linkages and attain synergies by activating co-benefits in the policy process into coherent development and mitigation pathways, in the context of local political, economic and social circumstances. The chapter starts by introducing the SDGs and their linkages with climate action (both mitigation and adaptation) and how best to leverage those linkages and attain synergies in designing policies to (i) achieve one or more of the SDGs and attain climate benefits and (ii) address climate change whether mitigation or adaptation and advance progress in other SDGs simultaneously. Then it discusses how ‘co-benefits approach’ can help policymakers to link climate policy goals with SDGs. The next section presents the main findings of a study focusing on use of ‘cobenefits approach’ by local government to integrate climate action with local development goals in Australia and suggests possible measures that could assist policymakers to purposefully consider, plan, generate and activate co-benefits to link climate action with local development goals. This is followed by a discussion on policy implications of the findings and the transferability of the research to settings outside Australia. The chapter concludes by suggesting the need of adopting a ‘co-benefits approach’ in the policy process to simultaneously deliver the goal of the Paris Climate Agreement while taking forward the commitment to the 2030 Agenda for Sustainable Development.

10.2 Sustainable Development Goals and Their Linkages with Climate Action The sustainable development goals (SDGs) are a universal set of global development policy goals applicable for all countries worldwide. All member states of the United Nations (UN) endorsed SDGs as part of the 2030 Agenda for Sustainable Development at the United Nations Sustainable Development Summit in 2015. The SDGs are devised to frame development policies comprehensively encompassing all three dimensions of development—economic, environmental and social. The SDGs consist of 17 goals and 169 targets and address critical issues facing the world today, including eradicating poverty, tackling global inequality and climate change, promoting sustainable urbanisation and industrial development, protecting natural ecosystems, and fostering the growth of peaceful and inclusive communities and governing institutions. The 17 ‘SDGs were conceived as inseparable precisely to discourage focus progress towards one goal or target while neglecting others, with a risk to sustainable development’ (UN DESA and UNFCCC 2019, p. 20). The

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S. M. Karim and P. Ray Goal 1. End poverty in all its forms everywhere. Goal 2. End hunger, achieve food security and improved nutrition, and promote sustainable agriculture. Goal 3. Ensure healthy lives and promote well-being for all at all ages. Goal 4. Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all. Goal 5. Achieve gender equality and empower all women and girls Goal 6. Ensure availability and sustainable management of water and sanitation for all. Goal 7. Ensure access to affordable, reliable, sustainable, and modern energy for all. Goal 8. Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all. Goal 9. Build resilient infrastructure, promote inclusive and sustainable industrialization and foster innovation. Goal 10. Reduce inequality within and among countries. Goal 11. Make cities and human settlements inclusive, safe, resilient and sustainable. Goal 12. Ensure sustainable consumption and production patterns. Goal 13. Take urgent action to combat climate change and its impacts. Goal 14. Conserve and sustainably use the oceans, seas and marine resources for sustainable development. Goal 15. Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, halt and reverse land degradation and halt biodiversity loss. Goal 16. Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels. Goal 17. Strengthen the means of implementation and revitalize the global partnership for sustainable development.

Fig. 10.1 The sustainable development goals (SDGs) (Source UN 2019 https://sdgs.un.org/2030ag enda)

Fig. 10.1 enlists the 17 goals. A complete list of the SDGs with the targets framed under each goal is available at https://sdgs.un.org/2030agenda. There is now clear recognition by the United Nations negotiators that ‘many global development goals within the 2030 Agenda, from poverty eradication (SDG 1) and ending hunger (SDG 2) to protecting the planet’s oceans (SDG 14) and conserving biodiversity (SDG 15), will be unattainable if climate change is left unchecked’ (UN DESA and UNFCCC 2019, p. 13). While one of the SDGs—SDG 13 specifically, relates to tackling climate change and its impacts, there are several targets in other SDGs which have bearing upon climate change mitigation, adaptation and resilience building. This indicates that actions to tackle climate change are firmly embedded within the 2030 Agenda. Based on the review of the existing literature, this section explores the possible linkages and synergies between the SDGs and climate action (see Fig. 10.2). The linkages discussed here are derived from the general scientific opinion on the theoretical possibilities for synergies between the two agendas found in the literature contrasted with the experience on the ground of selected countries based on their actions related to SDGs and climate change, as reported to the UNFCCC in their Nationally Determined Contributions (NDCs). It is pertinent to point out here that

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Fig. 10.2 The possible linkages and synergies between the SDGs and climate action (Source Author—developed from UN DESA and UNFCCC 2019)

the opportunities and barriers to leveraging the different linkages between the SDGs and climate action would vary depending on individual country’s prioritisation of different sets of development and climate actions. A recent analysis of the SDG targets and indicators by the United Nations Department of Economic and Social Affairs (UN DESA 2019) observes, ‘in most cases, progress towards specific socioeconomic goals reinforces progress towards climate goals, and vice versa; in some cases, however, difficult trade-offs may need to be addressed (e.g. providing universal, affordable energy access while transitioning rapidly away from carbon-based energy; expanding transportation infrastructure without increasing GHG emissions apace’ (UN DESA and UNFCCC 2019, p. 20). Their analysis highlights particularly three SDGs—SDG 2 (zero hunger), SDG 7 (sustainable energy) and SDG 11 (sustainable cities) which can significantly contribute to achieving the goals of the Paris Climate Agreement. The goal of providing clean and affordable energy to all envisioned in SDG 7 (sustainable energy) is formulated as such that its targets link social equity with climate action. Achieving this goal will raise living standards and economic development for all and simultaneously could reduce GHG emissions, thereby contributing to the objectives of the Paris Agreement (Lacey et al. 2017). Similarly, the goal of sustainable food production systems and resilient agricultural practices (SDG 2) while aims to improve food security and provide economic benefits could simultaneously deliver roughly one third of the reduction in GHG

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emissions needed to stay within 2 °C temperature rise (Griscom et al. 2017) and provide adaptation to climate change impacts such as more extreme weather and sea level rise through restoration of forests, degraded lands and coastal zones (NCE 2018). The goal of sustainable cities and communities (SDG 11) while aims to plan cities which not only encourage social inclusion with the prospect of realising local health, employment and productivity benefits but also offer opportunity to build environmentally sustainable cities by avoiding a lock-in to car-based urban transport systems and to opt instead for other sustainable modes of transport, such as a mix of public transport and non-motorised transport thereby minimising cities’ carbon footprints (NCE 2018). On the other hand, situating climate action in the 2030 Agenda, Intergovernmental Panel on Climate Change (IPCC 2018) identifies potential synergies between climate action (both mitigation and adaptation) and sustainable development outcomes. IPCC observes ‘the number of synergies between mitigation response options and sustainable development exceeds the number of trade-offs in energy demand and supply sectors; agriculture, forestry and other land use (AFOLU); and for oceans (very high confidence) […] The 1.5 °C pathways indicate robust synergies, particularly for the SDGs 3 (health), 7 (energy), 12 (responsible consumption and production) and 14 (oceans) (very high confidence)’ (IPCC 2018, pp. 447–448). Building on IPCC’s observations a report with a focus on linking Nationally Determined Contributions (NDCs) and Sustainable Development Goals (SDGs) has examined the linkages between the two agendas (van Tilburg et al. 2018). Rather than mapping language in NDCs against SDGs and their targets, it used the SDG Climate Action Nexus (SCAN) tool which groups climate actions into broad categories and then links those action types to various SDG targets. The investigation identifies ‘more than 500 possible linkages between specific climate actions and SDG targets and observes that more than 80% of those linkages could be leveraged where climate action can positively impact several SDGs. It identifies specifically five areas where those positive impacts are most heavily concentrated: sustainable energy (SDG 7), industry, infrastructure and innovation (SDG 8), sustainable cities (SDG 11), sustainable consumption and production (SDG 12) and life on land (SDG 15)’ (Gonzales-Zuñiga et al. 2018). Perhaps the most valuable message that comes out of this investigation is the identification of certain climate change mitigation actions which lead almost exclusively to positive potential impacts on the SDG targets, while some lead to a mix of positive and negative potential impacts.

10.3 How do Co-Benefits Link Climate Action with Development Policy Goals? The realisation that addressing climate change and development issues demands an integrated approach prompted the UNFCCC as well as several international and

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government organisations to investigate co-benefits of various climate policies to identify other non-climate-related benefits resulting from climate action. The purpose of these efforts was to find ways to integrate co-benefits into mainstream climate policy-making process for the coherent implementation of climate action and sustainable development objectives across all levels and sectors (UN DESA and UNFCCC 2019). In the IPCC’s Fifth Assessment Report (AR5)—‘co-benefits’ is featured as a central concept in the discussion about mitigation policy options that highlight the necessity of a multi-objective policy perspective for integration of climate policies with non-climate development policies (IPCC 2014). The AR5 in its Summary for Policymakers (SPM) has clearly identified both sectoral and cross-sectoral pathways and measures for mitigation with co-benefits potential (IPCC 2014). Multiple scenarios are considered based on various technological and behavioural options with implications for sustainable development. These scenarios highlight ‘reduced costs for achieving air quality and energy security objectives, with significant co-benefits for human health, ecosystem impacts, and savings of resources and resilience of the energy system’ (IPCC 2014, pp. 16–17). The IPCC report identifies the energy-supply sector as the main source of GHG emissions (14.4 GtCO2 /year in 2010), followed by transport (6.7 GtCO2 ), buildings (8.8 GtCO2 ), and industry (13 GtCO2 ), with agriculture, forestry and other land use (AFOLU) (10–12 GtCO2 ) seen as other major ‘energy end-use’ sectors. These sectors are considered for mitigation through pathways with a range of technological and behavioural options. Measures to increase energy efficiency and changes in behaviour pattern and lifestyle that cut energy demand are identified as key mitigation strategies in the energy-supply sector. Both sectoral and cross-sectoral studies provide supporting evidence that implementing such strategies in the transport, building, and industry sectors can significantly reduce energy demand as well as generate important co-benefits (IPCC 2014). The report observes: ‘Mitigation options in urban areas vary by urbanisation trajectories and are expected to be most effective when policy instruments are bundled … Effective mitigation strategies involve packages of mutually reinforcing policies, including colocating high residential with high employment densities, achieving high diversity and integration of land uses, increasing accessibility and investing in public transport and other demand management measures. The largest mitigation opportunities are in rapidly urbanising areas where urban form and infrastructure are not locked in, but where there is often limited governance, technical, financial, and institutional capacities’ (IPCC 2014, pp. 25–26). Adopting these strategies policymakers can formulate policies that can mitigate climate change while simultaneously attain significant local co-benefits, which include reduced travel demand, improved access and mobility, reduced air pollution, and health co-benefits. However, the extent to which co-benefits can be achieved in a planned and purposeful manner is a complex combination of many underlying factors. Since policy settings, vary widely across national boundaries, governance levels (i.e. federal, state and local) and geographic locations (i.e. urban and rural), the application of co-benefits approach to addressing climate change and development

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issues is dependent upon these variables (Puppim de Oliveira et al. 2013). These challenges necessitate a careful and systematic approach to analysing the local context (Bai et al. 2012; Proust et al. 2012).

10.4 Co-Benefits Approach to Linking Climate Action and Development Policy Goals: An Australian Perspective Australia is one of 193 countries that committed to attain the 2030 Agenda for Sustainable Development and its 17 SDGs. Australia has also endorsed the Paris Climate Agreement and committed to work with other countries towards reducing greenhouse gas ‘emissions to levels consistent with limiting global warming to less than 2 °C above pre-industrial levels’. To this end, Australia has pledged ‘to reduce its GHG emissions by 26–28% on 2005 levels by 2030 as its Nationally Determined Contribution (NDC) to the UNFCCC’ (CoA 2015, pp. 1–3). Following endorsement of the Paris Agreement, Australia is facing the task of aligning its NDC with existing national climate plans and policies to increase the probability of delivering on the NDC. At the same time, amidst the predominant concern that strong climate action could hinder Australia’s economic growth, it also needs to identify the synergies and trade-offs between climate action and development policy goals in preparing its Voluntary National Report (VNR) on the SDGs in taking forward its commitment to sustainable development agenda. While some ‘links between climate action and the economy involve trade-offs’, there is now growing recognition that ‘well-designed and executed climate policies can yield significant co-benefits for the economy, society and the environment’ (O’Connor and Bouyé 2019, pp. 28–29). However, in Australia, co-benefits are hardly discussed ‘in the government’s climate policy discourse and there is limited understanding of the concept and its application among policymakers in climate change-related policy-decision-making process’ (Karim 2020 p. 348). This section presents the main findings of a broader investigation focusing on the role of co-benefits of low carbon policies as a motivating factor in climate action in Australia (Karim 2020). The investigation identified the key issues that may have a significant bearing on possible adoption and scaling up of a co-benefits approach by governments in their efforts to link climate action with development policy goals. Background The main investigation focused on understanding how local governments are responding to climate change; the rationale behind their decisions to adopt various measures that relate to greenhouse gas (GHG) emissions reduction; the consideration of various benefits from those measures in the decision-making process; and the possible interventions needed to promote co-benefits in local government policy processes.

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Methods A methodology was developed to analyse the use of co-benefits in local government climate-related policies in New South Wales (NSW). The geographic area of investigation for the study was the Sydney Greater Metropolitan Region and surrounding local government jurisdictions. Investigation comprised three phases: a targeted online survey; review of councils’ climate-related policies and in-depth interviewing of council officers. The investigation focused primarily upon policy processes at the local government level, but the research also investigated the links of local to state and broader national processes. Results The investigation reveals that climate action at the local government level in NSW is primarily driven by the dual objectives of reducing GHG emissions and energy consumption. A focus on monetary considerations, together with constrained authority, policy and legislative support from higher levels of government, absence of data and know-how to assess co-benefits collectively, are key influences. As a result, most councils target only certain (quantifiable) benefits from ‘energy-related’ mitigation measures. Consequently, wide ranging environmental, social and health benefits are excluded from considerations in local government’s climate change-related policy process. This results in exclusion of the ‘non-climate- and non-energy-related benefits’, which comprise very significant and large group of health-related benefits. While all of these have potential monetary savings for the health budget, these benefits are not explicitly considered in the decision-making process. Omission of these benefits from considerations in the policy process limits councils’ ability to attain full benefits resulting from policy measures related to climate change. The study found Australian governments’ climate policies and programs currently lack a multi-sectoral approach, synergy and coordination across various levels of government. Consequently, local government actions on climate change are generally driven by sectoral policies and projects towards service delivery without paying meaningful attention to co-benefits. The findings also highlight local government’s limited regulatory authority in areas where there are opportunities to generate a wide range of non-climate- and non-energy-related benefits from cross-sectoral policies. The findings suggest a broader policy direction from state to local government is required to facilitate adoption of a co-benefits approach by local government. This will enable councils to effectively link climate action with local development policy goals and achieve synergy and maximise co-benefits.

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10.4.1 Conceptual Clarification and Consensus on Co-Benefits Conceptual clarification and consensus on co-benefits are prerequisites to advancing a co-benefits approach for climate action and policy (Puppim de Oliveira et al. 2013). Australian researchers, policymakers and stakeholders need to reach an agreement on a working definition of co-benefits that would be appropriate to the Australian context. At the very minimum, a clear account of the multiple benefits should be incorporated into the policy and/or project objectives and framework. A review of the major definitions of co-benefits (Karim 2020) suggests that they are all based on a common understanding that policies that are clearly formulated to address climate or development objectives can result in wider benefits, which include both development as well as climate benefits. With this understanding in mind, an operational definition of the co-benefits approach could be developed. Such definition may be developed into a set of guidelines for developing policies and projects to make sure that the co-benefits approach is incorporated at the beginning (Castillo et al. 2007), thus laying the foundation for embedding climate change policies within an overarching framework of sustainable development strategies. Endorsement of the definition by Australian governments will demonstrate to different stakeholders and the public an explicit commitment for embedding co-benefits in any development project. Moreover, this explicit recognition will encourage exploring potential links that may exist between different sectors, as well as providing incentives for investment in developing technologies, human resources, and research and development for the generation of scientific and technical knowledge about co-benefits relevant to the Australian context.

10.4.2 Developing and Adopting a Co-Benefits Framework The findings presented above, as well as the literature review, suggest that the most obvious step to purposively consider, plan, generate and integrate co-benefits would be to develop and adopt an overarching co-benefits framework for Australia (Karim 2020). A framework is required to assist policymakers to devise policy objectives that can purposefully generate co-benefits by setting principles, target areas and goals for the long-term that would serve as a foundation for policy actions. It would assist policymakers to follow a consistent and analytical approach in policy-decisionmaking to attain the maximum net-benefit regarding climate, economic, social, and environmental dimensions. Formal adoption of a co-benefits framework would facilitate necessary reforms in the policy, regulatory and financing frameworks for local councils to incentivise and promote co-benefits. This would open avenues to strengthen local government’s autonomy and capacities in terms of better regulation and their effective enforcement, enhanced institutional coordination, integration of various policies across different

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sectors, reform in local government budget allocation process, better engagement with the community and stakeholders, awareness and advocacy, and promotion of innovations. These are critical ingredients of a supportive policy-making environment for adopting a co-benefits approach within local government policy context (Narender and Sethi 2018).

10.4.3 A Co-Benefits Framework for NSW Local Governments The study found that local priorities influence local government’s decisions for purposively favouring some co-benefits over others. Most targeted co-benefits are those that are readily identifiable, quantifiable, short-term, attributable and opportunityoriented. This suggests that promoting a priority- and interest-oriented approach to co-benefits is likely to resonate well with NSW local government’s current approach to co-benefits. This will provide necessary impetus for a head start in formal embracing of a co-benefits approach by NSW councils, which could be improved upon through ongoing assessment. The proposed co-benefits framework would facilitate linking local climate action planning with local councils’ current priorities and development goals in their Community Strategic Plans (CSPs). Operating within the proposed framework, NSW local government policymakers would be able to develop detailed climate action plans focusing on those priorities and goals to generate wider non-climate-related co-benefits. The framework would provide a number of advantages for promoting the co-benefits approach within the existing Integrated Planning and Reporting (IP&R) framework. These are as follows: i.

ii.

iii.

Since the goals in the CSPs are already endorsed by the community, a local climate action plan developed around these goals would likely get community support. As the goals in CSPs are generally supported by detailed strategy for actions, it would be easier for councils to align their climate action plan with these strategies. The goals identified in the CSPs are often closely related, cross-cutting operational areas where most councils have the organisational structure required to coordinate actions to achieve these goals.

In such a framework, policymakers would be required to consider different policy options and assess their potential impacts simultaneously. By making comparison of the various impacts of different policy actions, councils would be able to make determinations on the most efficient and fair policy action based on evidence, for climate as well as non-climate local objectives. Such action would lead to the fulfilment of the local developmental goals as well as the intended impact on both reducing GHG emissions and adjusting to the impacts of climate change. An outline of the different parts of the framework is given below.

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10.4.4 Overview of the Framework As research on the co-benefits of climate policies and related science is still evolving, it is not feasible to conceptualise an all-encompassing framework for a comprehensive evaluation of co-benefits. While the review of the literature has found many examples of methodologies and tools which are used to analyse various climate policies and their impacts, to date there has been no coherent attempt to organise these under a unified framework for utilising these resources systematically within a local government climate policy context (Karim 2020). The framework presented here aims to fill this significant gap by integrating and building on various approaches and methodologies that already exist. In particular, the framework is devised based on the synthesis of various methods, tools and processes from the following: i. ii. iii. iv. v. vi.

vii.

Guiding Principles for City Climate Action Planning (UN-Habitat [United Nations Human Settlements Programme] 2015); Cities for Climate Protection Milestone Guide (ICLEI [International Council for Local Environmental Initiatives] 2008a); Climate Action Planning Framework (C40 Cities [C40 Cities Climate Leadership Group 2018); Climate Policy Evaluation Framework (UNEP [United Nations Environment Programme] 2011); Co-benefits of urban climate action: A framework for cities (Floater et al. 2016); Urban Climate Action Impacts Framework – A Framework for Describing and Measuring the Wider Impacts of Urban Climate Action (C40 Cities and Ramboll 2017) and Measuring the co-benefits of climate change mitigation (Ürge-Vorsatz et al. 2014).

The purpose is to provide guidance to local government policymakers to navigate, select and appropriately use available resources to identify, quantify and incorporate broader social, environmental and economic co-benefits of climate-change-related policies, which can then feed into existing decision-making frameworks. Figure 10.3 illustrates the different phases of the framework with their associated components. The proposed framework is structured into four key phases as follows: Phase 1: Developing a Climate Action Plan (CAP): This is the process for developing a detailed plan for action by local government to address climate change. It describes the guiding principles to be followed in developing such a plan, outlines its key components and its role as an essential part of the framework that would link climate action planning with local councils’ priorities and goals in the CSPs. Phase 2: Identifying Climate Action Impacts: This is the process for identifying the links between various climate policy actions and their wider (non-climate) impacts. This phase is critical as it helps policymakers to verify the climate policy impacts and their actual co-benefits.

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Fig. 10.3 A co-benefits framework for NSW local government (Source developed from—C40 Cities and Ramboll 2017; C40 Cities 2018; Floater et al. 2016; ICLEI 2008a; UNEP 2011; UNHabitat 2015; Ürge-Vorsatz et al. 2014)

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Phase 3: Quantifying and Valuing Co-benefits: This involves quantifying the identified impacts of co-benefits to enable their integration into local government’s existing decision-making frameworks. Phase 4: Incorporating Co-benefits: This describes various methods available that could be considered for incorporating co-benefits of climate change policies into local government’s existing decision-making frameworks. While Fig. 10.3 helps to illustrate how the proposed framework would operate, at the same time its limitations must also be acknowledged, as it is a simplified representation of a complex process. A detailed discussion of each part of the framework and how it would operate can be found in the study (Karim 2020). Limitations of the framework While it has been demonstrated in the study how a co-benefits framework could be developed, a proper evaluation of co-benefits and their incorporation into local government policy-decision-making processes is a challenging and potentially resource-intensive task. Overall, the methods discussed in the proposed framework often require extensive analytical work for comprehensive assessment of co-benefits. Evaluating each co-benefit and properly considering its interactions and integrating these into local government decision-making framework would require significant research endeavour even for a single policy/measure. This points to the need to: (i)

(ii)

develop simplified methods and easy-to-use toolkits that can assist policymakers to assess particular co-benefits in their local situations without undertaking major research endeavour, and devise streamlined processes to incorporate co-benefits with the direct benefits of climate policy measures.

10.5 Discussion The previous section discussed the possible interventions that would be necessary to implement a co-benefits approach for climate action by the local government in Australia. Drawing on the key findings of the broader study (Karim 2020), it suggested the following as the key measures required to integrate co-benefits in local government’s climate change-related policy-decision-making processes: i. ii.

iii.

Adoption of an overarching co-benefits framework, at both national and state level, in consultation with local government. Agreement on an operational definition of co-benefits appropriate for the Australian context, which needs to be endorsed by the three levels of Australian government. Policy directions from state to local governments to facilitate necessary reforms in the policy, regulatory and financing frameworks incentivising co-benefits in the local government policy process.

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To demonstrate how such a framework could be developed, a conceptual cobenefits framework for NSW local councils was proposed and its major stages and associated components outlined. The proposed framework hopefully would provide local councils in NSW with an opportunity to align their climate policy goals with local development goals. By adopting the framework, local government policymakers would be able to develop integrated policy programs that would have the most climate benefits, as well as the most substantial economic, environmental, health and social benefits. The advantages of local government adopting such a framework would be substantial. If properly adopted, the framework would enable local government to expand its present practice of using co-benefits in targeting only energy efficiency-related fiscal savings to incorporating wider range of benefits that include various non-climate- and non-energy-related benefits of GHG emissions-reduction measures. Among them are the largest and most important group of co-benefits that are related to human health and wellbeing. Incorporation of such broader benefits of climate policies in the local government’s policy processes can significantly enhance policy outcomes. This, consequently, will accelerate the take-up of less-carbon intensive development policies and measures by the policy-decision-making community in Australia. Given that this research was conducted in the NSW local government context in Australia, drawing generic conclusions based on the findings is challenging. But at the same time, the findings are not only limited to NSW local government as they also reveal consistent trends comparable with similar studies conducted elsewhere. Together, those studies and this research contribute to an understanding of co-benefits in general. Since the area of investigation was geographically limited to the councils in Sydney’s Greater Metropolitan Region and rural and regional NSW, the transferability of the findings as a whole may be somewhat limited. Despite this limitation, this research provides some valuable insights into local government’s existing practice of applying co-benefits approach in dealing with climate change. The findings of this research are also relevant for policymakers in other parts of the world as they could draw valuable lessons about utilising a co-benefits approach in developing their future climate policies. This would ultimately help the decision-making community at the national level across the world in developing effective strategies for purposively considering, planning, generating and integrating co-benefits in climate change-related policy decision-making process. Moreover, this research will provide direction and open new avenues for further research on climate co-benefits.

10.6 Conclusion While the United Nations’ 26th climate summit at Glasgow—COP26 has concluded with mixed results, the sole question facing an average observer is ‘will COP26 succeed in meeting the internationally-agreed goal of holding global heating to1.5 °C this century?’ The answer to this question depends on how all countries in coming years will reconcile their policy agendas aimed at moving quickly and decisively to

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decarbonise their economies to fulfil their commitment to the Paris Climate Agreement while taking forward their commitment to the 2030 Agenda for Sustainable Development. Given the ubiquitous impact of climate change across all levels and sectors of development and close interdependencies between climate actions and development plans and policies, linking the two agendas of climate action and sustainable development is critical. While there has been no recommendation of endorsing co-benefits as a policy mechanism for coherent implementation of climate change and sustainable development policies at COP26 (Chastin 2021; Mountford et al. 2021), we hope the UN SDGs will take up co-benefits as a way to accelerate action on climate change and link the two agendas of climate action and sustainable development goals as envisaged in Article 6.4 of the Paris Climate Agreement (UNFCCC 2015a, p. 7; UN DESA and UNFCCC 2019, p. 6). The ‘co-benefits approach’ to addressing the two agendas together can help policymakers to simultaneously deliver climate change mitigation and sustainable development goals by realising synergies and minimising trade-offs between the two agendas. For this, governments need to investigate what adjustments they could make in their existing policy-decision-making framework that would facilitate the adoption of co-benefits approach to planning and policymaking processes which would ensure coherent implementation of climate action and sustainable development objectives across all levels and sectors.

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Chapter 11

Social Entrepreneurship and Disaster Risk Reduction—A Case of India Muhammed Sulfikkar Ahamed, Ranit Chatterjee, and Rajib Shaw

Abstract The Sendai Framework for Disaster Risk Reduction 2015–30 has stressed on public and private investments for empowering the social, economic and cultural resilience of the communities, and suggests that these investments could be the driver of innovation, growth, and job creation. Social entrepreneurship is an emerging field with over 40 million global workforces and holding significant shares in the gross domestic product of countries such as the United Kingdom and France. Despite growing popularity, Social Entrepreneurship is still new in disaster risk reduction. This chapter attempts to provide key learning on social enterprises, its characteristics, from literature study. The authors have undertaken a systematic review of key pieces of literature to promote a conceptual framework. Further, the authors have applied the framework on selected case studies from India in disaster management to derive key insights for social entrepreneurship. The outcome of the study is to derive effective instrument for characterization of social entrepreneurship, and to promote a way forward. Keywords Social entrepreneurship · Disaster risk reduction · Sendai framework · Systematic review · India · Case studies · Conceptual framework

11.1 Introduction Entrepreneurship has been conversed in business and economics for many decades. Sources reveal that Mr. Richard Cantillon was the first to use the term “entreprendre” in 1755 in economics to denote people who engaged in assembling raw materials and producing products whose sale prices are correlated to its production cost (Dees 1998; M. Sulfikkar Ahamed (B) · R. Chatterjee · R. Shaw Resilience Innovation Knowledge Academy, New Delhi, India e-mail: [email protected] R. Chatterjee Graduate School of Informatics, Kyoto University, Kyoto, Japan R. Shaw Graduate School of Media and Governance, Keio University, Fujisawa, Japan © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_11

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Entrepreneur Handbook 2021). Entrepreneurship helps in generating employment, and acts as a key source of innovation amongst competitors, alongside adding value to the national and global economy (Dees 1998). In idiolect, an entrepreneur is a person, who invests and runs business, by taking all the risk factors. Richard Cantillon in 1755, drew parallels to adventurers while defining entrepreneurs, suggesting the risk undertaken by them to avail fruitful business opportunities (Entrepreneur Handbook 2021). Classical economists such as Jean Baptiste Say, John Stuart Mill underpinned the definition, alongside highlighting farsightedness, value creation, and analytical expertise possessed by the entrepreneurs. Robert Schumpeter added the concept of innovation to the entrepreneurial sphere, suggesting the ability of the entrepreneur to analyze, and exploit novel opportunities (ibid). The concept and its definitions have assumed wider perspectives, and have taken new forms. One of the emerging approaches in entrepreneurship is Social Entrepreneurship. Social Entrepreneurship refers to entrepreneurship focusing on adding values to the social cause, whereby the entrepreneurs solve the imminent crisis or the forthcoming. This is backed by a business like discipline, innovation, and associations (Abu-Saifan 2012; Leadbeater 1997). The field has been attracting millions of entrepreneurs to contribute to various causes, including disaster risk reduction, and many policies have been devised to support such entrepreneurship such as microcredits (United Nations 2020). With novel frameworks such as the Sendai Framework for Disaster Risk Reduction (UNDRR 2015) focusing on promoting resilience through investments in small scale that are community-driven for effective disaster management, the scope has widened for social enterprises. While these developments exist, there is significant confusion and uncertainty concerning the social entrepreneurship, and its characteristics (Abu-Saifan 2012; Weerawardena and Sullivan Mort 2006). To address this, authors have advocated a study on social entrepreneurship. The aim of the study is to generate a conceptual framework for the characteristics of social entrepreneurship. In order to achieve this, the following objectives are met: • To carry out a detailed literature review to understand the characteristics of the social entrepreneurship • To generate a conceptual framework of significant characteristics of social entrepreneurship The next section discusses the brief on literature on the global and national context of social entrepreneurship, followed by the methodology adopted for the study. The section is followed by the findings in Sect. 11.3 leading to the development of the framework in Sect. 11.4. The next sections apply the framework to real-world cases and discuss the outcomes.

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11.2 Understanding Social Entrepreneurship and Its Evolution The studies on social entrepreneurship have been gaining popularity over the years (Yiu 2015). Social entrepreneurship refers to the process of engaging in entrepreneurship, whereby the entrepreneur identifies a social opportunity, formulates an economic model, and proceeds further to support the social mission it accommodates (Dees 1998; Tiwari et al. 2017). These entrepreneurs show significant diversion from the pro-economic model to a socially driven model, focusing on social value addition (Abu-Saifan 2012; Makhlouf 2011). Europe is credited as the birthplace of social entrepreneurship (United Nations 2020). The 2008 financial crisis (Petrella and Richez-Battesti 2014) and the growing acceptance of the concept of social capital further supported this movement (OECD 2007). Various reports suggest the growing presence of social enterprises in the global sphere. The global entrepreneurship monitor or GEM assessment (Bosma et al. 2015) suggests that social entrepreneurship has a significant share in the entrepreneurship ecosystem, with an average of 3.2% of social enterprises in the world. The report suggests that out of the 58 economies surveyed, developed economic zones such as the United States of America, Australia and Western, and so on have large shares in the social enterprises. This development was further strengthened by various global frameworks that have highlighted the importance of these enterprises in growing issues such as climate change and disaster management. Take for example, The Sendai Framework for Disaster Risk Reduction (UNDRR 2015) has focused on private and public investments to foster resilience, innovation and knowledge to the community. The framework has highlighted the need for the whole-of-society approach, and the important role of the youth for resilience. Besides, various factors support the growth of social entrepreneurship in the world. The ability of social enterprises in addressing labor issues and reducing social inequalities through their missionoriented activities forms a key driving force in the growth of social entrepreneurship (Agapitova et al. 2017). Examples such as the case of Manitoba, Canada that saved around 200 million USD in unemployment costs support the argument. The feasible business model which supports the social mission is another factor driving the social entrepreneurship (Agapitova et al. 2017; Stephan et al. 2017). Other factors such as reduced gender gap, young age group, flexibility of work, contributions to the gross domestic product supports the growth (Agapitova et al. 2017; Ganesh et al. 2018). Countries such as India recognize the importance of social entrepreneurship in solving the key issues of the society (Tiwari et al. 2017). Various motivating factors support the growth of social entrepreneurship in India, such as being one of the fastest-growing economies, the country’s battling significant challenges concerning poverty (around 28% of the total population under the poverty line), and malnutrition and so on. This is complicated by the country’s high hazard vulnerability as reported by the National Disaster Management Authority (NDMA 2019) that states that out of 36 states and union territories, around 27 of them are disaster-prone. This opens various opportunities for the entrepreneurs in India in various sectors such as disaster

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management whereby they involve in supporting the recovery activities, promoting community rebuilding through business support plans, and other advocacy support for the affected communities (Chandra and Paras 2020). India has been registering a positive growth on social entrepreneurship since 2005 (British Council 2016) and has over 2 million plus social entrepreneurs. Social enterprises exist in three major forms across the country (Swissnex India 2015). They are (a) For profit ventures, which (b) Non-profit venture, and (c) Hybrid Models. For profit ventures are a novel adaptation of traditional business ventures in social entrepreneurship ecosystem, but with leverage for flexibility, that stands them apart from traditional businesses. A social for profit will incur the risks that are associated with the field, without any help from the government systems such as tax alleviation, but have the flexibility of exercising maximum control over its operations, and won’t have to report its activities with the government. However, accumulating wealth is not the prime motive; instead addressing the social mission forms the crux. Nonprofit ventures on the other are registered legal entities that conduct activities that are aimed for fulfilling social missions such as eradication of child labor, female empowerment, and so on. These organizations enjoy tax benefit, but are accountable to the society, and report their activities to the stakeholders, alongside generating revenue through philanthropical groups, government funds and earned income strategies. Hybrid Models involve organizations that are hybrid such as for profit and nonprofit undertaking within the same organizations, trading enterprises, and so on. The UNDP (UNDP India 2021) report on youth social entrepreneurship suggests that the country has witnessed large-scale turnover in the numbers, mostly in the urban centers (77%), highly dominated by the educated youth professional (89%). This could be attributed to the large presence of incubation centers in urban areas. With regard to the field of entrepreneurship, the report suggests that education (20%), health (8%), and information technology (11%) form the major represented sectors of young social entrepreneurs. In terms of the impacted populations, technology for development leads with maximum beneficiaries followed by financial services, education, healthcare, and agriculture. In addressing the sustainable goals, entrepreneurs responded by suggesting SDG-4 Quality Education, SDG-1 No poverty as the major goals, followed by SDG-8 (Decent health and wellbeing, SDG-13 (Climate action), with peace and justice being the least preferred goal (UNDP India 2021). Various policies and funding programs such as impact investors, CSR funds, crowd funding, and so on (Ganesh et al. 2018) support the growth of social enterprises in the country, even though there is no specific legality for “social entrepreneurship organization” in India (KPMG 2020). The table below summarizes the key policies relevant to the social enterprises in India (Table 11.1). In this chapter, the authors have focused on addressing the major inaccuracies in the characteristics of social entrepreneurship. Various pieces of literature reveal different characteristics of social entrepreneurships. To generate a framework for the characteristics of social entrepreneurship, the authors undertook systematic review of pieces of literature. Based on this, the authors chose a list of literatures, which were subjected to content analysis to identify the recurring dimensions for the generation

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Table 11.1 Selected key policies Policy

Content

Agency

Twelfth Five Year Plan, 2012

Focus on innovation and inclusive growth

Planning Commission, Government of India

Companies Act, 2013

Rules and procedures for the Ministry of Corporate Affairs formation of companies in India

India Inclusive Innovation Fund, 2014

Investments for social solutions with commercial output

Ministry of MSME

National Policy for Skill Development and Entrepreneurship Policy, 2015

A section focusing on fostering social enterprises

Ministry of Skill Development and Entrepreneurship

Startup India Action Plan, 2016 Empowering the startup revolution by promoting funding, incubation, tax exemption and so on

Department of Industrial Policy and Promotion

PM’s 10 point Agenda, 2016

Promoting risk coverage for National Disaster Management enterprises, encouraging Authority female participation in DRR

Atal Research and Innovation for Small Enterprise (ARISE)-Atal New India Challenge (ANIC), 2020

National mission for improving the research, innovation, and competitiveness of startups and MSMEs

NITI Aayog, Government of India

Source (British Council 2016)

of a framework for the social entrepreneurship. Further, the authors have selected significant grey literature to study further into social enterprises.

11.3 Findings The findings of the study based on the content analysis are discussed further in the section. Based on the content analysis, the authors generated 5 basic characteristics for social entrepreneurship. They are Social Mandate, Opportunity and Innovation, Interactions, Sustainable and Scalable Economic Model, and Profit Reinvestment, respectively. The details of each theme are discussed below: a.

Social Mandate The study reveals that social entrepreneurship is stimulated by the social orientation, usually represented in the form of mission, vision and value addition/impact that the entrepreneurship proposes. Pieces of literature suggest that social mission forms the apex goal of a social entrepreneurship (Dees 1998;

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b.

Weerawardena and Sullivan Mort 2006; Mort et al. 2003; Steiner and Atterton 2015; Pereverzieva and Osaul 2021). These orientations are driven by social need, and a desire for engaging in practices that support social change (Mair 2010; Makhlouf 2011; Sijabat 2015; Wulleman and Hudon 2015). A social entrepreneur considers him/herself as a mission leader (Abu-Saifan 2012; Leadbeater 1997), exhibits a socio-moral motivation to solve societal problems (Caldwell 2007; Cunha et al. 2015; Zaman et al. 2012), has a socially centric theme and is willing to put social value addition over economic value (Orhei et al. 2015; Voronkova et al. 2019). Social accountability, whereby there is a heightened sense of accountability to the constitutions served, is a mandatory for social enterprises (Dees 1998). This is significant as the major thrust of all enterprises do not align accordingly (Bacq et al. 2011). In conclusion, it can be drawn that social entrepreneurs are respectful and formalized by the social mandate. Sustainable and Scalable Economic Model

c.

Economic outlook of the social entrepreneurs make them unique, among institutions with similar vision and mission such as charity organizations (Akbulaev et al. 2019). The social enterprises formulate an economic model to generate an economic value, that can eventually support the mandates of the organization (Weerawardena and Sullivan Mort 2006; Chinchilla and Garcia 2017; Tiwari et al. 2017; Sijabat 2015). The theme accommodates two key aspects concerning the economic model: Scalability, and Sustainability. A major prerequisite of the economic/business model advocated is sustainability, whereby it ensures longterm sustainability, without any external funding. (Smachylo and Khalina 2018) suggests that the social enterprises should achieve financial independence and should be able to promote programs through the funds that are generated from the business activities. Similar learning could be identified by (Mair 2010). Another important aspect is the scalability of the model. Wulleman and Hudon (2015) suggest that social entrepreneurs work on local opportunities to generate a scalable model through experiences. Smachylo and Khalina (2018) suggests that social entrepreneurs strive for models that can go beyond boundaries, and thereby promote large-scale sustainability. Opportunity and Innovation Entrepreneurs are keen on comprehending and exploiting opportunities (AbuSaifan 2012). Social entrepreneurs focus on identifying opportunities in an unjust equilibrium, to generate innovative models that supports a novel equilibrium to the society (Makhlouf 2011; Mort et al. 2003). The literature study suggests that the resource recombination should be for an exploitation of opportunity, and the search for opportunity should be relentless, suggesting more exploitation of opportunities (Dees 1998; Capella-peris et al. 2019; Brock and Steiner 2019). Innovation is another important aspect of social enterprises. Studies suggest that enterprises should focus on promoting ways of recombining resources to add value to the social mission it undertakes (Weerawardena and Sullivan Mort 2006; Chinchilla and Garcia 2017). A major aspect of social enterprise is to bring forth techniques that were disregarded in the traditional system

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d.

(Leadbeater 1997). Mort et al. (2003) suggest that there should be a practicality of the proposed innovation. Kdq and Uõner (2015) suggest that such innovations should be able to permanently solve the problem, and generate equilibrium. Interactions

e.

The theme incorporates a significant aspect of social entrepreneurship. Social entrepreneurs are alliance builders, and thrust on social partnerships to achieve the goals, irrespective of differences (Leadbeater 1997; Dees 1998; Abu-Saifan 2012). Social enterprises utilize the innate capacity or the social capital of the community to generate positive social changes, and consider them as an essential resource (Mort et al. 2003). Besides, the organizational level treatment of employees is also a major factor concerning social enterprises. Social enterprises are known to accommodate flexible workforces, limited gender gap (Voronkova et al. 2019), with limited hierarchy to support the mission (Maguirre et al. 2016). These interactions are democratic, and support the growth (ibid). Profit Reinvestment Literature study suggests that profit reinvestment forms a major feature of social enterprises, and suggests that profit reinvestments ensure their critical character of loyalty to the social mission (Akbulaev et al. 2019; Orhei et al. 2015; York et al. ˙ (2015) suggests that the profit achieved through the financial model 2011). Zur is a way of extending the social mission, rather than economic stability. This is significant as the major thrust of social enterprises relies on social mission, that it accommodates, and not the entrepreneurship.

The figure represents the overall frequency of all the themes covered in the literature review (Figs. 11.1 and 11.2).

Social Mandate

Profit Reinvestment

Sustainable and Scalable Economic Model

Fig. 11.1 Themes and their frequency

Opportunity and Innovation

Interactions

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Fig. 11.2 Themes and associated keywords

11.4 Conceptual Framework Based on the discussion, the authors have formulated a conceptual framework for the critical analysis of social entrepreneurship. The framework promotes the basic characteristics of the social enterprises that need to be accommodated for successful ventures. The social entrepreneurship evaluation process covers various stages. The important aspect is the defined social mandate, which the organization upholds through its social mission, the value addition/impact. The opportunity recognition and innovation forms another aspect of the framework that deals with the identification of the “institutional vacuum”, and the associated innovativeness of the solution. These could be non-traditional approach to resource recombination, whereby the entrepreneur has achieved success. Sustainable and Scalable Economic model whereby a plan for fiscal management and associated sustainability that is scalable forms a major factor for critical analysis. The reinvestment of profit to promote further social value addition forms the final aspect of social enterprises. Fig. 11.3 below depicts the conceptual framework.

11.5 Importance of Social Entrepreneurship in Disaster Risk Reduction Disasters are growing exponentially in the world, with more disasters reported post-twenty-first Century (EMDAT 2019). These disasters have resulted in critical damages, and have affected over 4 billion lives all around the world, resulting in large

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Social Mandate

Opportunity and Innovation

Sustainable and Scalable Economic Model

Interactions

Profit Reinvestment

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• What is the proposed social mission and its relevance? • Is there any social Impact and value creation associated with the model? Is it supported by impact measurements?

• How relevant is the opportunity to the society? • How innovative is the model from the traditional approach?

• Is there any prescribed method for economy generation? • How sustainable is the model in terms of finance? Does it require continuous funding throughout to support the mission? • Is the model scalable to various geographic locations?

• How democratic is the organizational setup? Is there any prescribed hierarchy amongst workforces?Is there any gender gap? • Is there local partnerships with communities and potential collaborators such as similar social enterprises to meet the goals?

• Are there any activities that are funded by the enterprises to support social value addition, through their budget?

Fig. 11.3 Conceptual Framework for analysis

scale socio-economic, environmental and political crisis. The 2020 saw a further complexity in this phenomenon, when COVID-19 disrupted the complete world order, complicating the systems, and affecting disaster response and recovery. Enterprises form major sector affected by disasters, because of the shutdown of supply chains, and other critical services. The compounding effects of these hazards have called for effective risk management strategies that focus on community rebuilding, and long-term sustainability. Besides, these crises offer wide possibilities in other realms, especially social enterprises, even though these environmental crises cripple certain systems. Global frameworks have highlighted the significance of these enterprises in the risk reduction and sustainability of the communities. The Sendai Framework for

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Disaster Risk Reduction (UNDRR 2015), has promoted a whole-of-society approach, and has focused on private and public investments to foster resilience, innovation, and knowledge to the community (ibid). Various literature reveal significant roles of social enterprises in disaster management. One of the major focal points for social enterprise in disaster management is the post-disaster recovery and response that is extensively covered in literatures as per the author’s research. The rising environmental crisis, and the resource competition forms a major driving factor for social entrepreneurs (Nicholls 2006), resulting in “Post Disaster Social Entrepreneurship” (Chandra and Paras 2020; Galbraith and Stiles 2006). Chandra and Paras (2020) suggest that social enterprises form a part of key emergent response group, but are relatively novel in comparison to other institutions such as religious organizations, and so on. Various case studies exist for social enterprises in crisis management. Kaufman et al. (2007) discuss a case of American Jewish Joint Distribution Committee, and the role they played in integrating services for the Post-Soviet Fall Jewish communities, who were significantly affected. The authors explain the impact of the social enterprises in generating community capacity through training, and other works, which are significant for disaster risk reduction. Another case-based example of the significant role of the social entrepreneurs in the post-disaster recovery can be the work of social enterprises post-Tohuku Earthquake, 2011. The social enterprises played a major role in supporting the recovery activities, promoting community rebuilding through business support plans, and other advocacy support that helped the community (Fumi and Akihisa 2016). A similar case is described by Rayamajhee et al. (2020), who utilizes an empirical model to suggest the positive impact of social enterprises in active citizenship in co-producing vital public goods in post-disaster recovery. In conclusion, the social enterprises form a key backbone in building local capacity that can enhance the disaster risk reduction. Another important role essayed by the Social Entrepreneurs is in pre-disaster risk management by promoting a significant role in the training, and inclusion of communities, for reacting to the possible threats. These involve community mobilization programs, structural planning/retrofitting, early warning systems, and so on. A case-based example of social entrepreneurships in pre-disaster phases involve TreePeople USA that focuses on nature-based solutions for effective watershed management for flood and drought management, and high climate risk (Forbes 2012). Another example would be the Rural Volunteer India that focuses on community-based early warning systems for flood prone regions, and technologies for water level and contour-based flash flood forecasting systems and so on (ibid). There are critical factors that support the need for more social enterprises in disaster management in the world. Take for example, the case of India, which has around 9000 social enterprises that focus on disaster management (Saathi Re 2017). India is one of the most challenged countries in the world when it comes to disasters, which are mainly due to both geo-climatic positions as well as human-induced factors such as poor urban planning, etc., of the country. NDMA (2019) states that in India, out of 36 states and union territories, around 27 of them are disaster-prone. The report further states that around 5161 urban local bodies are prone to flooding, and close to 58% of the overall landmass is prone to moderate and high-risk earthquakes.

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Fig. 11.4 Social entrepreneurship in DRR. Source Based on various sources

This is important because the Census of India 2011 states that around 1 billion plus populations, and has 260 million-plus population (22%) living in poverty, with estimates suggesting rural poor to be around 1/4, which adds to the vulnerability (RBI 2020). These factors push for social enterprises for addressing disaster risk, as these enterprises could mitigate the impacts through short term, medium and longterm strategies such as community mobilization programs and so on. There are many working models currently in India, with more scope for extension. To learn further into the existing models of the social enterprises, the authors have advocated a casebased analysis of three major social enterprises working in DM in India, which is discussed in the next section. The Fig. 11.4 depicts some of the major activities of social entrepreneurship under the 4 key phases of disaster management.

11.6 Case Studies and Framework Application To study further, the authors have selected three social entrepreneurship models in disaster management through purposive sampling to assess them based on the identified five characteristics of the framework. The selected cases are of RIKA India, SEEDS India, and Rapid Response that are based in India. Resilience Innovation Knowledge Academy or RIKA India is a research-based for-profit social entrepreneurship that focuses on creating cost-effective solutions for disaster management and climate change. The entrepreneurship was founded in 2018 and, holds the social mission to promote global resilience through research innovation, and training. The organization promotes a model of consultancy social entrepreneurship that focuses on utilizing knowledge pool, and offers the platform of incubation for social startups of similar nature. The organization has collaborated with various stakeholders across national and international levels to promote projects

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to support its social mission, and has completed over a dozen projects in disaster risk management and climate change. Besides, the entrepreneurship has funded various competitions and runs an incubation hub for early stage social enterprises. Sustainable Environment and Ecological Development Society or SEEDS India is a social enterprise registered in India that focuses on disaster risk management. The organization was formulated in 1994 and promotes the motto of “Transforming the vulnerable into resilient and thriving communities”, and is a recipient of major accolades at National level. The enterprise has been involving with national and local level partners in disaster management, such as UNDRR, UNDP and so on, for various projects concerning disaster management and climate change. Rapid Response, India is a registered non-profit working in disaster management for over 70 years. The enterprise focuses on providing emergency assistance and longterm solutions to the victims of disasters, and promotes activities such as response and relief projects, school safety programs and so on across multiple locations in India. The team has strategic partnerships with various corporate organizations across the country such as Facebook, Paytm, and so on (Table 11.2).

11.7 Discussion The literature review and the case study analysis suggest significant inputs in social entrepreneurship. A key observation from the study is that while significant literature exists for the role of social enterprises in post-disaster recovery, very little research or documentation exists for social enterprises in disaster prevention, and mitigation. This is significant as many case-based analysis of social enterprises reveal that they do not confer to a specific phase of disaster management. There is an opportunity to contribute further in the area, as it can enhance the research and promotion concerning social enterprises. The literature reveals that there is a scope for more social enterprises in climate change and disaster management in India, owing to its geographical and social aspects such as poverty. This is significant to address the compounding challenges associated with disasters, as it can cripple an overburdened system such as India. The institutions and knowledge platforms should encourage more entrepreneurs to undertake climate change, and disaster management, to address the short term and long-term challenges, and to promote sustainability. Besides, from the study, it is revealed that there is a huge thrust of social enterprises from urban centers, which needs to be addressed as the country is highly rural in comparison to its urban population. These could be undertaken through widening incubation programs at rural areas, and encouraging rural communities in the process. Further from the analysis, it is revealed that social mission forms the major crux of all social enterprises. This results in significant challenge as many of the entrepreneurships that do not qualify as social enterprises claim as one based on this perspective. The conceptual framework has worked out to reduce these misconceptions concerning social enterprises, and add new perspectives such as sustainable economic model. The literature review further suggests that there is a need for both the economic

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Table 11.2 Case studies Features

Relevant questions

RIKA India

SEEDS India

RAPID RESPONSE India

Social Mandate

What are the proposed social mission and its relevance?

“To research, innovate, and train minds for global resilience.” The enterprise focuses on addressing the community oriented solutions for disaster risk reduction, climate change adaptation, environment management and sustainable development

“Equipping the most vulnerable with appropriate tools and technologies, sharing knowledge and skills and promoting linkages among stakeholders to prevent loss of life and suffering.” The enterprise focuses on building resilient communities through a holistic and inclusive approach for DRR and CCA

“To provide immediate, effective and sustainable support to the victims of natural disasters” The enterprise focuses on response measures and preparedness measures

Is there any social impact and value creation associated with the model? Is it supported by impact measurements?

The entrepreneurship focuses on promoting research studies, innovation and knowledge products for the society There is no impact measurement available for the enterprise

The entrepreneurship focuses on promoting services for addressing climate change, and disaster management through innovative buildings, nature-based solutions, new skills and so on The team has details on the impacted populations

The entrepreneurship focuses on pre-disaster preparedness activities, and promotes early responses to the affected communities through immediate aids, impacting communities The team has details on the impacted populations

How relevant is the opportunity to the society?

Highly relevant, as community based DRR and CCA are of high importance

Highly relevant

Highly Relevant

Opportunity and Innovation

(continued)

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Table 11.2 (continued) Features

Sustainable and Scalable Economic Model

Relevant questions

RIKA India

SEEDS India

RAPID RESPONSE India

How innovative is the model from the traditional approach?

Innovative, as the for-profit model offers services, knowledge products, and promotes a platform for social incubation of early stage entrepreneurs. The model supports an incubation hub, whereby it generates profit as an investor for early stage startups

Innovative, as the model has a hybrid approach, as a society and as a private limited

The model is designated as a non-profit trust, wherein it uses funds from various sources to fund the social mission. However, the team promotes an opportunity for innovative collaborations

Is there any prescribed method for economy generation?

The model works as a hybrid consultancy enterprise, supporting projects, and generating revenue, and as a mentor/investor for early stage startups

The model works The model works as a hybrid that as a non-profit on delivers CSR funds consultancy services, and a society organization, that accepts funding

How sustainable is the model in terms of finance? Does it require continuous funding throughout to support the mission?

The model is sustainable, as it has a successful earned income strategy through consultation services. The model does not require funding

The model accepts funding from various organizations to support its mission, alongside promoting consultancy services

The model accepts funds from external sources to fund the mission

Is the model scalable to various geographic locations?

Yes

Yes

Yes

(continued)

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Table 11.2 (continued) Features

Relevant questions

RIKA India

SEEDS India

RAPID RESPONSE India

Interactions

How democratic is the organizational setup? Is there any prescribed hierarchy amongst workforces? Is there any gender gap?

No the model do not promote any workforce hierarchy. The model has good representation of both workforces

Yes the model promotes a workforce hierarchy. The model has good representation of both workforces

Yes the model promotes a workforce hierarchy. There is a significant gender gap in the leadership team of the enterprise, as per the webpage

Are there local partnerships with communities and potential collaborators such as similar social enterprises to meet the goals?

Yes, the model Yes, the model has local has local partnerships with partnerships organizations, and people. The team undertakes combined projects with similar organizations such as the Youth Innovation Lab

Yes, the model has alliances with corporates, and other partners

Are there any activities that are funded by the enterprises to support social value addition, through their budget?

Yes, the No, not much enterprise has an details are incubation hub provided “Seeds of Innovation” for early stage startups, and promotes conferences, competitions that are self-funded

No, not much details are provided

Profit Reinvestment

Source Based on their respective webpages

model, and the social value creation, to co-exist for sustainability. The social enterprises, even though tagged as risk takers, require strong business models that support the sustainability of the social enterprises. The challenge can be addressed through proposing models that focus on exploiting resources for economy generation, which has linkages to the social cause of the enterprise. Take for example; the case of Rika India suggests a model that generates income through combining human resources to support its mission for global resilience, and in the process attain sustainability. The team utilizes its potentials to gain projects that are based in disaster risk reduction, and climate change, whereby they associate with international and national agencies. This helps them attain financial sustainability in the due course. Alongside, the

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entrepreneurship is able to address the social mission it advocates, that focuses on global resilience. These models demonstrate the opportunity of addressing the gap between community, science and technology and economics. This is significant as many models of social enterprises fail because of the lack of innovation in the earned income strategies. Another important aspect is the profit reinvestment of the social enterprises. The study reveals that there is a significant need of enterprises to invest a part of their profit to support the value addition of the social mission. This is important as this highlights a key contrasting feature from commercial entrepreneurs that focus on profit generation. These could be through various methods such as promoting programs, funds to support incubation of startups, conferences, and so on. A good example from the Rika case would be the “Seeds of Innovation” that supports the nascent entrepreneurs in disaster management. This is relevant characteristic, as many firms fail to promote profit reinvestment that may question the integrity of social entrepreneurship and their mission, as they are primarily focused on social objectives, than economic objectives. The external and internal interactions, such as the workforce hierarchy is also a major challenge in the social enterprises. Social entrepreneurs are known to support flexibility and informality in their internal associations amongst workforces. These promote a significant challenge, as the entrepreneurship expands. One of the possible solutions to supporting the work culture is to promote informal interactions, and regular shuffles between the assigned responsibilities amongst the members. Another challenge concerning the external interactions between various similar organizations is the resource crunch that may result in unhealthy competitions amongst similar enterprises. This may result in generating a hostile environment similar to the commercial enterprises. However, the social enterprises should focus on building alliances with the peer groups as these associations eventually benefit community and other stakeholders. One of the ways of addressing the challenge is by identifying common pools to promote consortium for projects and activities related to disaster risk reduction and climate change. This is significant as major commercial enterprises have the challenge of creative destruction, whereby a product results in the replacement of older product, and associated dependent sectors, resulting in social problems. It is imperative that social enterprises address these challenges for achieving the social mission, and value addition.

11.8 Way Forward Social Enterprises are a major source of social empowerment as it brings forth a set of opportunities, alongside addressing key challenges of the society. The Sendai Framework for Disaster Risk Reduction focuses on promoting models to support the disaster risk management, and vouches for engagements in research and innovation. Social Enterprises form a major breakthrough in addressing these aspects. Besides,

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the enterprises help in supporting the Sustainable Development Goals. The challenges concerning the social enterprises, its working models need to address through comprehensive planning, and the conceptual framework is expected to promote certain directives to the process. With novel challenges such the COVID-19 exposing the disparities of the incumbent system, it is essential that the entrepreneurs should look for effective strategies to support the mission, the business model, and so on to address the gaps analyzed. A way forward could be through expanding options in the entrepreneurship models as displayed by RIKA and SEEDS, whereby they have combined a hybrid model for sustainability. This promotes a platform for exhibiting the quality of human resources, and explores new alliances. Besides, the entrepreneurship should promote effective policies for equal representation, and promote healthy collaboration with peer entrepreneurs with aligned social mission, through ventures and so on. This would promote a growing environment for social entrepreneurship that is distinct from the principle of creative destruction of commercial entrepreneurs.

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Chapter 12

Mapping Water Salinity in Coastal Areas Affected by Rising Sea Level Kwee-Yan Teh, Soong-Chul Ro, and Pradeep Ray

Abstract Global climate change is leading to rising and accelerating sea level that threatens communities in low-lying coastal areas. One particular vulnerability is the intrusion of seawater into coastal aquifers. The resulting salinization of groundwater and surface water resources exposes coastal communities to multiple hazards, including health risks associated with elevated salt intake through drinking water from these resources. This chapter discusses two technology development projects that spanned China and Bangladesh to measure and map out the salinity of underground water, which is the dominant source of drinking water in coastal Bangladesh. The projects were led by two groups of Year-Four university engineering students and entailed first the design of a low-cost salinity data logger, then followed by the development of geographical information system-based mobile app with capabilities for real-time salinity and weather data updates and spatial data visualization. The projects improved student awareness of the impacts of engineering designs on the global challenges of climate change and public health and inculcated in them an interest in technology for sustainable development. Keywords Climate change · Water salinity · Public health · Engineering designs

12.1 Introduction 12.1.1 Climate Change and Human Activity-Induced Surface and Groundwater Salinization Global climate change and warming lead to thermal expansion of oceans and melting of glaciers, which contribute to much of the sea level rise observed in recent decades K.-Y. Teh (B) · S.-C. Ro · P. Ray University of Michigan-Shanghai Jiao Tong University Joint Institute, Shanghai Jiao Tong University, Shanghai, China e-mail: [email protected] P. Ray e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_12

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(IPCC 2013). The rate of rise is expected to increase further over this century, which will disproportionately impact low-lying coastal regions around the world. The impact may take many forms: a coastal region may suffer flooding, erosion, and wetland loss (IPCC 2014). These effects may be further exacerbated by humandriven changes to the coastal environment (e.g., with population growth, land use change, and economic development). In some cases, climate- versus human-driven changes may be difficult to tease apart. The degradation of fresh groundwater resources due to saltwater intrusion is one such climate- and human-driven hazard. Climate change-induced sea level rise may couple with human activity of groundwater pumping to lead to water table rise and reduction of the volume of available freshwater in coastal aquifers (Werner et al. 2012). Seawater rise and storm surges are also expected to contaminate surface freshwater resources. The resulting salinization of groundwater and surface water is a key vulnerability of communities in low-lying coastal regions, risking disruption of their drinking water supplies. There is high level of agreement among climate scientists that raw water quality will deteriorate on account of climate change and, even after conventional treatment, the drinking water quality may still be negatively impacted (IPCC 2014). The causes of deteriorating quality and dwindling quantity of potable water are, therefore, multi-dimensional, implicating global climate change as well as other anthropogenic factors. By the same token, contamination and, in particular, salinization of freshwater resources bring about their own multifaceted set of knock-on effects. Solving this problem through more intensive water treatment and, in particular, desalinization is expensive in terms of energy, financial, and opportunity costs. These high-tech “solutions” may in fact reduce the incentive for embracing water conservation and other more sustainable water consumption practices. At any rate, their high costs set them apart, and not readily accessible to lower-income communities. They thus exemplify maladaptive strategies for tackling the problem of freshwater salinization (Barnett and O’Neill 2010). Yet permitting this problem to fester is also patently unsustainable, especially given its public health impacts on low-lying coastal communities.

12.1.2 Drinking Water Salinity and Public Health in Coastal Bangladesh Bangladesh features over 700 km of coastline around the Bay of Bengal, just north of the equator. Over 40% of the country’s land area has an elevation less than 10 m above sea level and yet was already home in the Year 2000 to 63 million Bangladeshis (comprising 49% of its population) in largely rural settings (96% non-urban) at an average density of 1200 resident per square kilometer (Neumann et al. 2015). The country is also a developing economy, reporting less than $2000 per capita gross national income with 14% of the population living on less than $1.90 a day (Asian Development Bank 2021). Rural low-income communities along the coastal region of

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Bangladesh are, therefore, particularly vulnerable to, and are already suffering from, the negative impacts of global warming, with only limited means to mitigating those impacts or adapting to them. For instance, flooding and saltwater intrusion brought about by occasional tropical storm surges and steady sea level rise are among the reasons for the devastating loss of livelihood and income for rice farmers in the southwest coastal district of Satkhira (Rabbani et al. 2013), and for forcing farmers off their land, sold or leased to shrimp farming instead, in the village of Subarnabad in the same district (Pouliotte et al. 2009). Surface and groundwater salinity also adversely affect access to safe drinking water for the population of coastal Bangladesh. Over 90% of the rural population in Bangladesh rely on tube wells or boreholes to groundwater aquifers as their main source of drinking water (BBS and UNICEF Bangladesh 2019). The aquifers are expected to be recharged seasonally during the monsoon months. Yet tidal flooding during the wet season, and direct inundation by saline water, both exacerbated by sea level rise, also pose grave threats to the sustainability of this recharging process (Abedin et al. 2014). Khan et al. may have been the first to report, through a short correspondence in The Lancet, on anecdotal evidence suggesting an apparent correlation between elevated drinking water salinity and poorer health record of pregnant women in a coastal area clinic as compared to those in non-coastal areas (Khan et al. 2008). Since then, a large number of studies have been conducted to clarify the details of this emerging public health challenge. In follow-on studies, the same group of researchers consistently found that pregnant women from the same coastal region who consumed tube well (ground) water were tested to have higher urine sodium (Khan et al. 2011), faced a higher risk of (pre)eclampsia and gestational hypertension (Khan et al. 2014) and, even if healthy, recorded higher blood pressure (Scheelbeek et al. 2016) when compared to women who drank rainwater. A probabilistic model developed based on a larger sample population, broader geographical coverage, and longer temporal range, also strongly suggests drinking water salinity during the last month of pregnancy is a significant determinant of infant mortality in coastal Bangladesh (Dasgupta et al. 2015). The health risks are not borne by mothers and infants alone. As part of a human and environmental health survey campaign of 1500 households across south-central and south-western coasts of Bangladesh, exposure to moderately saline drinking water was found to raise the chance of hypertension by 40% among the survey respondents, males and females, in the 15–59 age group (Nahian et al. 2018).1 Other surveys revealed community perception that drinking water salinity accounts for the prevalence of skin and gastrointestinal problems (Ur Rahman et al. 2017; Akib Jabed et al. 2020).

1

As counterpoint, we note that consumption of mildly saline water (based on measured electrical conductivity between 0.7 and 2 milli-Siemens per centimeter) was associated with lower blood pressure on account of higher intake of calcium and magnesium, alongside sodium, present in the saline drinking water (Naser et al., 2019).

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On the flip side, a separate cross-sectional mixed method study of a southeastern coastal sub-district revealed the strong cultural significance of salt use in the community, as well as the prevailing belief that salt consumption is healthy, perhaps with the exception of table salt use (Rasheed et al. 2016). On top of that, being able to objectively assess drinking water salinity may be a challenge for some people. In an ethnosurvey conducted in conjunction with local water sampling and assessment, more respondents deemed fresh pond water to be salty compared to tube well water even when objective chemical analysis suggested that the former samples were of higher quality, and specific conductivity measured in 100% of the latter samples exceeded the threshold of 2 milli-Siemens per centimeter set by the Bangladeshi government (Benneyworth et al. 2016).2 Research findings on the various aspects of the surface and groundwater salinization challenge along the coast of Bangladesh also point to different adaptation and mitigation strategies that may be undertaken. More aggressive protection and restoration of the Sundarban mangrove would serve to buffer the central and southwestern coastal communities against tidal surges and concomitant saltwater intrusion (Mahmood et al. 2021). Rainwater harvesting yields safe, low-sodium drinking water (Islam et al. 2013), but for this water resource to last the whole year, low-cost aquifer storage and recovery (ASR) systems (also referred to as managed aquifer recharge systems) were also piloted for active infiltration of rainwater into, and storage of the filtrated water within naturally brackish aquifers for recovery and use during the dry season (Sultana et al. 2015). However, access to ASR water was found not to reduce blood pressure in some pilot project communities (Scheelbeek et al. 2017), especially when compared to access to ponds as alternate drinking water sources (Naser et al. 2021).

12.1.3 Measuring and Monitoring Surface and Groundwater Salinization A deeper understanding of the complex nature of the freshwater salinization challenge in coastal Bangladesh would not have been possible without extensive collection and archiving of relevant regional geo-, hydro-, and meteorological data and community public health statistics. The inferential studies implicating drinking water salinity to maternal health and infant mortality, for example, relied on salinity measurements in water samples from the river and various shallow and deep tube wells in the Khulna division, recorded monthly over three years by the Center for Environment and Geographic Information System, Bangladesh (Khan et al. 2011), and from soil salinity monitoring stations spanning four southern divisions (Barisal, Chittagong,

2

Electrical conductivity measurement is generally taken as proxy for water salinity reading. For reference, surface seawater conductivity is reported within the range of 10 to 60 mS/cm (Tyler et al., 2017).

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Dhaka, and Khulna), recorded over nine years by the Bangladesh Soil Research Institute (Dasgupta et al. 2015). The quality of drinking water sources in coastal Bangladesh varies widely across the region (Shammi et al. 2017), between the pre- and post-monsoon seasons (Rahman et al. 2018), and aquifer (tube well) depth. Reliable granular data on drinking water salinity that span these dimensions, therefore, underpins effective mitigation and adaptation strategies, whatever they may be. To obtain such data, the Bangladesh Water Development Board set up a monitoring network of observation wells at forty-two locations in the coastal area over three years for assessment of saltwater intrusion in coastal aquifers.3 Such an undertaking also highlights, on the other hand, the market need for low-cost groundwater salinity monitoring devices that may then be networked and have their measurements mapped to and integrated with local Geographical Information System (GIS) data for use by individual households to inform their personal water use decisions, and local communities and governments to track inland progression and extent of salinity intrusion. For the remaining sections of this chapter, we present two technology development projects to meet this market need. The projects were led by two groups of Year-Four university engineering students from the University of Michigan-Shanghai Jiao Tong University (UM-SJTU) Joint Institute of SJTU, based in Shanghai, China, and were spin-offs from a 2018 SJTU global engagement initiative dubbed the Bangladesh Challenge. Many undergraduate engineering programs offer a “culminating major engineering design experience” for their final-year students, to “produce solutions that meet specified needs [within constraints] with consideration of public health, safety, and welfare, as well as global, cultural, social, environmental, and economic factors.”4 The two design projects to be discussed here, touching upon issues of climate change, public health, and the welfare of coastal Bangladesh residents, checked all the boxes.

12.2 Low-Cost Groundwater Salinity Monitoring System The low-cost groundwater salinity monitoring system was designed and prototyped by a cross-disciplinary team of two Electrical/Computer Engineering (ECE) senior students and three Mechanical Engineering (ME) senior students as their Major Design Experience (MDE) project in the 2019 Fall semester (Chen et al. 2019). The design team was mentored by Dr. M.A. Hanifi, a public health scientist from the International Cholera and Diarrhoeal Disease Research, Bangladesh (icddr,b). Having identified the market need for such a system, the engineering design process was followed to realize it: Clarifying the system requirements from the

3 4

https://www.dhakatribune.com/uncategorized/2013/10/20/salinity-in-coastal-aquifers-alarming. ABET Criteria for Accrediting Engineering Programs; www.abet.org.

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perspectives of the various stakeholders, translating them to engineering specifications, generating multiple design solutions to meet the requirements and specifications, and prototyping, testing, and evaluating the promising solutions. The engineering design process is iterative, so a design may be refined based on what was learned from previous rounds of prototype testing. However, alignment with the curriculum structure and with the academic calendar limited the MDE course to a fourteen-week semester, which precluded the possibility of the design team putting their prototype through additional rounds of iterative re-design. To better understand the stakeholders’ needs and requirements, two design team members visited Dr. Hanifi at the icddr,b Dhaka headquarter as well as villagers residing in the Chakaria Upazila (sub-district) on the southeastern coast of the Bay of Bengal in August 2019, ahead of the official start of the MDE course. Chakaria has been an icddr,b Health and Demographic Surveillance System (HDSS) field site since 1999 (Hanifi et al. 2012), and exemplifies rural coastal Bangladesh vulnerable to flash floods and cyclones, increasingly so due to the threats of rising sea level. The need-finding visits impressed upon the design team the harsh constraints within which the groundwater salinity monitoring device would have to operate, be they environmental—long-term exposure to high temperatures (>35 °C), sun, and salt air—or socio-economical—half of the HDSS households depend on day-labor income, a third of the households were landless.

12.2.1 Design Concept The design team honed in on a prototype solution that integrates a conductivity-based salinity sensor, a data logger, and a data transmitter within a hard plastic packaging for mounting on the Bangladesh standard no. 6 hand pump. The device is powered off by default, but would be awakened periodically, upon pumping of the tube well. A small fraction of the water pumped up from the well would be diverted to a test cup within the device for salinity measurement and data logging. The logged data would be transmitted to the user’s mobile phone for subsequent transfer to a central database (Fig. 12.1). For the first-generation prototype of the design, a commercial off-the-shelf electrical conductivity (EC) sensor was selected. The uFire lab conductivity probe K1 measures 0.1–20.0 mS/cm within the 5–60 °C operating temperature range.5 The sensor was powered and controlled by an Arduino Uno microcontroller, itself powered by a standard 9 V disposable alkaline battery. The microcontroller logs the sensor data onto an SD card. Each of the aforementioned prototype design components may be upgraded to better fulfill the expected operational and cost performance. A simple design of a general data logger that places heavy emphasis on optimal power management may be put together for fifteen US dollars (1300 Bangladeshi Taka) (Beddows and Mallon 5

https://www.ufire.co/buy/#probes.

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Fig. 12.1 Concept diagram for the low-cost groundwater salinity monitoring system (Chen et al. 2019)

2018). Prototypes of this data logger design have been deployed in caves for yearslong monitoring of the subterranean environment on just three alkaline AA batteries. An Arduino Pro-Mini microcontroller and a microSD storage card were used instead of the much larger Arduino Uno and SD card to reduce the power consumed and the logger form factor. A separate study offers a blueprint for repurposing a light sensor circuitry for sensing the electrical conductivity of freshwater samples instead (Chapin et al. 2014). Electrical conductivity is inferred from resistance measurement across two electrodes immersed in the water sample. It also varies (approximately) linearly with temperature. For the present groundwater salinity monitoring system design, the conductivity sensing electrodes and temperature sensing element would be mounted within a cup with a draining hole. The cup would in turn be fixtured to the inside of the hand pump outlet. Groundwater pumped from the tube well would flow over the cup, and a small fraction collected within it to submerge the sensing electrodes and element. The draining hole may be sized so that the groundwater sample drains off the cup at a sufficiently low rate to ensure proper temperature-compensated conductivity measurement. Careful design of the data logging algorithm would ensure a long operational lifespan of the groundwater salinity monitor. For instance, the logger may be set to power off/sleep mode by default, only turned on/“awakened” automatically at pre-set intervals, or manually at other times. Time-stamped groundwater electrical conductivity (salinity) data may then be logged on the SD or microSD storage card. Bluetooth transmission of the logged data to a mobile phone may also be configured to low-power mode, periodically or on-demand instead of always on standby.

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12.3 Mobile Application for Groundwater Salinity/GIS Map The mobile application groundwater salinity-integrated GIS mapping was developed by five UM-SJTU Joint Institute Electrical/Computer Engineering seniors as their MDE project in the following 2020 Summer semester (Zhu et al. 2020). This time, the app development team was mentored by Dr. Sardar Masud Karim of UNSW Built Environment at the University of New South Wales (UNSW), Sydney, Australia. This mobile app project picked up the thread from the groundwater salinity monitoring system design team and envisioned a network of such monitoring devices having been installed on household and community tube wells along the coast, and having uploaded real-time groundwater salinity data from each well to a cloud database. Such data, if integrated with relevant local geographical information, may serve as a useful decision tool for individual households and local communities to access safe drinking water sources. The project team put the software development version of iteration design principles, known as agile strategies, to practice. One such strategy is adhering to the SMART principles of translating application requirements to features that are Specific, Measurable, Achievable, Relevant, and Time-boxed. During each development cycle (iteration), the backlogged features were re-evaluated, rank-ordered, and the high-value ones were prioritized for development.

12.3.1 Application Software Architecture The abovementioned software functionalities, presumed to have been incorporated within the groundwater salinity monitoring hardware, constitute the physical layer in the organization of the mobile application product (Fig. 12.2). Newly logged salinity data from individual monitoring devices may be periodically, and automatically, stored at the backend, or they may be updated upon user demand, which necessitates the development of corresponding user interface and function features on the presentation layer of the mobile app architecture. The base map model is the critical component of the user-facing presentation layer. It deploys the ArcGIS map render service at the backend through run-time ArcGIS application program interface (API) to render a local map, overlaid with the groundwater salinity data from the region, as well as available regional meteorological (e.g., rainfall), hydrological (e.g., river flow), and population (e.g., public health) data from governmental and non-governmental sources. The communication between the Android mobile end and the ArcGIS database would be through integrated APIs provided by Esri libraries. Pop-up and route-directing systems offer secondary user features on the presentation layer. This layer is implemented in the Android environment.

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Fig. 12.2 Groundwater salinity/GIS map application architecture (Zhu et al. 2020)

At the backend, additional map application functions are provided via the cloud calculation service. This layer is completed using ArcGIS’s Web Stack.

12.4 Epilogue This chapter opened by detailing the nexus between the steady global warminginduced sea level rise, growing drinking water salinity crisis, and concomitant public health challenges in rural, low-income coastal Bangladesh. Communities in the region have few options to adapt to ensure access to safe drinking water under these threats. Two technological concepts were conceived to meet this need. First, low-cost groundwater salinity measurement devices installed on tube wells would allow individual households and local communities to monitor the quality of water extracted from each privately-owned or neighborhood-shared tube well. Second, a mobile application that collects and integrates the salinity data from different tube wells spanning the coastal region with real-time (and historical) geographical information system (GIS) data would allow the app users to make informed decisions on where and when to access safe drinking water in their communities. The concepts were developed and prototyped by two teams of undergraduate engineering students based in China as their culminating major engineering design experiences in Fall 2019 and Summer 2020, respectively.

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The COVID-19 pandemic has hampered prior plans to travel to Bangladesh to conduct field testing of these hardware and software designs around the coastal subdistrict of Chakaria. Prototype testing and iterative re-design efforts will instead continue within UM-SJTU Joint Institute with fresh minds and fresh insights from new cohorts of engineering students. Challenges also still loom to overcome barriers to widespread adoption of these technologies. In particular, just 28% of Bangladeshis subscribed to mobile internet services in 2020, despite 95% of the population being covered by mobile broadband networks (Okeleke 2021). The smartphone adoption rate of 41% was also the lowest among South Asian nations. Yet, by the same token, entrepreneurial opportunities also beckon to develop suitable business models, be they for-profit or not, to bring this mobile-enabled technology to the market. Therefore, this remains a worthwhile experience that (a) improves student awareness of the impacts of their engineering designs on the global challenges of climate change and public health, and (b) inspires their interest in technology entrepreneurship for a sustainable environment.

References Abedin MA, Habiba U, Shaw R (2014) Community perception and adaptation to safe drinking water scarcity: salinity, arsenic, and drought risks in coastal Bangladesh. Int. J. Disaster Risk Sci. 5:110–124 Akib Jabed M, Paul A, Nath TK (2020) Peoples’ perception of the water salinity impacts on human health: a case study in South-Eastern Coastal Region of Bangladesh. Expo Hedalth 12:41–50 Asian Development Bank (2021) Basic Statistics 2021. http://www.adb.org/publications/basic-sta tistics-2021 [Accessed: 1 Nov 2021] Barnett J, O’Neill S (2010) Maladaptation. Glob Environ Chang 20(2):211–213 Bangladesh Bureau of Statistics (BBS) and UNICEF Bangladesh (2019) Progotir Pathey, Bangladesh Multiple Indicator Cluster Survey 2019, Survey Findings Report Beddows PA, Mallon EK (2018) Cave pearl data logger: a flexible arduino-based logging platform for long-term monitoring in harsh environments. Sensors 18(2):530 Benneyworth L et al (2016) Drinking water insecurity: water quality and access in coastal southwestern Bangladesh. Int J Environ Health Res 26(5–6):508–524 Chapin TP, Todd AS, Zeigler MP (2014) Robust, low-cost data loggers for stream temperature, flow intermittency, and relative conductivity monitoring. Water Resour Res 50:6542–6548 Chen J, Chen Y, Dai X, Liu T, Shen Y (2019) Groundwater salinity monitoring system. Thesis of Bachelors, UM-SJTU Joint Institute, SJTU, Shanghai, China Dasgupta S, Huq M, Wheeler D (2015) Drinking Water Salinity and Infant Mortality in Coastal Bangladesh, Policy Research Working Paper, no. WPS7200, Development Research Group, the World Bank Hanifi MA et al (2012) Profile: The Chakaria health and demographic surveillance system. Int J Epidemiology 41:667–675 IPCC (2013) Climate change 2013: the physical science basis. In: Stocker TF et al. (eds) Contribution of working Group I to the fifth assessment report of the IPCC. Cambridge University Press, Cambridge, United Kingdom IPCC (2014) Climate change 2014: impacts, adaptation, and vulnerability. part A: global and sectoral aspects. In: Field CB et al. (eds) Contribution of Working group II to the fifth assessment report of the IPCC. Cambridge University Press, Cambridge, United Kingdom

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Islam MA, Sakakibara H, Karim MR, Sekine M (2013) Potable water scarcity: options and issues in the coastal areas of Bangladesh. J Water Health 11(3):532–542 Khan A, Mojumder SK, Kovats S, Vineis P (2008) Saline contamination of drinking water in Bangladesh. The Lancet 371:385 Khan AE, Ireson A, Kovats S, Mojumder SK, Khusru A, Rahman A, Vineis P (2011) Drinking water salinity and maternal health in Coastal Bangladesh: implications of climate change. Environ Health Perspect 119(9):1328–1332 Khan AE, Scheelbeek PFD, Shilpi AB, Chan Q, Mojumder SK, et al. (2014) Salinity in drinking water and the risk of (pre)eclampsia and gestational hypertension in Coastal Bangladesh: a casecontrol study. PLoS ONE 9(9):e108715 Mahmood H, Ahmed M, Islam T, Uddin MZ, Ahmed ZU, Saha C (2021) Paradigm shift in the management of the Sundarbans mangrove forest of Bangladesh: issues and challenges. Trees Forests People 5:100094 Nahian MA, Ahmed A et al (2018) Drinking water salinity associated health crisis in coastal Bangladesh. Elem Sci Anth 6:2 Naser AM et al (2021) Consequences of access to water from managed aquifer recharge systems for blood pressure and proteinuria in south-west coastal Bangladesh: a stepped-wedge clusterrandomized trial. Int J Epidemiol 50(3):916–928 Naser AM et al. (2019) Drinking water salinity, urinary macro-mineral excretions, and blood pressure in the southwest coastal population of Bangladesh. J Am Heart Assoc 8(9):e012007 Neumann B, Vafeidis AT, Zimmermann J, Nicholls RJ (2015) Future coastal population growth and exposure to sea-level rise and coastal flooding—a global assessment. PLoS ONE 10(3):e0118571 Okeleke K (2021) Achieving mobile-enabled digital inclusion in Bangladesh. GSMA National Dialogues Pouliotte J, Smit B, Westerhoff L (2009) Adaptation and development: livelihoods and climate change in Subarnabad Bangaladesh. Climate Develop 1(1):31–46 Rabbani G, Rahman A, Mainuddin K (2013) Salinity-induced loss and damage to farming households in coastal Bangladesh. Int J Global Warming 5(4):400–415 Rahman MT, Rasheduzzaman M, Habib MA, Ahmed A, Tareq SM, Muniruzzaman SM (2017) Assessment of fresh water security in coastal Bangladesh: an insight from salinity, community perception and adaptation. Ocean Coast Manag 137:68–81 Rahman MM et al (2018) Spatio-temporal assessment of groundwater quality and human health risk: a case study in gopalganj Bangaladesh. Expo Health 10:167–188 Rasheed S et al (2014) How much salt do adults consume in climate vulnerable coastal Bangladesh? BMC Public Health 14:584 Rasheed S et al. (2016) Salt intake and health risk in climate change vulnerable Coastal Bangladesh: what role do beliefs and practices play? PLoS ONE 11(4):e0152783 Scheelbeek PFD, Khan AE, Mojumder S, Elliott P, Vineis P (2016) Drinking water sodium and elevated blood pressure of healthy pregnant women in salinity-affected coastal areas. Hypertension 68:464–470 Scheelbeek PFD, Chowdhury MAH, Haines A, Alam DS, Hoque MA, Butler AP, Khan AE, Mojumder SK, Blangiardo MAG, Elliott P, Vineis P (2017) Drinking water salinity and raised blood pressure: evidence from a Cohort Study in Coastal Bangladesh, Environ Health Perspectives 125(5):057007 Shammi M et al (2017) Spatio-temporal assessment and trend analysis of surface water salinity in the coastal region of Bangladesh. Environ Sci Pollut Res 24:14273–14290 Sultana S et al (2015) Low-Cost aquifer storage and recovery: implications for improving drinking water access for rural communities in Coastal Bangladesh. J Hydrologic Eng 20(3):B5014007 Tyler RH, Boyer TP, Minami T et al (2017) Electrical conductivity of the global ocean. Earth Planets Space 69:156 Werner AD et al (2012) Vulnerability indicators of sea water intrusion. Ground Water 50(1):48–58

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World Health Organization (WHO) and the United Nations Children’s Fund (UNICEF) (2021) Progress on household drinking water, sanitation and hygiene 2000–2020: Five years into the SDGs Zhu H, Li C, Shi Y, Yuan Y, Zhou J (2020) Salinity map—app development for entrepreneurs, Ve441 Final Report, UM-SJTU Joint Institute, SJTU, Shanghai, China

Chapter 13

Citizen Science for Urbanization, Disaster, and Environmental Management Pradip Khatiwada and Rajib Shaw

Abstract Rapid urbanization around the world has come with problems such as environmental degradation, stress on resources due to increasing demand, incompetent or incompatible supply mechanisms, and lack of strong governance. On top of these grievances, urban communities are highly vulnerable to disaster and environmental impacts. Hence, in addressing these problems, urban development should lean towards a data-driven approach, especially accounting for citizen- generated data and technologies. The paper showcases how volunteered geographic information is being used in solving critical urban issues, particularly disaster risk reduction and environmental management. This chapter instigates the motivation in the contribution, challenges, and sustainability of citizen-generated data in the context of Nepal from campaigns such as: mapping in OpenStreetMap, urban street lights mapping, and urban tree mapping. Additionally, the paper highlights how these datasets are being used to draw the attention of the policymakers and unlock the potential of data-driven decision-making to solve urban issues. Keywords Crowdsourcing · Urbanization · Digital volunteers · Citizen science · Mapping · Technology

13.1 Introduction Urbanization is a complex socio-economic process that transforms the spatial distribution of a population from rural to urban areas that bring change in occupation, lifestyle, culture, behaviour (UN, World Urbanization Prospects, The 2018 Revision 2019). It is now well accepted that the world’s population will be urban in the future (World Bank 2020). In 2020, 56.15% of the total population worldwide P. Khatiwada (B) Youth Innovation Lab, Kathmandu, Nepal e-mail: [email protected] R. Shaw Graduate School of Media and Governance, Keio University, Fujisawa, Japan e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_13

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lived in urban areas, while only 34.12% of the population was urban in 1961 (UN, World Urbanization Prospects, The 2018 Revision 2019). According to the World Urbanization Prospects: 2018 Revision (UN, World Urbanization Prospects, The 2018 Revision 2019), it is projected that the world urban population will increase to 68.4% of the total population (9.77 billion) by 2050. While the world population is projected to change with an annual rate of 0.76% during 2030–2050, the urban population will have an annual rate of change of 1.28%. Hence, it is evident that the world’s population is urbanizing rapidly and the majority of the world population will be residing in the urban areas in the future. The trend of urbanization has been increasing in all geographic regions around the world and Asia is no exception. It is projected that 66.2% of Asia’s population will be urban by 2050. Nepal has a predominantly agrarian economy and rural socio-cultural outlook (Joshua and Katusiimeh 2018). Nevertheless, Nepal is rapidly urbanizing. In 2018, 19.7% of the total population of Nepal resided in urban areas, which is a steep increase in urban population as compared to 1990 when only 8.9% of the population was urban. This is set to increase to levels above 30% in 2050, with a rate of urbanization of 2% between 2018 and 2050, and ranks among the top ten fastest urbanizing countries in the world (UN, World Urbanization Prospects, The 2018 Revision 2019). Urbanization in Nepal is uneven, mostly concentrated in a few large and medium cities (Bakrania 2015). According to (MouD 2015), migration is one of the major factors contributing to urban growth in Nepal. Nepal has a predominantly agrarian economy and rural socio-cultural outlook (Joshua and Katusiimeh 2018). Nevertheless, Nepal is rapidly urbanizing. In 2018, 19.7% of the total population of Nepal resided in urban areas, which is a steep increase in urban population as compared to 1990 when only 8.9% of the population was urban. This is set to increase to levels above 30% in 2050, with a rate of urbanization of 2% between 2018 and 2050, and ranks among the top ten fastest urbanizing countries in the world (UN, World Urbanization Prospects, The 2018 Revision 2019). Urbanization in Nepal is uneven, mostly concentrated in a few large and medium cities (Bakrania 2015). According to (MouD 2015), migration is one of the major factors contributing to urban growth in Nepal. The rapid uneven and unplanned urban development in Nepal has brought about many challenges in the country. The country faces a lack of proper delivery of critical urban services such as drinking water, sanitation, electricity, health, road infrastructure, drainage system, and education if the government fails to properly manage, coordinate, and develop the services with the change in the urban population and their needs (Joshua and Katusiimeh 2018). Nepal is already at risk of several geological, hydro-meteorological, and other human-induced hazards, and the urbanization adds on to the increasing disaster risks to dangerous and unpredictable levels (UN, Global Assessment Report on Disaster Risk Reduction 2015). Unplanned cities create new risks and the lack of critical services, unsafe housing, and inadequate infrastructures can increase the occurrence of hazards and turn them into a disaster. For instance, unpaved roads, inadequate drainage systems, etc. can result in water logging in the urban areas (UN, Global Assessment Report on Disaster Risk Reduction 2015).

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Another major issue brought about by rapid urban growth is environmental degradation that result in drying up of water sources, shortage of energy, and can give rise to environmental pollution. As urbanization can give rise to a number of issues and hamper people’s livelihood, increase disaster risk, and negatively impact the environment hence concrete actions need to be taken immediately. Planned urbanization and modern sustainable cities require proper use of data for monitoring, controlling automation, and optimization of services (Bibri and Krogstire 2020). The use of a data-driven approach for urban development helps in understanding the future needs and growth of the infrastructures and planning accordingly. It is estimated that the world will see a rise in the use of technology in urban areas. Hence, citizen-generated data and technologies will be instrumental in minimizing the challenges that come with urbanization (Bibri 2019). Data is defined as any information collected in the form of facts, figures, or numbers and is examined and considered for decision-making.1 The importance of data is seen in all sectors as it supports evidence decision-making and problemsolving, enables research, policy development and supports better policies and strategies, and enables organizations and institutes to align services according to customers’ needs. The importance of data is seen in all sectors as it supports evidencebased decision-making and problem-solving, enables research, supports policy and development, and enables organizations and institutes to align services according to customers’ needs. However, data being a valuable resource is prone to be used inappropriately on purpose or by accident. There are many different principles that ensure ethically governed data. According to the New Zealand data toolkit, a wellrecognized set of data should account for principles such as findability, accessibility, interoperable, and reusability. Out of these principles, accessibility of data has been an integral part of today’s tech-savvy world, hence giving importance to open data. Additionally, it is believed that open data is a tool to enable a better and more responsive government. The international Open Data Charter (ODC) outlines the set of principles and practices to promote open data partnership among governments. The charter was formally declared in the Open Government Partnership Global Summit that was held in October 2015 in Mexico and was signed by seventeen governments of countries. Since its initiation in 2015, as of January 2022, 85 national and local governments around the globe have adopted ODC principles.2 The motive of the charter is to accelerate the release and reuse of open governmental data through a cross-government programme and to maximize the value of that data.

1 2

The definition of data is adapted from Cambridge dictionary. Open Data Charter: https://opendatacharter.net/.

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13.2 Overview of Citizen Science The world population marks nearly eight billion and each individual is contributing as a sensor (Goodchild 2007). Citizen science is data and information contributed by citizens in different ways. The invention of the Global Positioning System (GPS) has equipped every individual with varied technical expertise, equipped with the most accurate information of absolute position on the earth’s surface—in which mobile sensors and internet connectivity have largely contributed to the field scientists (Goodchild 2007). In the early 90s, the science and technology domain was largely dominated by the sectorial experts, technologies were accessible to experts and the concept of citizen science was in beginning stage. The French philosopher Pierre Lévy, in 1990, wrote a book called ‘collective intelligence: Mankind’s Emerging World in Cyberspace’ in which he quotes, “no one knows everything, everyone knows something, all knowledge resides in humanity”. This quote from Lévy was among a pioneer to understand the collective intelligence of common citizens who can contribute their collective intelligence as citizen scientists (Büscher et al. 2014). In 2001, with the start of Wikipedia, the power of citizen-generated information gets its popularity and the era of Web 2.0 started (Goodchild 2007). This new era not just opened data and information to the public, but also opened citizens to contribute their knowledge on open-source platforms like Wikipedia, Wikimapia, OpenStreetMap (OSM), and alike. The advent of Web 2.0 posed a threat to huge corporations that centralized all knowledge to their scientific sources, where the role of citizens was not acknowledged. This term of citizens contributing to spatial information in cloud-based open data portals like OSM is known as Volunteered Geographic Information (VGI). OSM is a web-based mapping platform that was founded in 2004 by Steve Coast, a student from the University College London (Bennett 2010). The OSM is also known as ‘WikiMap’ as it developed with the same concept of citizen-generated information throughout the world—the platform is the largest repository of geographic information driven by the volunteering approach throughout the globe. As the contribution from VGI to platforms like OSM and Wikipedia increased, other private-led platforms felt the threat and introduced citizen contribution mechanism to their platform (Bennett 2010). The citizen science approach also labelled as ‘crowdsourcing’ or ‘VGI’ promotes a communitybased participatory approach bringing the local knowledge. VGI platforms are basically used for mapping tasks and crowdsourced. Data from Twitter, Facebook, and YouTube are also proving useful in crisis response and humanitarian coordination (Ahmouda et al. 2017). The information from citizen science in the field of disaster risk reduction has a great contribution in archiving a large amount of data to advance a science-based risk mitigation approach. The citizen science approach can be used to build the resilience of communities through evidence-based mapping of vulnerability, exposure, and hazard (Liu et al. 2018). Open mapping was used widely to support relief efforts during the devastating earthquake of 2010 in Haiti (McMurren 2017). In Nepal, about 8,000 national and international OpenStreetMap community members worked to

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create detailed map of affected areas after the 2015 Nepal earthquake (Pudasaini 2016). These maps were used to help inform and guide the work of national and international humanitarian aid workers (Pudasaini 2016). A significant challenge while conducting emergency response to the Nepal earthquake in 2015 has been transporting relief materials to remote and hard to access areas where roads were either non-existent, or of poor quality, or impassible by landslide. As disaster managers and responders require timely and accurate information to communicate and carry out effective response action (World Vision), maps such as logistic maps can help to understand the topology of the transportation network, and conditions. The geospatial data like the building footprints, road networks and road constraints, and safe shelter mapped by the involvement of hundreds of volunteers were helpful for first responders with valuable information for immediate rescue, rehabilitation, and post-disaster reconstruction phase. A similar potential of citizen science and crowdsourcing has been realized during the surge of the COVID-19 pandemic. The data sets collected directly from the public have helped to understand the dynamics and behavious of the virus (Pearse 2020). These informations have been essential in generating substantial response along with extended measures such as social distancing. The efforts of disease surveillance that registered any new case with symptoms have helped governments to monitor cities or areas with large infection rates and redistribute facilities and supplies accordingly. This has been especially instrumental for big cities as healthcare facilities had a greater chance to be overwhelmed (Rose et al. 2020).

13.3 Urbanization and Citizen Science Rapid urbanization has led to a remarkable decrease in urban green spaces which has influenced in changing the microclimate of the region (Salazar et al. 2015). Unfortunately, land degradation has been a byproduct of rapid urbanization. This increasing urbanization has had a massive impact on the global ecosystem. According to the UN, 68% of humanity is expected to live in cities by 2050 (UN 2018). This staggering number demands close monitoring of changes in land-use patterns. Yet changes in the ecosystem, are rarely well observed, and even when they are, they lack local significance (Callaghan et al. 2019). Including citizen science in local level ecosystem management and restoration projects such as expanding urban green spaces will not only bring a tangible solution, but also a sustainable result. Additionally, the locally driven citizen contributed data helps to build trust in datasets and ownership of data that can eventually strengthen trust between citizens and development agencies. The intervention of citizen science initiatives in monitoring air quality in urban areas has generated a better scientific understanding of the extent of the exposure of the population. The analysis of air quality data relies on a sequence of constant readings at a set interval of time. For such demanding data sets, readings taken by residents with low-cost measuring devices not only have proved economically viable, but also rather practical (European Environment Agency 2019). Additionally, this

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has increased awareness of the problem to attract local and national authorities. The data sets derived from citizens have helped in maintaining trust in the readings and ultimately helping decision-makers push substantial mitigation measures. Urban government in any country is in a critical stage (Goldsmith and Crawford 2014). Never before over the century has there been such a difficult time the government and bureaucrats had to deal with managing the urban issues and data together. However, there are many examples of city governments having used technological tools and data to manage their citizens—the most exciting part being the citizens crowdsourcing the urban utility grievances using the digital tools. The crowdsourced self-generated big data from social media and open data platforms are being rich information to understand the key urban cities issues that urban government comforts.

13.3.1 Citizen Science: A Case Study of Urban Utility Mapping Kathmandu valley is home to nearly 2.5 million population, it is a culturally and historically connected city. Its shift to catch up with updated information and technology has proved to be a great challenge, essentially due to the lack of adequate resources. It has been a norm for city dwellers to have grievances related to urban utilities. For instance, the most common problem of the common citizen living in Kathmandu valley is concerns with the quality roads and potholes, degradation of condition of air, waste management, reliable public transportation, toilets, traffic management, and the list go on. However, the grievances shared by the population living in Kathmandu are a common plight in many cities around the world. Every citizen should be aware of their responsibility to contribute to make a livable environment for cities. The role of youth and young professionals seems to be more prominent as they are much more cutting-edge technology-friendly and are capable of bridging science–public–government divide. An example of such an initiative is derived by Youth Innovation Lab (YI-Lab)—a not for profit company based in Kathmandu. The company launched a campaign called LightsOn to map streetlights of the city. As the streetlights seem a small city problem but it is linked with national security of the country, safety, and well-being, and an indicator of the country’s economy. The campaign launched by mobilizing nearly 100 digital volunteers was able to collect geotagged information of nearly 5,727 street lights data of Kathmandu valley. As part of the outreach, the campaign targeted social media and universities students to join the campaign using the approach highlighted in Fig. 13.1. The interested volunteers were trained and deployed on the field to collect data on the status of street lights. The initiative revolved around deploying youths from their respective

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Fig. 13.1 Framework showing the digital volunteers engagement process for streetlight mapping campaign

communities. Various incentives were given to both intrinsic and extrinsically motivated volunteers. Additionally, contributors with more than 100 h in volunteerism were provided certificates and merchandise. The other part of the campaign was to develop local cost open-source technology to back digital volunteers to be able to collect data from the field. The mobile app allows digital volunteers to collect datasets of status of street lights and other related information about the lights with evidence as picture. To maintain the authenticity of the data collection, all information collected were geotagged and data collection time was allocated from 6:00 pm onwards when there is dark and streetlights are lit. The data collected by the digital volunteers were linked with an open-sourced web portal through which the information can be monitored in a real-time basis (Fig. 13.2). The policy dialogue was organized bringing all concerned authorities from the government, sectoral experts, elected officials to discuss the issues and problemsolving mechanism. The event ignited the elected representative to take some immediate actions. Additionally, the response from youths involved in the campaign was

Map showing a part of Kathmandu valley before deploying the volunteers to map the streetlights.

A fully visualized part aer the data collecon of street lig hts by the digital volunteers. The different colors on the map indicates the types and condion of streetlights.

Fig. 13.2 Maps showing the before (left) and after (right) map of streetlight mapping of a part of Kathmandu valley

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quite evident that they were involved in local issues that impacted them. This also generated a problem-solving mindset rather than just bickering about problems. The policy dialogue was organized bringing all concerned authorities from the government, sectoral experts, elected officials to discuss the issues and problemsolving mechanism. The event ignited the elected representative to take some immediate actions. The response from the youth was quite evident that they were involved in local issues that impacted them. This also generated a problem-solving mindset rather than criticizing the authorities. A similar approach of utility mapping was followed when the government of Nepal decided to cut 2060 trees to expand the highways around Kathmandu in 2020. The initiative derived by youths was to geotag the position and foliage of trees around the highway that would put in perspective the extent of the urban ecosystem. An open-source platform where users may examine and monitor the information of the geotagged trees, similar to the approach used in the Lights-on program. The following initiative would present a case for the governmental agencies to rethink the expansion and consider the cost if not.

13.3.2 Citizen Science: Mapping the Unmapped The uses of Remote Sensing Technology (RST) and GIS have been well recognized during the hurricane Katrina at the United States in 2005 (NRC 2007). Another great innovation in the field of data and information technology is the crowdsourced mapping or open mapping. The map is being new basic utility as they are key integral part of our daily lives. From the city planning to every day mobility, the maps are the basic tools for the urban people (Fig. 13.3). YI-Lab initiated an event to map the entire country and to bridge the gaps in user engagement and data quality, through the engagement of digital volunteer. The digital volunteers are reached out through social media as well as through outreach events in schools and universities. To engage the digital volunteer in crowd sourced mapping and validation and guide them in such a way that they can independently innovate ways to use the data for various purpose, YI-Lab has developed a module-based training “Learning OpenStreetMap”. The three modules of the training are developed such that a beginner in OSM mapping first learns about the OSM history, the use of OSM in humanitarian response and how they can start contributing to the cause by using simple tools available. Once they develop a level of expertise in mapping, they are guided on using advanced software and tools to map. The entire mapping journey of the volunteers is guided by expert mappers and validators. The training focuses not only on mapping, but also to validate the data, which is crucial to maintain data quality. Through the training and events, the digital volunteers contribute to enhancing the OSM data and for this they are incentivized with certification, goodies, networking opportunities and exposure to the communities working on geospatial data.

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Fig. 13.3 Framework showing the process of digital volunteers’ engagement to produce open data that is used in disaster risk reduction and environment management, integrating in urban mobility platform, urban planning and data-driven advocacy

The digital volunteers have so far made 1,083,628 edits and mapped 972,238 buildings and 15,462 km of roads so far. An example of the changes brought in by the OSM related events by YI-Lab is presented through the mapping in Butwal city, as presented in the figure below. The data generated in OSM are used for disaster risk reduction and environmental management, used by urban planners for planning development works, these datasets can also be integrated in urban mobility platforms such as Strava and be used for data-driven advocacy and activism (Fig. 13.4).

13.4 Motivation Citizen and Sustainability In an open data platform, the retention of volunteers is a key challenge. There have been a lot of approaches used to motivate people to contribute to digital spaces. Conducting events such as mapathons, hackathons, training, internship, fellowship are some of the tested approaches. YI-Lab, which has been at the forefront of volunteers’ mobilization, has been engaging digital volunteers to map the most vulnerable communities in Nepal. Analyzing YI-Lab’s contribution from July 2020 to September 2021, eight trainings, 10 weekly gatherings, and a mapping challenge were organized to train and engage the digital volunteers. The events supported the

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organized mappin g in 2021. before the organized mapping in 2015.

The map showing the buildings map cover of Butwal city in 2019 before the mapping event organized.

The map showing the building map of Butwal city

Fig. 13.4 Maps showing various stages of building footprint data growth in OSM platform of Butwal city

beginner mappers to learn tools to advance their mapping skills. In total, 250 digital volunteers were trained and engaged virtually amidst the COVID-19 pandemic in mapping. These volunteers have mapped 15,658 roadways and 991,678 households. Figures 13.5 and 13.6 clearly show a synchronized pattern among the larger contribution of OSM mappers in Nepal and that of digital volunteers engaged with the caused-based mapping events of YI-Lab. Our observation and analysis highlighted that factor such as mapper’s age, academic faculty, motivation to map, contribution to a larger cause, certification, and rewards were a few of the prominent influencing factors that helped bring growth the mapping contributions and retaining them. Both the charts suggest that the contribution of the mappers drastically rose in eventful days. The first event, which focused on training the digital volunteers to learn the tools for mapping in OSM, could not bring significant engagement of the mappers and the mapped changeset did not improve after the event. However, when the organized event focused on a cause, the user engagement escalated. This was proved by the event on August 22, 2020, when the volunteers were encouraged to map areas to enhance the exposure dataset to support the monsoon disaster response. The submitted changesets in OSM mapping (this represents the total changes uploaded by users) gradually increased after the training and increased by four times within ten days of the event. However, the engagement started to decline again, when the mappers were not engaged in events. Mapping for a bigger cause such as mapping

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Fig. 13.5 OSM contribution in Nepal from July 2020 and October 2020

Fig. 13.6 Time series of changesets submitted by OSM mappers during May 1 2021 to August 31, 2021

the flood and landslide-prone and remote areas prone to multi-hazard scenarios of Nepal to aid disaster preparedness and response encouraged mappers to continue the mapping journey and eventually maintain the level of mapped changesets, as clearly highlighted by Fig. 13.5. To keep the mappers actively engaged in mapping and

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validation, they need to be engaged in events where they learn new skills, connect with fellow mappers, and feel validation and acknowledgement, and to keep the sustained contribution of VGI there need to be more events to be organized that are linked with a cause. Moreover, as suggested by Fig. 13.6, the OSM monsoon mapping challenge was able to hike to user engagement and the digital volunteers engaged with YI-Lab contributed 40% of the overall mapped changesets in Nepal. During the challenge, the changesets submitted increased by a maximum of 3.7 times as compared to the changeset at the beginning of the challenge. This approach of introducing a challenge and gamifying the mapping activity blended well with the youth mappers and hence, their contributions in mapping increased significantly during the entire challenge duration. The digital volunteers were also awarded gift hampers and were certified after they completed the mapping. Incentives, awards, and certificates provided during these events also aided their engagement. The other part of ensuring sustainability is the use of datasets for different purposes such as mobility or providing feedback mechanisms. Such dynamic and multiple uses of these datasets ensure authenticity and ownership for citizens to keep contributing. In the open data community, the 90-9-1 principle is prevalent (Mattia et al. 2020). This rule suggests that 90% of users never contribute to generating the content, 9% of users provide only minor contributions, and 1% of users account for almost all the actions. As shown by the statistics (Missing Maps 2021), the rule proved true in the contributions made by digital volunteers in OSM mapping and validation. It has been noted that 92% of the contributions were made by 10% of the users and the top contributor alone contributed to 9% of the total map edits. Most of the digital volunteers who signed up for the training and events and contributed to OSM for a longer-term were undergraduate youths with an academic background in engineering, environmental science, information technology, agriculture. Khanal et al. (2019) pointed out the geomatics engineering students, who are specialized in collection, processing, analysis, and other operations related to geospatial information found a direct link to mapping and their field of study and hence were more active in contributing to OSM. A similar observation was made in the contribution by digital volunteers engaged with YI-Lab. Volunteers with a background in geomatics engineering as well as environmental science students, who had a better understanding of geospatial data, contributed more in OSM mapping as compared to other volunteers and sustained in mapping activities for a longer duration. However, digital volunteers with an academic background that does not directly relate to or understand geospatial data showed lower interest and engagement.

13.5 Discussions Making data open and accessible to the public is very essential for innovation, startups, academicians, humanitarian, and crisis responders. Making weather, pollution,

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pandemic, epidemic, and disaster-related datasets freely and available in open source can help tackle transboundary issues. The datasets in GPS can help improve navigation systems, location-based systems, weathers bulletins, warning system to give the most accurate and real-time information to take prompt actions. In 2009, the Obama administration declared the president’s memorandum on ‘Transparency and Open Government’ to take actions to increase openness, interoperability in budget transparency sharing the information in open data format online.3 The ODC principles represent a similar notion that aspires governments and autonomous agencies to open up in their efforts to promote open data. The ODC charter has outlined globally-agreed six principles of aspirational norms for how to publish data in open that includes: (i) open by default, (ii) timely and comprehensive, (iii) accessible and usable, (iv) comparable and interoperable, (v) for improved governance and citizen engagement, and (vi) for inclusive development and innovation. The charter also identifies digital data that are available with the legal and technical characteristics to be freely used, reused, and redistributed by anytime, anywhere, and anyone, and through these principles, it outlines that the actions will (i) reinforce continued commitment to open data, (ii) ensure remains internationally aligned, (iii) provide government agencies with clearer principles and supporting actions for accelerating the release of open government data. Though Nepal hasn’t signed the ODC charter yet, the impact of open data and open source has been seen in various Acts, Policies, and strategic action plan of the Government. The Government of Nepal’s Disaster Risk Reduction and Management (DRRM) Act 2017,4 DRR National Policy 2018,5 and DRR National Strategic Action (2018–2030)6 also recognizes that Disaster Information Management System (DIMS) should be developed by adopting Open Data and Open-Source tools and technologies. In 2019, the Government of Nepal developed an open data portal; BIPAD Portal (http://bipadportal.gov.np) to house disaster-related data and information that is publicly accessible. In Nepal, the change in mindset over the use of open data goes back to 2015 during the massive Gorkha earthquake. During this event, a large group of digital contributors offered their help to map spatial information of critical infrastructures. This has been a critical point in the context of changing the viewpoint of the general public and government towards the positive use of open data. The following has also contributed to the increase of open data users from Nepal in the platforms like Wikipedia, OpenStreetMap, and other similar open data platforms. Various organizations including the Municipal organizations, development planners, urban city planners, UN, I/NGOs, community-based organizations have been organizing events, 3

President Barack Obama, Memorandum on Transparency and Open Government (Jan. 21, 2009), available at https://www.Whitehouse.gov/thepressoffice/TransparencyandOpenGovernment. 4 Disaster Risk Reduction and Management Act, 2074, https://bipad.gov.np/uploads/publication_ pdf/DRRM_Act_and_Regulation_english.pdf. 5 National Policy for Disaster Risk Reduction 2018, http://drrportal.gov.np/uploads/document/ 1476.pdf. 6 Disaster risk reduction national strategic Plan of action (2018–2030), https://bipad.gov.np/upl oads/publication_pdf/DRR_National_Plan_of_Action_2018-2030_(Nepal).pdf.

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Mapathons targeting youth and young professionals, communities at risks with open data platforms. In such events incentives for participants would be getting hands-on training on technological tools, certificates based on their contribution, and the use of data to make informed decision making at various levels. This approach of organized mapping, validation of data for authenticity, and growing interest of open data among academic institutions and disciplined has increased interest of students to contribute more on open data platforms.

13.6 Way Forward Data-driven approach for planned urbanization is necessary to understand the future needs and its trend. The challenges associated with the rapid urbanization and disaster risk reduction and management can be identified and a solution can be sought by using the data generated through the citizen science approach. Open data is a goldmine— but to make it a problem solver, one must identify which data and information can be instrumental in the problem-solving. Unfortunately, there is an enormous scope and available data sets that can be used but are just archived. This demands affordable technological intervention that is affordable and targets grassroots communities. Here are some suggested ways forward in making the best use of open-source data sets for solving urban issues and enhancing the disaster resilience: • In the context of the Government of Nepal, adopting the ODC could be instrumental as it helps in learning from government to government, data sharing, and data partnership among government to government. • The use of open data sets is often neglected due to issues such as authenticity and reliability. To ensure that the information collected is authentic, there needs to be a systematic validation and review process in place. • The authenticity of mapping data sets can also be ensured when the local people start contributing the local information. There can be no best contributors when the local community start maintaining the datasets and start validating them. • The problem for such initiative could be the reach of local communities to such platforms. However, this can be done by capacitating youth and young professionals in the local community. • Geospatial tools should be an essential part of the curriculum at school and university students of any background. To ensure the useability, utility, and continuity of open data geospatial platforms, right from the school, the young people should be engaged and encouraged to contribute. • To ensure the data generated being rightly used, the mechanism of development planning in the Government should be encouraged through a data-driven approach, which can be ensured through governmental policies. This will support the increase the use of data and information as well ensure timely update of new information.

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• The use of evidence-based data-driven approach in activities aimed for planned urbanization, and disaster resilience should be promoted through the formulation of relevant policies so that the urban needs are identified, and challenges associated with it be minimized through the use of data.

References Ahmouda A, Hochmair HH, Cvetojevic S (2017) Analyzing the effect of earthquakes on OpenStreetMap contribution patterns and tweeting activities. Geo-Spat Inf Sci:195–212 Bakrania S (2015) Urbanization and urban growth in Nepal (GSDRC Helpdesk Research Report). University of Birmingham, Birmingham, UK Bennett J (2010) OpenStreetMap. Packt Publishing, 32 Lincoln Road, Olton, Birmingham, B27 6PA, UK Bibri SE (2019) Big data science and analytics for smart sustainable urbanism. Springer Bibri SE, Krogstire J (2020) The emerging data–driven smart city and its innovative applied solutions for sustainability: the cases of London and Barcelona. Springer Büscher M, Liegl M, Thomas V (2014) Collective intelligence in crises. Soc Collect Intell:243–265 Callaghan CT, Major RE, Lyons MB, Martin JM, Wilshire JH, Kingsford RT, Cornwell WK (2019) Using citizen science data to define and track restoration targets in urban areas. J Appl Ecol European Environment Agency (2019) Assessing air quality thorugh citizen science. Publications Office of the European Union, Luxembourg Goldsmith S, Crawford S (2014) The responsive city: engaging communities thorugh data-smart governance. Jossey-Bass, One Montgomery Street, Suite 1200, San Francisco, CA 94104–4594 Goodchild MF (2007) Citizens as voluntary sensors: spatial data infrastructure in the world of web 2.0. Int J Spat Data Infrastr Res:24–32 Joshua M, Katusiimeh M (2018) Handbook of research on urban governance and management in the developing world. IGI Global Khanal K, Budhathoki NR, Erbstein N (2019) Filling OpenStreetMap data gaps in rural Nepal: a digital youth internship and leadership programme. Open Geospatial Data, Software and Standards Liu W, Dugar S, McCallum I, Thapa G, See L, Khadka P, . . . Shakya P (2018) Integrated participatory and collaborative risk mapping for enhancing disaster resilience. Int J Geo-Inf Mattia G, Robert C, Marco B, Jordi, Cabot (2020) Participation inequality and the 90-9-1 principle in open source. International symposium on open collaboration (OpenSym 2020). USA McMurren (2017) Open Data for developing economies case studies Nepal. Open Data to improve Disaster Relief Missing Maps (2021, November) Retrieved from missing maps. https://www.missingmaps.org/lea derboards/#/digitalvolunteers MouD (2015) National urban development strategy 2015. Kathmandu, Ministry of Urban Development, Kathmandu, MouD, Government of Nepal NRC (2007) Successful response starts with a map. Improving geospatial support for disaster management. National Research Council Pearse H (2020, July-September) Deliberation, citizen science and covid-19. Polit Quart 91(3) Pudasaini (2016) Open source and open data’s role in Nepal earthquake relief. https://opensource. com/life/16/6/open-source-open-data-nepal-earthquake Rose S, Suri J, Brooks M, Ryan PG (2020) COVID-19 and citizen science: lessons learned from southern Africa. Citizen Science in African Ornithology:188–191 Salazar A, Baldi G, Hirota M, Syktus J, McAlpine C (2015) Land use and land cover change impacts on the regional climate of non-Amazonian South America: a review. Glo Planet: 103–119

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UN (2015) Global assessment report on disaster risk reduction. United Nations UN (2018, May 16) un.org. https://www.un.org/development/desa/en/news, https://www.un.org/ development/desa/en/news/population/2018-revision-of-world-urbanization-prospects.html UN (2019) World urbanization prospects, The 2018 revision. United Nations Department of Economic and Social Affairs, Population Division World Bank (2020) Demographic trends and urbanization. International Bank for Reconstruction and Development/The World Bank

Chapter 14

Technology and Innovation for Societal Resilience Through Multistakeholder Collaboration Roshni Pramanik

Abstract The chapter engages in exploring possibilities of innovation and use of future technology arising from multistakeholder collaboration in essential societal functions such as public services, critical infrastructure systems and public policy arena. Multistakeholder collaboration is the key to adaptation and resilience amidst the fast-changing twenty-first century world around us. Owing to increased interconnectedness and interdependencies of complex socio-technical systems, critical infrastructures and essential services, our socio-technical relationships have also grown more complex. On one hand, the tightly coupled systems, services and infrastructures are highly optimized while on the other, because of their high optimization and tightly coupled nature, these systems are often more prone to catastrophic disruptions and crises. So, what is the way forward to effectively increase adaptation and resilience? The chapter engages in the discussion of boundary spanning activities such as the essential public services where multistakeholder collaboration among various actors, i.e., public, private, academia and the industry is inevitable due to cross-cutting issues, demands and challenges. With examples of successful cases and evidence from scientific literature, the chapter makes a convincing case in favour of multistakeholder collaboration as a powerful tool to raise societal resilience. Keywords Multistakeholder collaboration · Innovation · Socio-technical systems · Crisis management · Digitalization

14.1 Present-Day Crises: What to Expect? What can we expect from twenty-first century crises in terms of scope, complexity, and nature? Crisis management discourse presents plenty of scientific evidence suggesting that our present-day, i.e., twenty-first century crises are transboundary in nature. In fact, the evidence further argues that due to the nature and complexity of these crises, they are now everyone’s business. In other words, managing these R. Pramanik (B) RISE (Research Institutes of Sweden), Göteborg, Sweden e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_14

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crises requires multistakeholder collaboration (Boin and Rhinard 2008; Boin 2019; Boin and Lodge 2016; Pramanik et al. 2015; Blondin and Boin 2020). The ongoing COVID-19 pandemic is a living example to understand this. The novel coronavirus originates from the Wuhan seafood market in China, and quickly spreads across the world bringing the world to a standstill. As of January 2022, 2 years since December 2019, when patient zero was identified, according to JHU CSSE COVID-19 data, The New York Times, Our World in Data by Ritchie et al. (2020): 58.9% of the world population has received at least one dose of a COVID-19 vaccine. 9.37 billion doses have been administered globally, and 29.93 million are now administered each day. Only 8.9% of people in low-income countries have received at least one dose. COVID-19 has claimed more than 5.47 million lives across the world, with over 300 million confirmed positive cases, until now.

We are still reeling over this crisis, and this is far from over. The world economy has been greatly impacted, with the war against this virus being described as life versus livelihood (Nisa et al. 2021). Ours is a classic example of global village. With the promise of social media, smartphones, low-cost high-speed internet, low-cost long-distance calling and lowcost airfares, we have never been closer. We can travel to any corner of the world in a few hours, order Indian tea or Brazilian coffee through our phone and get it delivered in the same evening, conduct online business meetings sitting in any corner of the world while inviting another. These powerful technological transformations have brought us closer, got us faster and made our life easier on one hand, while on the other, these have also exposed us to new types of crises. In the words of eminent scholars in disaster risk reduction and crisis management discourse, Ansell et al. (2010, p 195): In recent years, crises and disasters have become increasingly transboundary in nature. A series of contingencies – think of the Y2K threat, the 9/11 attacks and transport bombings in Europe, the BSE, SARS and H1N1 epidemics, large-scale natural disasters such as Hurricane Katrina and the California wildfires, the Ash crisis and the BP oil spill – have confronted national governments around the globe with a set of specific challenges. Whether we talk about epidemics, energy blackouts, financial crises, ice storms, oil spills or cyber terrorism – the characteristics of these crises are strikingly similar: they affect multiple jurisdictions, undermine the functioning of various policy sectors and critical infrastructures, escalate rapidly and morph along the way.

Disruptions in one corner of the world now have a dramatic effect on the stock markets, economy, day-to-day business, as well as our daily lives across the world. The critical infrastructures in our modern-day society that have made our life easier, have been able to accomplish that because they are interdependent and interconnected (Rinaldi et al. 2001). From a system science perspective, this is often understood as a complex organization of interdependent socio-technical systems with tight coupling. Rinaldi et al. (2001) theoretically conceptualize this as an interplay of six dimensions. These dimensions include technical, social/political/economic/legal, public policy, health & safety, regulatory, and business. Each of these six dimensions offers a broad interplay of linkages and cascading effect of linkages which are further affected by flexibility, adaptability, spatial, temporal, geographic and operational conditions of

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the system. Therefore, in summary, our modern socio-technical network, owing to its intrinsic nature of interdependency, cadence and cascading effect, when experiences a disruption in any of its linkages, can trigger a global impact (Santella et al. 2009; Bigger et al. 2009; Rinaldi, et al. 2001).

14.2 Managing Present-Day Twenty-First Century Crises: Preventive and Responsive From the last section, we understood that response and preventive measures to the twenty-first century crises necessitate multistakeholder collaboration to address the cross-cutting issues, disruptions and complexities. In this section, we will see how wide, varied and dynamic is the modern crisis management arena, which not only includes response management, but also mitigation and prevention. Wide variety of aspects such as the nature of the crises, their severity, impact, identifying the relevant stakeholders, determining their operational, legal, political and regulatory mandate, building back the larger society, making them resilient, improving capacities of the organizations as well as the society, come under the wide umbrella of crisis management. This makes the arena of crisis management broad, dynamic and cross-cuts across domains. Adding further to the complexity are the interrelationships and linkages between these aspects which are never static, instead continue to change over time, geographic location, state of current affairs, state of business and economy, regulatory changes leading to changes in operational mandates, intent and goals of various stakeholders (Quarentelli 2000; Boin and McConnell 2007; Quarentelli et al. 2007; Lalonde 2007; Rosenthal et al. 2001; van Santen et al. 2009; Pramanik 2015). With more and more focus on preventive measures for crises and disasters, disaster risk reduction through innovation and crisis management through multistakeholder collaboration by new partnerships and entrepreneurship are promising new possibilities. Multistakeholder collaboration provides various advantages to meet the demands of twenty-first century crises. From resource mobilization to allocation and sharing of resources, fulfilling individual organizational goals to collective goal fulfilment, multistakeholder collaboration makes all these possible (Pramanik 2021). It offers ways to adapt, build resilience and improve capacities to manage twenty-first century complex crises. Since our modern-day crises encompass cross-cutting issues and challenges, therefore, to meet the demands of these complex modern-day crises we need innovation and entrepreneurship that generate new ideas which can address these challenges. Digitalization, shared services, use of social media, and new technology among others are gaining traction recently which is revolutionizing our governance structure and response strategies (Lindgren et al. 2019; Greve 2015; Florano 2021). In recent societal crises including COVID -19 pandemic, extensive use of social media to facilitate information flows, broadcasting necessary information and urgent notice to public, activation of self-help groups citizen squads, volunteer groups have been noticed

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(Cuello-Garcia et al. 2020; Kaya 2020; Chan et al. 2020). People have been proactive in charity donations to distributing food, medicines, oxygen supply and other emergency items to various groups. Mass appeals of existing and established NGOs have been overwhelmingly answered by citizen volunteers to help their understaffed organizations to meet the grave demands of COVID-19 pandemic.

14.3 Innovation Through Multistakeholder Collaboration: The Case of Swedish Primary Healthcare Innovation through multistakeholder collaboration has grown more and more popular in recent years. A widely popular example is the Swedish case of primary healthcare. It is a success story of public and private health care providers, using modern-day technology such as smartphone applications to offer primary health care across the Swedish population. Patient self-management, interactive patient care and support, primary assessments, through digital healthcare services, more popularly known as e-healthcare (electronic healthcare) are now revolutionizing Swedish primary health and patient care. This has dramatically increased the outreach of primary health care facilities which is a basic amenity and human right. Furthermore, the availability of prescribed medicines and the delivery of these medicines at the doorsteps of customers have increased the popularity and availability of these smartphone applications. Smartphone application-based primary diagnosis by a registered healthcare professional, clinical psychiatric counselling, support group meetings and activities, nutritionist and dietician advice and assessment and personal training on health and wellness and similar are now growing increasingly popular. If we closely look into how these services are made possible and try to draw a concept model, we will find multistakeholder collaboration lies at the core of this model with various services designed to reach patients and customers towards the periphery. The focus is on partnerships among various public and private primary healthcare providers, registered freelance professionals, public and private health and fitness chains, data management, financial services, and technology partners who can access the same patient data, without duplicating the administrative work and delegating the patient self-management to the patients, caregivers and customers. Not only do these services have a far better outreach, but also this is a step taken in the right direction to manage the patient flow in primary health care, evenly distribute the workload and being able to pay adequate individual attention to each patient or customer. With more and more percentage of global population being able to afford smartphones and internet, digital consultations and counselling to patients and customers, patient self-management, interactive patient care and other associated services are proving to be more and more effective and promising to meet the growing demands of primary healthcare, wellness, fitness and maintaining a good physical and mental health. The Swedish primary healthcare and digital healthcare services are a living example of this model.

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In fact, the Swedish public dental care services are not far behind. General dental care, both public and private, is also being offered through similar digital dental care services to improve the experience for each patient and customer, offer access to a much wider population, as well as being able to pay adequate attention to preventive and response treatment to dental health. According to several scientific studies by Öberg et al. (2018a, b, 2019), Fernemark et al. (2020), Dahlgren et al. (2021), Blix and Jeansson (2019), Nymberg et al. (2019), Henriksson et al. (2020) not only has this model proven to be administratively more efficient, to decrease the workload of healthcare and dental care providers, but this has also proven to be decreasing waiting times and open better possibilities for more individual attention, thus leading to overall better patient governance and improved services. This model helps to meet the rising demands from patients and customers in primary healthcare and general dental care. With its rising success, the model is now being extended to be tried at selected apex hospitals, super-speciality clinics, laboratories and centres for triage, trauma and referrals in Sweden (BöRVE et al. 2015). With more and more registered healthcare practitioners, healthcare providers and general dental care providers, both public and private joining this caregiving model, the growing demands are expected to be matched by such improved services. Clearly, this is an inspirational example for other domains on innovation in public services and lifeline services through multistakeholder collaboration.

14.4 Societal Resilience Through Innovation and Multistakeholder Collaboration 14.4.1 A Brief Overview of Societal Resilience: In Theory, Practice and Origin Societal resilience is an interdisciplinary concept that is quickly gaining popularity; see for example (Downes et al. 2013; Southwick et al. 2014). Resilience finds its origin in resilience engineering of complex systems such as chemical plants, manufacturing plants, nuclear power plants, automotive engineering, vehicle safety, traffic safety and aviation (Steen and Aven 2011; Hollnagel et al. 2006; Provan et al. 2020; Madni and Jackson 2009). The focus is on the safety of systems, prevention of casualty, how to make the system reliable and what must be added as safety barriers to such a system to prevent any incident, accident, or loss of function. Societal resilience extends the concept of resilience to our modern socio-technical systems such as critical infrastructures which are also called lifelines of our society such as healthcare, traffic safety, traffic management systems, data management systems, electricity distribution systems and similar (Naderpajouh et al. 2020; Hamborg et al. 2020; Panter-Brick 2014). With cross- cutting issues and challenges such as climate change, sustainability, migration and livelihoods, on one hand, and twenty-first century societal crises on the other such as the COVID-19 pandemic, limiting the

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societal resilience concept and its operationalization to critical infrastructure systems will not suffice. This motivates the further extension of societal resilience to critical societal challenges of the twenty-first century. Therefore, flexibility, adaptation and improving capacity are naturally becoming some of the most important aspects of societal resilience (Haavik 2020).

14.4.2 Societal Resilience and Multistakeholder Collaboration: The Connection Multistakeholder collaboration is one such setting that can potentially generate flexibility, adaptability, capacity building and innovation. These can be argued as necessary catalysts of organizational nature, required to achieve sense-making, reformation, restructuring, and improvement of critical socio-technical systems (Ika and Donnelly 2017; Armitage et al. 2008; Pramanik et al. 2015). As a result, the lifeline services that exist surrounding these critical socio-technical systems can also be improved and reformed. Integrative risk reduction can be introduced as barriers that can stop further progression of risks into other systems and subsystems or introduce newer risks into other systems and subsystems because of this cadence, resulting in major disruption and failure of critical infrastructure systems, or loss of lives, thus snowballing into a societal crisis (Hufschmidt et al. 2005; Bristow et al. 2012; Haimes 2012; Gerkensmeier and Ratter 2018). Multistakeholder collaboration presents the premise of participatory stakeholders where each stakeholder has their respective individual organizational goal as well as the expectation that the collaboration will result in a joint benefit. Fulfilment of these individual goals in combination with the fulfilment of collective goals is the joint benefit. In other words, such a premise motivates the participatory stakeholders to join forces, integrate capacities, equipment, and resources to fulfil their joint goal (Pramanik 2021). This applies perfectly to the case of digitalization of Swedish primary healthcare. It must be observed that the whole premise of digitalization of primary health care, introduction of e-health services, patient self-management and interactive care are all contributing towards improving patient flow, decreasing administrative work and creating more efficiency. For all participatory stakeholders, these work as driving factors or in other words, motivate the relevant stakeholders in the Swedish primary healthcare, offering a win–win situation as the benefit of this multistakeholder collaboration. To summarize, multistakeholder collaboration offers the scope of adaptive governance, alternative approaches, capacity building through innovation which are required to manage and mitigate the twenty-first century socio-technical crises. In fact, not only during crises, but also during normal times, multistakeholder collaboration provides the opportunity to develop integrative approaches required for quality control, optimization, improvement and evolution of risk governance, particularly in the areas of public policy, essential services and critical infrastructure systems. The integrative and alternative approaches can result in the design of new platforms,

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use of new technology such as digitalization, artificial intelligence (AI), machine learning (ML), social media and similar. This is where innovation steps in as the final piece in the puzzle.

14.4.3 Innovation, Multistakeholder Collaboration and Societal Resilience: The Future Innovation arising from multistakeholder collaboration can result in changes that are sustainable and adaptive, such as digitalization, collaborative governance and policy reforms, integrative risk governance and similar. Future technologies such as artificial intelligence (AI), automation, usage of drones and similar other portable equipment to increase and ensure better traffic safety, sustainable interventions in our supply chains, smartphone applications offering essential digitalized services and collaborative networks can help revolutionize the critical services of our twenty-first century society (Ruhli et al. 2017; Gurzawska 2020; Reypens et al. 2021; Sartas et al. 2018; Dentoni and Bitzer 2015; Reed et al. 2017). Furthermore, innovation in research and development through multistakeholder collaboration can lead to cutting-edge research, essential to fight twenty-first century crises (Tanimoto 2012; Molinari 2011; Desportes et al. 2016; Jia et al. 2015). The example of multistakeholder collaboration to expedite vaccine development, faster clinical trials, meeting the constantly rising demands of disinfectants, sanitizers and other kinds of personal protective equipment (PPE), and most importantly producing enough vaccine doses that suffice the world population in our ongoing fight against the COVID-19 pandemic is well established. In fact, novel approaches to drug discovery, trials and global public health governance that were not practiced before until COVID-19 pandemic are now proving to be successful lessons (Bok et al. 2021; Guimón and Narula 2020; Storeng et al. 2021; Fader et al. 2021). In another study on innovation through multistakeholder collaborative governance and sustainable policy reforms by Elbakidze et al. (2010), model forest (MF) policies were implemented through collaborative governance reforms as a result of Swedish and Russian partnership. The study demonstrates how socio-economic policy level changes to manage forests and livelihoods associated with forests are addressed by multistakeholder collaboration between local governments and regional organizations in Sweden and Russia. The study focuses on the types of collaborative and adaptive governance efforts implemented by this partnership. Since model forest (MF) is a cross-cutting issue dealing with sustainability, ecological transformations and climate change with serious socio-economic repercussions, therefore, adapting new policies can be challenging. Without long-term observation and risk and impact assessment, any conclusion may seem imprudent. Therefore, MF practices are introduced in geographically limited regions, with their origin in Canada. Results from the study present collaborative reforms in governance, governance structure and

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management of forests to uphold associated livelihoods, reduce climate risk and ensure sustainable development of the respective geographic regions. In conclusion, as seen in both the above cases, it is through multistakeholder collaboration that innovation and societal resilience can be achieved. A huge advantage of this is stakeholder learning, which is often underrated and overlooked. Some of our current global challenges include poverty, hunger, climate change, healthcare, water crisis, mass migration of refugees from war crimes, ecological refugees, climate refugees and rising disparity between socio-economic groups among others. Evidently, these global challenges are complex, and to fight these, we need novel, alternative and integrative approaches that cross-cuts multiple domains. These global challenges are interlinked with complex interrelationships, interdependencies and implications for one another. Therefore, modern scientific community and popular science, in pursuit of finding an appropriate term to describe them, now resort to the term “wicked” to describe these global challenges. Because clearly, they are difficult to manage, let alone respond, prevent, or mitigate. Thus, our socio-technical systems, policies and services designed around the modern twenty-first century society must be resilient enough to be able to address these wicked challenges. Multistakeholder collaboration is one such premise that offers the scope to design these flexible, adaptive, integrative and optimal approaches. And this is where innovation via digitalization, AI, ML and similar future technologies in healthcare, policy management, essential public services, safety of critical systems, academia, sustainable supply chains and critical infrastructures can bring the necessary interventions to tackle the wicked problems of the twenty-first century.

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Chapter 15

Technology Entrepreneurship and Wildfire Risk Management Shefali Juneja Lakhina and Anukool Lakhina

Abstract This chapter examines the development, applications, and future scope of technology entrepreneurship in wildfire risk management. The first section outlines key wildfire risk trends worldwide by highlighting how infrastructure losses and ecosystem damages from wildfires continue to increase significantly each year with lasting impacts on community wellbeing and sustainable development outcomes. The section underlines the imperative for greater technology applications in wildfire risk management, hereafter referred to as ‘FireTech’. The second section assesses key areas of progress and challenges in wildfire risk management and shows how FireTech is contributing to effective wildfire risk management across four key priorities for action aligned with the Sendai Framework for Disaster Risk Reduction (2015–2030). The final section shows how technology entrepreneurship in FireTech is being enabled by a range of factors, including greater policy and legislative commitment and the increasing availability of state, philanthropic, and private investment funds. The chapter concludes by outlining how FireTech can develop in ways that are just, inclusive, and responsive to disaster risk reduction and sustainable development goals. Keywords Wildfire risk management · Just and inclusive technology · Technology entrepreneurship

15.1 Wildfire Risk Trends Fires affect about four million square kilometers of Earth’s land surface each year (European Space Agency 2021). Depending on the region, different terminology can be used to refer to these natural fires. The most widely understood terminology is bushfire, wildfire, grassfire, and forest fire. In this chapter, we choose the term S. J. Lakhina (B) · A. Lakhina Wonder Labs, San Jose, CA, USA e-mail: [email protected] A. Lakhina e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_15

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wildfires as a generic term to refer to fires that occur in the wildland–urban interface and intermix (WUI) and in the urban–rural fringes around the world. Wildfires are most often caused by lightning, sparks from failed power lines and equipment, and human-caused incidents, including unattended campfires and arson. In the United States, as many as 90% of wildfires are caused by humans (Insurance Information Institute 2021). While wildfires are a natural occurrence in biomes around the world, in the context of global warming trends, wildfire risk is projected to rapidly increase over the next decade (IPCC 2019). In 2021 alone, several countries experienced uncharacteristic fires that stemmed from extreme heat and drought conditions, including Russia, Greece, Italy, Lebanon, Brazil, and the western United States. The year before that, 2020, signaled record impacts in terms of the number of recorded events and total economic losses compared to the previous two decades, 2000–2019 (CRED 2021). As a result of global warming impacts, coupled with worsening housing instability, more communities are likely to be exposed to wildfires in the wildland–urban interface and intermix (WUI) and the urban–rural fringes each year (Burke et al. 2021). Given current projections, infrastructure losses and ecosystem damages from wildfires continue to increase significantly each year with lasting impacts on community wellbeing and sustainable development outcomes (UNDESA 2021). In 2021 alone, wildfires across the western United States resulted in more than US$10 billion in economic losses and damages (CRED 2021). Further, in the context of a century-old fire suppression policy, especially across North America and parts of Australia and Europe, forests that would have been traditionally maintained by First Nations, Indigenous, and Aboriginal people through cultural burning practices are now at extreme risk from dense fuel overgrowth that is leading to dangerous fires (Lake and Christianson 2019). These conditions of increasing hazard intensity, extreme exposure, and vulnerability can lead to wildfire disasters in the form of loss of human and species’ lives, severe and chronic public health impacts from exposure to smoke, damage and loss of property and public infrastructure, along with long-term impacts on ecosystem resilience and carbon emissions. To cope with the increasing risk of wildfires and cascading impacts, local authorities, businesses, and communities have been exploring a range of technologies for wildfire risk management in recent years. New and convergent technologies are being developed and adopted at a rapid pace to augment wildfire risk assessment, forecasting and prediction, early fire detection, incident management, and information and communication management, including notification and evacuation systems. Such technologies are contributing to saving lives and getting people out of fire’s way (see Crunchbase 2019). After another year of devastating fires across the Americas and Europe in 2021, it is imperative to take stock of progress, gaps, and remaining challenges in the application of technologies for wildfire risk management. Further, with fast-developing advances in wildfire technology, it is important to have a conceptual framework that characterizes the range of innovations while clearly identifying gaps. The next

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section attempts to contribute such a schema while outlining key trends in the development and application of three kinds of technology—data, mechanization, and materials—for wildfire risk management, hereafter referred to as ‘FireTech’ (Lakhina and Lakhina 2021).

15.2 Technology Applications in Wildfire Risk Management While acknowledging broader trends of climate tech (Climate Tech VC 2021), humanitarian tech (UNOCHA 2021), and disaster tech (NIST 2021), this section contributes a conceptual framework to characterize the emerging area of FireTech (see Fig. 15.1). Digitization and data in FireTech include digitization approaches, Internet of Things (IoT), Machine Learning (ML), Artificial Intelligence (AI), and Cloud and Software as a Service (SaaS) platforms including integrated workflows and information and communication management systems. The successful development, application, and adoption of FireTech solutions generally depend on at least three datacentered capabilities: coupled sensor infrastructure networks (satellite, aerial, and ground), continuous integration and harmonization of highly dynamic data flows, and real-time data analysis and interpretation. Data-centered technologies in turn provide the foundation for robotic and material technologies to be developed and applied at scale.

Fig. 15.1 FireTech: Technology applications for wildfire risk management

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Mechanization in FireTech can be understood to include robotics and automation of processes that provide a force multiplier for emergency management personnel and fire crews. The most popular kind of robotic systems currently in development and early application in FireTech are unmanned aerial vehicles or drones, which show promise in conducting automated reconnaissance and inspection missions. Materials in FireTech can be understood to include a range of chemical processes and compounds, such as suppressants and retardants, as well as physical engineering and structural retrofits, along with tools and equipment. Material technologies perhaps constitute the earliest kind of FireTech. Materials have been deployed for at least the past 80 years in North America and Europe, mainly in the form of foam-based fire suppressants. Recent advances include a range of organic compounds deployed as retardants and ignition agents for fire response, prescribed burning, and preventive actions in WUI communities. Materials also increasingly include building materials, such as vents, screens, and roofs, that increasingly allow homeowners to retrofit and ‘harden’ structures for improved fire defense and smoke protection. Data, robotics, and materials are increasingly being used in conjunction with related advances in financial technology or FinTech such as insurance, crypto, and carbon markets, especially in pricing insurance offerings and guiding public–private investments. While this chapter acknowledges the potential of such cross-disciplinary technologies in wildfire risk management, the focus here is to examine the application of data, robotics, and materials for wildfire risk management. It is also important to assess how science and technology applications are contributing to the achievement of just, inclusive, and equitable wildfire risk reduction outcomes in the context of the global Sustainable Development Goals. Adapting the four priorities put forth by the United Nations Sendai Framework for Disaster Risk Reduction (2015–2030), current and developing FireTech solutions can be mapped along four corresponding priorities for wildfire risk management (see Table 15.1).

15.2.1 Priority 1: Risk Assessment The adoption of data-centered technologies that enable faster decisions, real-time analytics, and effective communications has been foundational to implementing disaster risk management programs, especially in complex crisis situations (Qadir et al. 2016; Izumi et al. 2019; Soden et al. 2021; Morrow et al. 2011). Data-centric technologies were first developed to enable wildfire risk assessments in the United States, Europe, and Australia (Clements et al. 2007; Tolhurst et al. 2008; Rollins 2009) with a range of progressive applications in simulations, forecasting, and prediction (Rothermel 1972, 1991; Finney 1998; Sullivan 1999; Filippi et al. 2009; Rochoux et al. 2014), leading to applications in early fire detection (for example, alertwildfire.org), industry innovations in incident management (for example, disast ertech.com and intterragroup.com), information and communication management (for example, genasys.com), and notification and evacuation systems (for example, zonehaven.com).

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Table 15.1 Adapting the Sendai framework’s priorities for FireTech Priorities

Sendai framework for disaster risk reduction (2015–2030)

FireTech (2021)

Priority 1

Understanding disaster risk

Risk assessment: Developing a better understanding and characterization of wildfire risk to communities and ecosystems

Priority 2

Strengthening disaster risk governance to manage disaster risk

Mitigation and risk reduction: Strengthening governance to mitigate and reduce wildfire risk

Priority 3

Investing in disaster risk reduction for resilience

Early detection and response management: Investing in wildfire risk management for resilience

Priority 4

Enhancing disaster preparedness for effective response and to ‘Build Back Better’ in recovery, rehabilitation, and reconstruction

Recovery and adaptation: Enhancing whole of community preparedness for wildfire recovery and adaptation

Recent progress in developing wildfire risk assessments has broadly centered around high-resolution mapping data and risk modeling. There has been a concerted effort to develop more precise specifications and high-resolution outputs, leveraging artificial intelligence, satellite imagery, and LiDAR to produce detailed risk and live maps. Wildfire technology development has also focused on advances in risk modeling to better understand the historic, real-time, and future behavior of wildfires by integrating human–earth system models. An emphasis is placed on real-time modeling because it provides a tool for fire planners and managers to make datainformed decisions. Real-time models integrate multiple types of data (for example, fuel, topography, and weather) to assess risk and predict fire spread. For example, the North American Wildfire HD Model created by RMS in 2019 and the California Forest Observatory, created in 2020 by Salo Sciences, offer a datadriven forest monitoring system that integrates forest structure, weather, topography, and infrastructure from satellite information. Artificial Intelligence (AI) is being widely used to augment historic fire risk assessment and prediction models such as by Technosylva’s Wildfire Analyst; WIFIRE Firemap; SILVIS Lab; Microsoft Terrafuse; and Cornea—a spin-up by public sector-focused venture studio Hangar that merges geographical, weather, and historical fire data into a machine learning model that can augment situational awareness for frontline firefighters (Tech Crunch 2021). In terms of future potential, there is a need for further development of realtime fire behavior modeling. Current models do not account for micro-climates or fire-created weather which is essential for improving real-time monitoring of fire spread (FIRSW 2019). An end-to-end human–earth system model is required to understand the dynamics of real-time fire behavior and management. Free, open access, sustained, accurate, and standardized data continue to be a limitation in fire

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risk assessment and prediction (Keck 2021). As standardization of data continues, systems for data integration will become easier and more efficient. Data integration efforts need to continue with an emphasis on integration across domains (e.g., meteorology, topography, and demography) and sources (e.g., ground-based, airbased, and satellite-based) (WTIS 2019; FIRSW 2019; Keck 2021). In addition, a concerted effort towards standardizing risk mapping is needed (Gollner et al. 2021). There is currently a lack of local, neighborhood, and parcel-level risk mapping for WUI communities.

15.2.2 Priority 2: Mitigation and Risk Reduction It is now well established that every dollar of investment in mitigation and risk reduction saves six in disaster response and recovery (FEMA 2018). However, technologies for wildfire risk mitigation and risk reduction remain underdeveloped when compared with the other priorities. A key area for wildfire risk mitigation is in utility and asset management. California’s experience with the Pacific Gas and Electric Company (PG&E) in past years has shown the kind of devastation that can result from failed utility equipment. Further, wildfires can also result in large-scale power loss and with particularly disruptive impacts on the availability of life-saving devices and medical care. Several data-centered technologies currently exist to identify and understand vulnerabilities in utility systems. For example, Dispatchr and Hitachi Consulting created a Digital Immune System to protect utilities during wildfires and power outages by integrating data for display on one platform to inform real-time management decisions (Hitachi Vantara 2018). MITIGATE is a platform for automated dispatch of mitigation strategies, control zone grouping of distribution assets, and compliance, reporting, and auditing (Congruitive 2021). Overstory (https://www.overstory.com) uses satellite data to analyze vegetation around utilities. Gridware (https://www.gridware.io) uses utility telemetry data to detect faults in real time. Neara (see neara.com/wildfire-risk. com) conducts grid analysis to understand the risk to assets and prioritize work to minimize risk potential (Hook 2020). In addition, drone-based inspection of utilities is an area receiving active interest and investor attention (Contrarian Ventures 2020). Current technology for utility and asset management provides a suite of helpful decision support tools that providers can use to bolster systems. However, these tools are not yet widely used, and barriers to adoption need to be addressed to increase uptake. A second area for wildfire risk reduction is in land-use management of high-risk environments, in forests and the wildland–urban interface. Technology entrepreneurs are responding to the needs of landowners by developing assistive technologies for hazardous fuel treatments. Technology startups like Drone Amplified and Burnbot are enabling aerial and ground-based mechanization approaches to control burning treatments, respectively. Such technologies aim to assist the expanding forest restoration and prescribed burn workforce and act as force multipliers to reach more untreated lands.

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Satellite data is also making it possible to identify, map, and co-design adaptive management of landscape-level change such as California’s ‘zombie forests’ which have helped advance scientific understanding and inform better land-use planning practices and standards (Ryan 2020). Technology startup Vibrant Planet’s Land Tender aims to simplify and streamline land-use planning and management for landowners. Salo Sciences Forest Observatory helps with understanding fuel maps. In terms of applying wildfire risk knowledge to WUI mitigation practices, several startups are focused on developing a better understanding of community and parcellevel vulnerability. For example, Firemaps is currently using drones to simplify the home hardening process (see firemaps.com) and in turn creating a new marketplace for WUI homeowners and renters. Zesty.ai has developed a Z-FIRE risk scoring model to enable homeowners to identify, and mitigate, property attributes that can lead to increased wildfire risk.

15.2.3 Priority 3: Early Detection and Response Management Early detection and response have attracted considerable attention in FireTech because there remains a significant shortage of available resources for suppression, especially when there are concurrent fires (WTIS 2019). The promise of technologies that enable precise and timely fire detection is to detect ignitions near homes and infrastructure before they can spread. There are generally four components to early fire detection technologies: detecting the exact location of the fire start, using multi-variate sensors (satellite, aerial, and ground-based), determining the rate and area of spread, and assessing and communicating the risk to all relevant institutions and communities in a timely and appropriate manner. Airplanes and unmanned aerial vehicles (UAVs) or drones have been used in risk mitigation and crisis response for at least a decade. In recent years, drones have also proven essential for the early detection and suppression of wildfires and have been especially useful for data gathering. Autonomous vehicles show considerable promise for wildfire risk management especially considering manned aircrafts require skilled staff, can be expensive, and are limited in operating times and abilities (FIRSW 2019; Gollner et al. 2021) particularly in harsh conditions such as nighttime tanker delivery or smoke-obscured environments (FIRSW 2019). Startups like Robotto and KrattWorks aim to employ drones with novel machine vision technology to detect fires. Unmanned aerial vehicles are also becoming more accessible for fire suppression. The Rain System is a drone-based suppression system that has been developed to contain fires within 10 min of ignition (Rain 2021). Erickson Helicopters created S-64 Air Crane® for accurate and rapid response to fires (Erickson, Inc. 2021). Ground-based sensors have become indispensable tools for situational awareness in recent years. One of the earliest and currently most widely used ground-based camera network is the AlertWildfire Network (see alertwildfire.org). Startups such as Robotics Cats, Pano, Attentis, and Dryad are all focused on creating a network

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of sensors for early fire detection. Like AlertWildfire, Pano and Robotics Cats rely on a camera capable of flame recognition and thermal imaging. Attentis sensors also contain a particle counter, weather and ground vibration sensor, and audio recorder (Attentis 2021). Data integration and standardization for display on a singular platform bolster effective communication of important information and coordinated fire management efforts. Several real-time prediction models are currently used to facilitate this decision-making process (for example, Wildfire Analyst and Intterra). SCOUT (State Situational Awareness Platform) was developed as a California-specific mobile app for operational and tactical collaboration for emergency responders during emergencies (Taborda Solutions, Inc. 2021). Jupiter FireScore combines fire behavior, weather, and climate modeling for a real-time decision support system (Jupiter 2019). Additionally, Technosyvla fiResponse is a platform to support decision-making through the entire lifecycle of an incident and allows for incident management, resource management, resource tracking, and situational awareness (Technosylva 2021). There have also been advances in notification and evacuation systems due to integration with real-time models. For example, these models can be integrated with Cloud-based platforms to help first responders plan, train, and execute live evacuations based on preplanning, training and drills, and simple, reliable communication (for example, Intterra, Zonehaven). The Zonehaven platforms can be integrated with community-centered sensing networks. Also, mobile applications can provide real-time evacuation assistance. Going forward, notification and evacuation systems need to be informed by social science, design fire scenarios, evacuee scenarios, real-time data on fire spread, and evacuation models to inform decisions (Gollner et al. 2021). There also needs to be a continued effort in the personalization of notification and evacuation systems to make them more inclusive and targeted for specific access, functional, and linguistic needs (WTIS 2019).

15.2.4 Priority 4: Recovery and Adaptation Wildfire technology can also be useful for community recovery and adaptation. For example, technology startup DroneSeed is focused on post-fire restoration by mechanizing tree planting with drones, after wildfires. Crisisready.ai is a Google-supported program focused on advancing data-driven decision-making during and after crises. Originally developed for managing COVID-19, this program was also used during the 2020 California wildfires to facilitate collaboration among agencies to predict and respond to community care needs (CrisisReady 2020). However, there remains a general lack of innovations for enabling recovery and adaptation solutions at the community level, especially regarding monitoring recovery and adaptation actions and outcomes (Richards 2019; Schultz 2020). To

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improve recovery and adaptation processes, enabling pre- and post-fire data collection and integration is necessary (Gollner et al. 2021). For example, community-based Firewise programs throughout the United States have helped increase neighborhoodlevel preparedness; however, there is no way to monitor and assess how communitylevel actions have contributed to wildfire mitigation, recovery, and adaptation outcomes. A technological application could be the development of a self-assessment tool such as a wildfire resilience scorecard that enables communities, counties, and states to monitor and assess progress in wildfire risk reduction and adaptation outcomes. This tool could form the basis for insurance offerings at the community and landscape scale. Finally, there is a remaining need for technology entrepreneurs to engage with diverse ways of knowing, including local and traditional ecological practices that can enable a holistic view of feedback loops between the natural system and the human system (Keck 2021). The next section focuses on assessing the wildfire risk management context in California, where some of the most significant losses have been recorded in recent years, and where technology entrepreneurship is rapidly developing.

15.3 Technology Entrepreneurship for Wildfire Risk Management This final section assesses the enabling environment for technology entrepreneurship in wildfire risk management by drawing on operational experiences from California where the authors are based. In the past few years, wildfire technology development and applications are being increasingly driven by the private enterprise sector, as evidenced by the surge in wildfire-focused startups around the world (see, Crunchbase 2019; GTM 2020; Mercury News 2021). There are at least three factors contributing to the rise of wildfire technology entrepreneurship around the world: one, wildfire technology development and applications are building on a robust foundation of open data science; two, unprecedented amounts of state funding and private investments, particularly in the western United States, are being committed towards addressing the wildfire crisis; and three, entrepreneurs and technologists personally affected by wildfire impacts are increasingly committed to developing, applying, and scaling solutions to address the wildfire crisis. Broadly, wildfire technology entrepreneurship is responding to the needs of three kinds of end users: first responders, insurers, and, increasingly, homeowners. The emerging environment for wildfire technology entrepreneurship in California is broadly indicative of likely global trends over the next few years, which can be characterized as three-fold: a. b.

urgent policy, funding, and legislative commitment to wildfire risk reduction, especially in the context of worsening climate impacts; increasing commitment from local public safety agencies and county emergency management programs to pilot and adopt new technology applications; and

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growing interest from a range of private climate-focused funds including from philanthropy, corporates, accelerators, incubators, and, increasingly, venture capital.

In terms of state policy, funding, and legislative commitment, as of 2021, in the United States alone, about USD 100 billion has been committed to addressing catastrophic wildfire risk over the next decade. This unprecedented policy and funding commitment responds to the increasingly devastating wildfire impacts experienced by communities across the western United States. To address the complex and cascading social, ecological, and public health impacts of wildfires, a range of measures were put forth in 2020–2021. For example, the 2021 Build Back Better Act proposes spending about USD 18 billion for fuel reduction and forest resilience. A further USD 3.4 billion has been committed to wildfire risk reduction in the infrastructure bill. In California, one of the states worst affected by the wildfire crisis, the California Department of Forestry and Fire Protection (CAL FIRE) manages an annual budget of USD 3 billion with an additional USD 1.2 billion allocated in 2021 in emergency spending. In 2021, the State of California committed an additional budget of USD 1.5 billion towards wildfire response and forest resilience. Notably, in 2021, California created an Office of Wildfire Technology Research and Development (SB-109 2021). The new office, which sits within the State’s Office of Emergency Services, will act as the central organizing hub for the state to identify emerging wildfire technologies. It is proposed that the Office of Wildfire Technology Research and Development will collaborate with public, private, and non-profit organizations and companies in finding emerging technologies and tools to fight wildfires, form a research and development program, recommend state and local agencies on best equipment and technology available to them (SB-109 2021). Across the western United States, and in California in particular, the growing pools of wildfire funding are being directed into community funds and county programs for wildfire mitigation and forest resilience. Access to this newly available pool of funding is allowing state and local departments to pilot new technologies that can address the wildfire crisis. In the context of increasing wildfire impacts in the wildland–urban interface (WUI), public safety officers, first responders, and county officials have generally been more willing to champion new approaches and technologies for wildfire risk management (for examples, see Crunchbase 2019). As of 2021, counties have piloted new technologies with a focus on early detection for faster response and information and communication management, including alerts and notifications (State of FireTech 2022). Community-based organizations, such as the Fire Safe Councils and the Firewise communities, are also greatly benefitting from access to wildfire mitigation funds in the form of grants that can enable communities to organize landscape-scale forest and watershed restoration activities—a first for many WUI communities living with fast-increasing wildfire risk across the western United States. Community-centered solutions are also being sought in the FinTech space, specifically by insurers who

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seek to incentivize landscape-scale wildfire mitigation and risk reduction actions within WUI communities (see ARISE 2021). In terms of private investment funds, investment pools are rapidly growing in ‘Climate Tech’, with a focus on early-stage investments. In 2013, the early-stage venture funding for climate tech was about USD 418 million. This grew to about USD 16.1 billion as of 2019 (PWC 2020). For the most part, the lead in Climate Tech has been taken early on by corporates and Big Tech. During the global COVID-19 pandemic, Amazon pledged USD 2 billion towards a ‘Climate Pledge’ venture fund, and Microsoft launched a USD 1 billion Climate Innovation Fund, among other examples of similar corporate commitment. Additionally, several small funds have mushroomed in a short span to offer a range of investment types and sizes to diverse social enterprises working towards just and equitable climate outcomes (see Climate Tech VC 2021 and Community Fund 2021). While venture capital funds have not yet witnessed similar investment trends in FireTech, the emerging area of wildfire technology entrepreneurship is likely to learn and benefit from the enabling environment created by Climate Tech thus far (for example, the first exclusively FireTech fund, Convective Capital). Advancements in other kinds of innovative funding practices, such as public– private partnerships, have also enabled the development and adoption of new technologies. For example, the Forest Resilience Bond is a financing tool that raises capital for landscape-scale community action and forest restoration. In this private– public-people model, community and public stakeholders return funds to private investors over time (Gartner et al. 2018). Similarly, the Smartest Forest Fund provides seed funding for innovative projects to make the Tahoe forest in California the ‘Smartest Forest on the Planet’. The structure aims to minimize project approval time, bolster wildlife and ecology research, invest in circular economies that find markets for fuel removed from the forest, prepare the community for evacuation, and encourage the adoption of new financial tools to do more work, quicker (Tahoe Fund 2019). However, the enabling environment is not limited to good governance arrangements and funding availability. An enabling environment for FireTech also includes peer-to-peer learning and support networks for wildfire technology entrepreneurs entering the emerging space. This model took shape in Australia, and FireTech Connect provides programmatic support to new fire technology entrepreneurs and startups. Alongside an innovative funding strategy, FiretTch Connect also provides mentoring, training, and ongoing support to companies such as Fireball International, Helitake Fire Fighting Equipment, and BIA5 Pty Ltd. Notably, in 2021, CrowdDoing, an initiative that brings together volunteer mission-driven stakeholders announced a global alliance for ‘Catastrophic Wildfire Prevention’. Such collaborative platforms are creating a supportive enabling environment for technology entrepreneurs to collaboratively address the wildfire crisis. Moving forward, some gaps and challenges remain for technology entrepreneurs attempting to address the wildfire crisis. Wildfire technology entrepreneurs currently face a mismatch between investors, buyers, and end users. In general, public safety agencies and utilities can take a long time to review, pilot, and commit to deploying

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new technology. They are generally reluctant to depend on new and untested technologies due to liability concerns. On the other hand, public safety agencies can also be engaged champions. At least a couple of technology startups have come to be designed in collaboration with county and fire chiefs. These technology startups have progressed well in development, applications, and scaling because they relied on a peer-to-peer review mechanism between local county officials. While policy and regulatory environments are moving in the right direction, companies pioneering high-risk, new, and ‘deep’ technologies still struggle to attract major funding from private investment and venture capital. Traditionally, venture capitalists have been slow to show interest because of a general lack of ‘deep tech’ solutions and a lack of understanding of what constitutes an addressable market. Innovative funding programs remain understudied and are a significant gap in our scientific understanding of effective financing models. Research is needed to understand the effectiveness of various sustained funding models in addition to research on programs that motivate risk reduction investment (Gollner et al. 2021). From a new technology entrepreneur’s perspective, there remains a general shortage of investor choice since most established funds are focused on backing repeat entrepreneurs (PWC 2020). In a previously contracted fiscal environment, venture capitalists have generally disregarded business models that sell to governments as primary customers. However, one of the key aspects of wildfire technology entrepreneurship has been its reliance on ‘champions’ within government, from developing to adopting new technologies. To that extent, one of the key enablers of this initial momentum has been from philanthropy, not venture funds. While the funding size received from philanthropy is generally much smaller, the seed capital in early-stage startups has been critical to the development, application, and scaling of FireTech offerings such as the Zonehaven evacuation platform (State of FireTech 2022). In general, there is also a need to move past the siloed structure of funding, especially for research and development of new technologies. Given the scarcity of research funding, efforts need to be collectivized in ways that provide the most significant impact on improving risk assessments, including fire models, forecasting, and prediction services. There is also a need to increase funding for fire management resources to improve the deployment of early response abilities. There is a need to expand funding to include capacity development for outreach and mitigation (Gollner et al. 2021). Sustained funding support is critical for the effective operation of community-based wildfire risk mitigation programs. Finally, there is a need to create greater awareness of the emerging technology entrepreneurship space of FireTech, for policy, insurers, first responders, and the community. Design and innovation challenges facilitated by incubator and accelerator labs are an effective tool for engaging scientists, researchers, and industry professionals in the potential of wildfire technology and entrepreneurship. For example, Call for Code: Spot Challenge for Wildfires was designed to forecast wildfires in Australia during February 2021 to better understand the application of machine learning techniques in this domain (IBM 2021a; also see IBM 2021b). The Beat the Blaze Hackathon was completed in April 2021 and focused on information and data sharing

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solutions to help the National Guard and first-responder end users solve missioncritical problems (National Security Innovation Network 2021). Data Quest 2020 brought together the best scientific minds in bushfire research, machine learning, and earth observation in an intensive research sprint to more accurately predict fuel loads across Australia, detect fires earlier, and better predict fire behavior (Minderoo Foundation 2020). The Reimagining 2025: Living with Fire Design Challenge provides funding for student-led teams to collaborate with communities at high risk from wildfire impacts and reimagine sustainable pathways to living with fire by applying social, ecological, and technological innovations (Wonder Labs 2021). Wildfire education for communities can take many forms. One of the most wellknown and potentially effective forms of education in fire prevention are public awareness campaigns. However, campaign effectiveness needs to be monitored and improved based on end user engagement and behavior change outcomes (Forest Stewards Guild 2018). In the United States, the public can also learn through interactive maps such as Wildfire Risk to Communities, a map with a nation-wide, interactive map to help communities understand, explore, and reduce wildfire risk (USDA Forest Service 2021). Regularly updated guides can also provide communities with recommendations on making their property fire-safe (see California Wildfire Retrofit Guide) and for making a wildfire action plan (CAL Fire 2021). FireWise USA, which started in 2002 as a way to support neighborhood-scale fire preparedness, fills an important niche for disseminating information and providing resources for communities to adapt to increasing fire risk (NFPA 2021). This section highlights the role of good governance in creating an enabling environment for wildfire technology innovations to make meaningful contributions to wildfire risk reduction and sustain wellbeing among the most vulnerable populations. The section also highlights the opportunity presented by entrepreneur collaboratives and networks that enable convergence for greater outcomes. For example, innovations in wildfire technology can be achieved where entrepreneurs collaborate to couple their offerings and build on each other’s platforms. Such collaborations can lead to maximizing public uptake and impact. Finally, the findings presented in the previous sections also highlight why it will be important to broaden our understanding of technologies to include not just products and services, but also reflect on processes and enabling frameworks or approaches that deliver just and equitable disaster risk reduction outcomes (also see Izumi et al. 2019). This section concludes by considering the ethical imperative for technology entrepreneurship to achieve just, inclusive, and equitable wildfire risk reduction outcomes. In the context of ongoing conversations around racial and environmental justice, diversity and inclusion, and ableism and access, it is timely for wildfire technology entrepreneurs, funders, and operational executives to commit to an ethical framework in how technology is developed, applied, and scaled, for just, inclusive, and equitable outcomes. Figure 15.2 presents technology entrepreneurs with a guiding framework for visioning just, inclusive, and equitable technologies. The framework offers five interrelated entry points for engaging with theory of change and visioning processes that are grounded in a moral imperative to develop just FireTech:

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Fig. 15.2 Guiding framework for visioning just, inclusive, and equitable technologies

a.

b.

c.

d.

e.

Normative goals signal commitment to high-level norms such as ‘vulnerability reduction’, ‘systems change’, ‘community wellbeing’, and ‘ecosystem resilience’. These normative goals commit to actualizing international goals outlined in the Sendai Framework for Disaster Risk Reduction (2015–2030), the Sustainable Development Goals 2030, and the Paris Climate Agreement. Priorities for action, adapted from the Sendai Framework for Disaster Risk Reduction (2015–2030), the priorities define the four main areas of work where technology can contribute to achieving wildfire risk reduction goals. Technology here is broadly defined to include data applications, including digitization, IoTs, and SaaS technologies that streamline workflows and offer information and communication management; robotics including aviation and ground-based vehicles; materials including compounds; and related FinTech verticals such as insurance, crypto, and carbon markets. Expected or desired outcomes outline what a focus on FireTech’s four priorities will likely achieve: a better understanding and characterization of wildfire risk for communities and ecosystems; strengthened and diversified capacities for community development and forest restoration; enhanced end-to-end systems for early detection, alerts, and response; and healthy ecosystems and circular forest-based economies. Enabling processes suggest pathways to achieving FireTech goals, such as through convergence research and community-based disaster risk reduction, with due consideration to equity, social justice, and care principles that support adaptive governance and learning from nature-based solutions that contribute to ecosystem-based adaptation. Guiding principles: Wildfire technology entrepreneurs can commit to engaging communities with CARE—collaboration, accountability, responsiveness, and

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empowerment. For example, FireTech startups can co-develop solutions based on the context, needs, and capacities of communities living with wildfire risk. FireTech startups can also contribute to community funds that enable communities to pilot technologies while developing community infrastructure and workforce capacities. Finally, FireTech startups can commit to maintaining an ethical data framework whereby data collected from community users and private citizens is secure and protected with the best interests of communities in mind. Technology entrepreneurs, funders, and community organizations adopting FireTech innovations can refer to this guiding framework to conduct theory of change and visioning exercises. The guiding framework enables a greater focus on collaboration so that technology entrepreneurs can build off existing data, robotic, and material platforms in FireTech and collaboratively showcase coupled benefits to end users. This will often entail collectively working with champions and early adopters in local departments and communities to understand needs, capacities, and operating environments. Too often, local departments refuse to engage with technologies that seem redundant or overlapping with existing pilots. Showcasing how new technologies fit into existing platforms can greatly help uptake and coupled approaches. Also, committing to co-develop new technology with a pilot community can be instrumental in ensuring the usefulness and sustained adoption of the technology. Finally, technology entrepreneurs can address co-benefits to communities on the frontlines, for example, by planning for capacity development and circular economies that can enable reinvestment in the community’s infrastructure, habitat, and socio-economic wellbeing. Previously, while many startups positioned their technology as assisting law enforcement and firefighters on the frontlines, current trends show how wildfire technology entrepreneurs are increasingly engaging directly with communities. Products and services are being designed to meet homeowner needs and address community risk, in terms of data, mechanization, and materials. This trend is also leading to progressive changes in how insurance companies engage with communities, offering a window of possibility in sustaining social justice and wellbeing outcomes through new kinds of insurance approaches and products. There is a concerted effort to move away from ‘do no harm’ to ‘do the greatest good for the most vulnerable’. For example, in 2021, Zonehaven, with support from a Wonder Labs’ Living with Fire Design Challenge team, developed a methodology to create a more inclusive evacuation mapping platform that provides greater access to communities from culturally and linguistically diverse backgrounds (Wonder Labs 2021). In conclusion, this section offers a ‘playbook’ on how technologies for wildfire risk management can be developed in ways that are accountable and responsive to social justice, equity, and sustainable development goals. The chapter also opens new questions around how to plan for the next 20 years. How can technology entrepreneurship commit to greater convergence around normative goals, desired outcomes, and enabling processes? How can innovations in wildfire technologies look to the past

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and future? How can we learn from Indigenous, migrant, and traditional ecological knowledge systems while also engaging with futures thinking? Perhaps, technology approaches, products, and services that serve the greatest good for the greatest number will stand the test of time. Acknowledgements We thank the many technologists and entrepreneurs around the world who’ve generously shared insights and informed Wonder Labs’ work since early 2020. We thank members of the Wildfire Technology Funders Group, co-facilitated by the Gordon and Betty Moore Foundation and Google.org, for engaging in early conversations and sharing philanthropic funding insights allowing us to develop a conceptual framework for the emerging space of ‘FireTech’. We thank Tara Pozzi for research assistance with compiling an initial desk review on ‘The State of FireTech’.

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Chapter 16

A Sustainable Water Supply Business Model by Utilization of the Innovative Water Flocculants, a Case Study in Bagamoyo, Tanzania Yasuhiro Soshino, Omar Juma, and Akira Miyata Abstract Water is imperative for all human beings and other lives on the earth. While access to safe drinking water is recognized as a part of human rights, there are a lot of people who have challenges in ensuring safe water in the world. The lack of safe water exercises a negative impact on health by causing diarrhea diseases which is one of the most serious killer diseases of under-five children in developing countries. In addition to health, a lot of studies point out that toward poverty reduction, improvement of the access to safe water is a critical agenda. Furthermore, the challenges in gaining safe water negatively impact the education opportunities of children in developing countries. Various studies point out that there is a significant link between the access to safe water and the school attendance of children, particularly girls. In terms of access to safe water, its impact on livelihoods must not be ignored. In providing safe water in developing countries, affordable and sustainable technologies, in other words appropriate technologies, should be used while sustainability of the service is crucial. In this way, access to safe water in developing countries, rural areas in particular, remains a challenge and the sustainable service model is needed based on the appropriate technology which is suitable for the local context. Therefore, this study discussed the impact and the sustainability of the water supply service in rural areas of Bagamoyo, Tanzania, operated by a Japanese small-medium enterprise, “Poly-Glu Social Business.” The company installed a water plant using affordable water flocculants and recruited the plant staff from the local community. The multisectoral studies were conducted by assessing the health, livelihood, and education impacts by comparing the intervention and control villages in the study areas. As a result, this study found a positive impact on health, livelihood, and education in the intervention village such as the reduction of the water-related diseases, reduction of the time for water fetching by the school children, and allocating the spare time for livelihood activities instead of using the time for the water fetching. On the other Y. Soshino (B) · O. Juma · A. Miyata Japanese Red Cross Kumamoto Hospital, Kumamoto, Japan e-mail: [email protected] Japanese Red Cross College of Nursing Disaster Management Research Institute, Tokyo, Japan O. Juma Ifakara Health Institute, Bagamoyo, Tanzania © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_16

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hand, this study also found that the inequality in the availability of the water services in the intervention village is due to the long distance from the water plant. For further expansion of the water services and the service sustainability, this study pointed out the collaboration of the local education hubs for entrepreneurship. Keywords Sustainable water supply · Innovation · Infrastructure in rural areas

16.1 Introduction Water is essential for human beings. Access to safe water is recognized as one of the parts of human rights by the United Nations General Assembly (UN 2010). In 2015, 844 million people still lack even a basic drinking water service while 71% of the global population use a managed safe drinking water service (UN 2015). In 2017, 435 million people use unimproved water sources and 144 million people still use surface water while eight out of ten people still lack even basic water services live in rural areas. In 2017, in Sub-Saharan Africa and Oceania, more than 40% of the population still lack access to safely managed drinking water (UN 2017). Despite the progress of SDGs, the lack of safe drinking water remains as a part of a great public health challenge. The effects of contaminated drinking water result in thousands of deaths every day, mostly in children under five years in developing countries. The leading cause of death among children worldwide is the disease caused by the lack of safe water and poor hygiene practices (WHO 2003). The proper water supply and sanitation measures greatly can reduce the number of under-five children’s deaths (Brown et al. 2013). Over six point five million under-five children died in 2012 of which, 10% of these deaths were attributed to diarrhea and the highest rates of child mortality occur in sub-Saharan Africa (Walker et al. 2013). In 2010, diarrhea disease was responsible for almost 9% of all deaths of Tanzania under-five children just behind Malaria (11%) and pneumonia (15%) (Liu et al. 2012). In addition to the health risks, lack of access to safe water causes poor health conditions that disturb development, poverty alleviation, and education (WHO 2003). Poverty largely intertwines with a lack of water and sanitation (Hakro 2012). To build up a national poverty reduction strategy, it is important to clearly understand how the poor use water and sanitation services, and the fact that among the poor such use may vary by location, gender, ethnicity, and the depth of poverty (Bosch et al. 2002). The availability of water, the way of access, and its storage can be considered as the better indicators in assessing the level of poverty (Maliki et al. 2009). In Africa, no matter in cities or rural areas, the key factor in the lives and livelihoods of the poor is water which the poor need to struggle to meet their needs for this vital resource (Barron et al. 2007). Hidden linkages between water and poverty must be deeply understood by all the stakeholders such as researchers, policymakers, and project implementers (Hussain and Giordano 2004). In Kenya, people living in the areas where the populations are scattered in the wide geographical areas seem to suffer increased levels of WASH poverty compared to the national average (Giné Garriga

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and Pérez Foguet 2013). In Tanzania, according to the interviews with water vendors, community leaders, and users in Dar es Salaam, some low-income households living far from the water infrastructure are buying water almost 30 times the price paid by those who have a household connection to the city piped water network. The poorer households pay higher prices since water is essential and a priority in household spending (UNDP 2011). Furthermore, lack of access to WASH in households and schools negatively affects the education of children (Jansz and Wilbur 2013). A cross-sectional study on the influence of school and household WASH conditions in the western Kenya identified that the major effects caused by the households’ characteristics were distance to the water source, child involvement in water collection, and presence of a latrine, differing by gender (Dreibelbis et al. 2013). Sufficient attention is not paid to WASH in schools while the impact on children’s health, school attendance, and its benefit in growing up with lifelong hygiene habits exists (UN-Water 2014). A study in Ghana identified the significant negative linkage between girls’ school attendance and water fetching, as a halving of water fetching time increases girls’ school attendance by two point four percent on average, with stronger impacts in rural communities (Nauges and Strand 2013). While various studies indicated the importance of safe drinking water in health, education opportunities, and livelihood of the communities in rural areas of developing countries, the previous studies suggested the challenges in ensuring the sustainability of the water supply services. The need for the water and sanitation for poor people are huge in developing countries. Thus, appropriate, in particular, simple, affordable, and sustainable technology must be used (Mara 2003). In the concept of appropriate technology, sustainability means environmentally sustainable and locally sustainable. To be locally sustainable, the technology needs to be introduced and developed so that the local users are able to maintain, reproduce, and repair it after the outside designers have left the community (Murphy et al. 2009). The word of the appropriate technology is the technologies appropriate for local socio-economic and cultural conditions that match well with the local needs and create job opportunities in an environmentally friendly manner (APEX 2019). One of the three potential solutions to the limited success of community-managed rural water supplies is the implementation of the service models operated by the private sector (Harvey and Reed 2007). The water supply project will be improved by better focusing on the implementation of rules by project staff, intermediaries, contractors, or NGOs (Travis and Sara 2005). In this way, access to safe water in developing countries, rural areas in particular, remains a challenge and the sustainable service model is needed based on the appropriate technology which is suitable for the local context. Therefore, this study discusses the impact and the sustainability of the water supply service in rural areas of Bagamoyo, Tanzania, operated by a Japanese small-medium enterprise, “Poly-Glu Social Business” (hereafter Poly-Glu). The service by PolyGlu uses the locally available technologies and employs the service staff from the

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local communities. This study assesses the health, livelihood, and education impacts and the sustainability of the service in a rural village. Following the introduction, Sect. 16.2 introduces an overview of the water supply service in Bagamoyo, Tanzania. The outlines of this study are presented in Sect. 16.3 and the results are shown in Sect. 16.4. The discussion is described in Sect. 16.5, and Sect.16.6 concludes this study.

16.2 The Business Model Poly-Glu is a private company focused on providing safe water in the world by using its flocculants “PG21αCa.” The characteristics of the Poly-Glu’s water supply business are (1) the application of the innovative and affordable flocculants “PG21αCa,” (2) the application of locally available technologies, and (3) localization of the services. These characteristics are effective in operating the sustainable water supply business in developing countries in Asia and Africa. For example, in Somalia, the IOM conducted a pilot project by using PG21αCa to supply safe water for Internally Displaced Persons (IDPs) (Kumamaru et al. 2013).

16.2.1 The Innovative Flocculants Figure 16.1 shows the flocculation process by PG21αCa. PG21αCa is a biodegradable, edible, and environmentally friendly flocculant that is made of poly-glutamic

Fig. 16.1 The flocculation process by using PG21αCa

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acid and calcium. The characteristic of PG21αCa is its high aggregation capacity to flocculate various compounds, while it does not affect pH in the water. Therefore, it is used for purifying water in ponds, lakes, and wastewater in factories. It shows some effects in removing arsenic which causes serious health problems in developing countries where people are taking water from the deep wells. PG21αCa is an affordable technology that can treat 1000 L of water and it costs less than two USD.

16.2.2 Application of Locally Available Technologies The characteristic of the Poly-Glu water plant is its simple component shown in Fig. 16.2. The water plant consists of an aggregation tank, a sand purification tank, and a chlorination tank. In the filtration tank, from the bottom of the tank, the filter consists of 40 cm of charcoal layer, 10 cm of small stones layer, 10 cm of gravel layer, and 60 cm of sand layer. Each layer is separated by rough fabric for easing the maintenance. This simple component enables local engineers in water supply companies to establish and maintain the plant at an affordable cost. In addition, the size and component of the plants can be flexibly changed according to the local needs and situation.

Fig. 16.2 A water plant in Mtoni, Bagamoyo, Tanzania

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16.2.3 Localization of the Services Poly-Glu tries to localize its services by recruiting the staff locally and collaborating with other organizations. For example, in Bangladesh, Poly-Glu recruited Poly-Glu ladies and boys as the staff salespersons and the plant operating staff. In Tanzania, Poly-Glu works with a local NGO to hand over the technology for operating the water plant. In this way, instead of sending expatriates, Poly-Glu effectively localizes its services in different countries.

16.2.4 The Project in Tanzania In 2013, Japan International Cooperation Agency (hereafter JICA) introduced the Small- and Medium-Sized Enterprise Partnership Promotion Survey on a trial basis. Under this framework, Poly-Glu commenced a community-based water supply project in Tanzania. In 2014, Poly-Glu decided to expand the projects in four rural communities in Tanzania, in cooperation with JICA, the Government of Tanzania, and Tanzania Water and Environmental Sanitation (TWESA), a countrywide local NGO. Poly-Glu started the installation of water treatment plants in Kisarawe, Kyaka, and Bagamoyo, Tanzania.

16.2.5 Installation of a Water Plant To provide safe water by using the flocculants (PGα21Ca), a water plant (Fig. 16.3) was installed in the village of Matipwili, Bagamoyo. The main equipment and the parts are water tanks, pipes, hoses, and engine pumps which can be purchased locally. In June 2014, the village leader of Matipwili officially agreed to install the water plant. The water plant was established by the local construction company in August 2014. The produced water by the plant was examined to find that the quality of the water cleared the national standards in Tanzania. In this project, the construction cost of the water plant was approximately 20,000 USD. The local purchase of the equipment and parts played a key role in reducing the initial costs and ensuring the spare parts for the long-term operation.

16.2.6 The Service Scheme In August 2014, the expatriates of Poly-Glu conducted an initial assessment by using questionnaires in Matipwili. At the same time, the staff were locally recruited from the community and trained for operating the water plant. The recruited staff

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Fig. 16.3 The Water Plant in Matipwili, Bagamoyo, Tanzania

includes the operation staff of the water plants, salespersons, and the guard for security purposes. The water sales cost was decided based on the discussion with the community including the community leader. A local NGO TWESA (Tanzania Water and Environmental Sanitation) was involved in providing technical support when necessary. The operation of the plant commenced in September 2014 and was handed over to Matipwili Community Owned Water Supply Organization in February 2019.

16.3 Purpose of This Study In February 2015, the Japanese Red Cross Kumamoto Hospital and Ifakara Health Institute signed a memorandum of understanding to conduct a joint research project to evaluate the water supply project of Poly-Glu which could be an ideal business model. As discussed in Chap. 1, providing safe water could impact various dimensions such as health, livelihood, and education. Therefore, this study aimed to perform an impact assessment of the water supply business in Matipwili, Bagamoyo of Tanzania.

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16.3.1 Study Areas The study was conducted in Matipwili (Intervention) and Fukayosi (Control) villages in Bagamoyo District. Bagamoyo is one of the six districts of the Pwani Region of Tanzania. It is bordered to the North by the Tanga Region, to the West by the Morogoro Region, to the East by the Indian Ocean, and to the South by the Kibaha District. It is located at a latitude and longitude of 0° 28’ S and 38° 55’ E.

16.3.2 Study Design The study used a cross-sectional design that employed both quantitative and qualitative research methods (FGD, key informant interviews, in-depth interviews, and health facility survey). Health facility data related to waterborne diseases were collected for the previous two years before the survey so as to compare the situation before and after the implementation of the water project. The study compared intervention and non-intervention villages in terms of the presence of water-related borne diseases and perception of water supply provision in terms of livelihood and learning opportunities in Intervention and Control villages. Most of the quantitative data were obtained from surveys at the health facility level. The study received ethical and regulatory approvals from the ethics committees of Ifakara Health Institute (IHI-IRB) and the National Institute for Medical Research (NIMR) in Tanzania.

16.3.3 Data Collection This study employed both qualitative and quantitative methods. The study period started in June 2014 and was completed in May 2016. Qualitative data collection techniques were used to ensure all required information is gathered. Open- and closed-ended questionnaires were used at all levels of data collection. Health facilities’ data were captured through quantitative questionnaires. Table 16.1 presents Table 16.1 The overviews of the interviews S/No

Variable

Intervention villages

Control villages

Total

1

FGDs

3

3

6

2

In-depth interviews

2a

Key informants

8

11

19

2b

Individual community members

8

4

12

3

Health facility surveyed

1

1

2

Total interviews

20

19

39

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the overview of the interviews for this study. A total of six Focus Group Discussions (FGDs), two Health facility tools, and 31 in-depth interviews (12 from the community and 19 village/sub-village officials-key informants) were administered from both sites.

16.3.4 Demographic Characteristics in the Study Areas The intervention village (Matipwili) has six main communities surrounding it: Gongo at a distance of 13 km West; Fukayosi at 30 km south-west; Saadani at 32 km northeast.; Kidomole at 38 km south; Makurunge at 40 km south-east; and Kiwangwa at 45 km south-west. Currently, the village has 629 households with a total population of 3,077 where males are 1,548 and females are 1,529. It consists of one dispensary with four health workers (clinical officer, nurse, health officer, and laboratory assistant). The intervention village has been served by two schools, primary and boarding secondary. The former has preschool attached to it. In total, the primary school has 595 pupils, where preschool is 48 (boys 23 girls 25) and primary school is 547, (boys 268 and girls 279). It has 20 toilet holes, equally shared between boys and girls. Two small tanks have been placed on each side of the toilet for hand washing after toilet use. There was no soap for hand washing. No toilets are available for teachers. The main source of water for use at school is from rainwater harvesting, stored in a tank with a 5,000 L capacity. The source provides water for a maximum of four months in a year. The water is mainly used for cleanliness and for toilets. When treated, the water has been used for drinking by school children. When finished, the school gets water from private vendors having water pumped from the Wami river and stored in tanks for sale while untreated. This source is located approximately 250 m from the school compound. The water treatment plant project is located nearly 300 m from the school compound. The secondary school has a total of 230 students, where 96 are boys and 134 are girls. It has one toilet with eight holes with four holes for boys and four holes for girls. The toilets have hand washing facilities. The other toilet is for teachers which consists of two holes equally shared between men and women teachers. The main source of water for the school is from a water treatment plant project, private vendors, and a river, found in less than 1 km approximately from the school compound. The intervention village is connected to Bagamoyo, the district headquarters via Makurunge which is about 60 km. The road is passable mainly during the dry season. During the wet season, the village is accessible via Bagamoyo-Msata tarmac road, at Mandera village, across Saadani National Park which is more than 150 km from the district headquarter, Bagamoyo. The control village (Fukayosi) is boarded with Wami river at North, Kidomole at East 6 km, and Mwavi at West 5 km. In terms of the road infrastructure, the control village is crossed by Bagamoyo-Msata main road. The road just touches a small portion of the entire village at Fukayosi sub-village, leaving aside eight sub-villages on the periphery. The village is located north-west, from the district headquarters, Bagamoyo. The main economic activity in this area is farming. Currently, the village

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has a total population of 3,494 people, where males are 1,705 and females are 1,789. It consists of one dispensary in the village. The village has been served by two schools, primary and secondary. The former has primary school only. The preschool is privately operated in the village. The primary school has 379 pupils, where boys are 194 and girls 199. It has two toilets with three and four holes each for boys and girls, respectively. The main source of water at school is from other local sources of water or, sometimes when available, at a water project kiosk found about 150 m from the school compound. The school has a temporary hand washing facility (containers) without soap. They used to be hanged on trees during school hours and removed at the end of the day. The school has a WASH club, where one among the members has to collect money from the school administration every day to collect water for toilet use. There are no toilets for teachers. A project effort to connect the school with water is ongoing, as a ditch has been dug out and water pipes have already been laid in it nearly to the finish stage.

16.3.5 Description of Study Participants Key informants: a total of 19 respondents were interviewed who were two village chairpersons one from each village; two water committee chairpersons, one from each village; and 15 sub-village chairpersons (nine from Fukayosi and six from Matipwili). 95% (18/19) of respondents interviewed were men. About 78% of respondents had completed primary education, while 18% didn’t complete primary education, while 5% were above primary education. A majority (52%) of respondents were aged between 32 to 43 years while the rest were aged between 45 to 76 years. At the community level, there were eight and four individual in-depth interview respondents from the intervention and the control villages, respectively, gender mixed, and mostly adults of reproductive age. Focus group discussion consisted of six groups with three categories namely female group mostly married and/or having children below five years, male group mostly married middle and older ages, and the lastly the youth group which consisted of young men and women married and unmarried, below thirty years. The respondents were from sub-villages directly connected with the water project, closer and those living away from the source of pure and safe water. The facilitator introduced general questions in the stimulation of the discussion and further probed using sub-questions outlined in the FGD guide. The respondents were able to come up with different themes without being influenced by the facilitator.

16.3.6 Mapping of Water Projects The intervention village has a total of six sub-villages (Msikitini, Mkunguni, Mzambarauni, Biga, Gobole/Kisauke, and Tumbilini). The only main water tap has been

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placed at Gobole sub-village with sub-villages of Msikitini, Mkunguni, and Mzambarauni closer to the water services. Biga and Tumbilini are situated far from the collection point while Tumbilini is located approximately seven kilometers away from the water tap treatment plant. The water treatment plant has been placed a few meters from the bank of the Wami River, the only main source of water in this area. The control village has nine sub-villages (Fukayosi, Umasaini, Ndoleni, Mtakuja A, Mtakuja B, Lusako, Kurwi, Mwanamvuli, and Kalimeni). The village has been connected with the main water pipe from the Wami River. The main water pipe was meant to supply pure and safe water in the villages along the Bagamoyo-Msata road including Fukayosi. In Fukayosi village, however, it is only Fukayosi and Mtakuja “A” (partially covered) sub-villages that have been connected with main water pipes.

16.3.7 Number of People Benefited from Water Projects The Intervention village has 629 households, with a total population of 3,077, where males are 1548 and females are 1,529. In the control village, there are about 668 households, with a total population of 3,494 people, where males are 1,705 and females are 1,789. In the control village, there was no data showing population estimates from sub-village levels. Table 16.2 presents the estimated number of people and households benefiting from the water treatment plant in the intervention village. In the intervention village (Matipwili), the treatment plant is located at Gobole subvillage, with sub-villages of Msikitini, Mkunguni, and Mzambarauni being closer (within and beyond 1 km, according to UNICEF and WHO standard). About 71% of households from these sub-villages (2,227 people) have been benefiting from the water project. However, 29% of the households from Tumbilini and Biga sub-villages (850 people) have poor access to the water plants as they are located more than 5 km from the source.

16.3.8 Situation of Water Projects Both villages have access to pure and safe water through sponsorship of the Chinese Government in Fukayosi and JICA in Matipwili, respectively. However, the service is not reliable in the control village as the water is not available throughout the time. The people living in the village especially in Fukayosi have been experiencing a long water cut-off period due to damage to water pipes. Instead, the water service has been supplied by vehicles commonly known as dozers as carrying water from the Wami river where a bucket is sold at 500/ = shillings. In the sub-villages which are located far from the main road and not passed through with water pipes, the community gets water from short boreholes filled with water during the rainy season, and other few temporary boreholes which can store water during the dry season. Another source of water is a dam which is located to the north-east from Fukayosi sub-village. The dam

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Table 16.2 Population in the study areas Village

Hholds

Population

Children

Older age

Disabled

Total

Male

Female

Boys

Girls

Male

Female

Male

Female

Matipwili village

Msikitini

120

500

270

230

160

122

15

19

0

2

Gobore

90

494

245

249

59

56

5

6

1

1

Biga

125

472

276

198

151

105

21

22

0

1

Mkunguni

98

437

186

253

130

100

25

15

0

0

Mzambarauni

140

796

371

425

191

240

21

12

3

3

Tumbilini

56

378

204

174

83

74

6

4

0

2

Total

629

3077

1548

1529

774

697

93

78

1

9

*Fukayosi village

Fukayosi

Mtakuja “A”

Mtakuja “B”

Mwanamvuli

Ndoleni

Key: Distance from water source

Umasaini

Kurwi

Location water tap

Lusako

Closer to water tap

Kalimeni

2-4 km approx

Total

*688

*3494

*1705

*1789

of

7 km approx

*

There was no data available for sub-villages for Fukayosi village. Only cumulative number for households and overall total population, total population according to gender, in row total

was constructed in the 1950s and later a water pump was installed to push water out from the dam through a water pipe to a point where domestic animals could drink. Further, water was pumped to reach the community in the Fukayosi sub-village. This was done purposely to avoid water pollution and to avoid clashes between communities who kept animals, mostly Maasai, and those who don’t. However, in the later years, the infrastructure had stopped to function, and currently, both people

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and domestic animals access water at the same point. The water is impure and unsafe as it contains animal faces. During the dry season, most boreholes become dry, and therefore, most people from different villages where water service is unavailable including Fukayosi access water services from distant villages of Mwavi where there are several boreholes with permanent aquifers. The bucket is normally sold at 100/ = shillings during the dry season, but free of charge during the wet season. In the intervention village, however, the water is available throughout, except when the flocculants (PG21αCa) are unavailable. In absence of pure and safe water, people access impure and unsafe water from the Wami River where they wait for long hours for impurities to settle before being consumed domestically. As in the control village where only Fukayosi sub-village has a connection to the unreliable source of pure and safe water while leaving nine sub-villages, the situation is the same as in Matipwili where only Msikitini, Mzambarauni, and Mkunguni sub-villages are closer to the water tape where they spent short time to access water service. Gobole/kisauke and Biga sub-villages are a bit far to reach the water pipe. Tumbilini is far to reach the water pipe as it is located about seven kilometers from the pure and safe water source.

16.3.9 Existence of Functioning Water Committees In both villages, water committees exist. In the control village, the water committee headed by a male chairperson consists of six members with equal numbers in gender consideration. The committee meets once in a month with an agenda and documented reports. However, both agenda and reports were not seen on the day of the interview as they were kept by a committee secretary who was away. The main source of funds for water is collection after selling water at a price of 50/ = per bucket at water points. The committee collects funds and submits them to the village government to take into account. There is no other source of funds apart from the collection of water selling. In the case of maintenance of water infrastructure, it has been done by the contractor as the project is still under their ownership. The spare parts are said to be available at Wami (Wami river water station) where the source of the water project is located. The village has no artisans for the water project. In the intervention village, the committee is headed by a female chairperson; it consists of ten members, with four women among them. The committee meets once in a month and a general meeting after every three months. The meetings have agendas and documented reports though they were not seen during the day of the interview. The same as in the control village, the water project in intervention mainly depends on selling water at a price of 100/ = shillings per bucket as the source of funds. To put records for accountability and transparency, all people who purchased water at collection points have to be registered daily, recording the number of buckets collected and the total amount paid. All funds collected from water selling are kept by the village chairperson. This is the only source of funds for the project as there is no other contribution from the community side. According to the chairperson,

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the committee takes no responsibility in case of any maintenance or damage to the water pump/machine, all maintenance costs are incurred by the funder/sponsor, since the project is still under their control, as it is not yet handed over to the village government. The water project has no artisans, though in the village there are people with knowledge.

16.4 Results 16.4.1 Impact on Health Table 16.3 presents the monthly and annual number of patients for waterborne diseases in intervention villages. In 2014, there was a great number of patients with urinary tract infection (UTI) followed by diarrhea and schistosomiasis. There was no number reported on typhoid and cholera. However, in 2015 after the start of the water treatment plant, the overall number of patients with the three mentioned diseases was reduced. Despite the declining trend of waterborne disease in 2015, as compared to 2014 (Fig. 16.4), UTI was still leading as a major waterborne problem, followed by diarrhea in the intervention area. There was no number reported for typhoid and cholera. However, when compared to the two years, the latter had a lower number of patients in all diseases. In the control village, the only numbers available were for diarrhea for the year 2015. As replied by the health facility in charge, by policy the health facility has no laboratory to conduct tests for other diseases such as UTI, schistosomiasis, and typhoid since it is a primary level facility. Table 16.3 Annual number of waterborne diseases in Matipwili Disease

Jan Feb Mar Apr May June July Aug Sept Oct Nov Dec Total

Matipwili 2014 Diarrhea

25

19

14

17

28

6

6

20

23

19

16

13

UTI

32

29

43

58

61

55

67

65

50

62

70

74

206 666

Schistosomiasis 0

0

3

0

1

2

2

2

0

0

0

0

10

Typhoid

0

0

0

0

0

0

0

0

0

0

0

0

0

Cholera

0

0

0

0

0

0

0

0

0

0

0

0

0

Diarrhea

11

20

24

12

6

10

22

17

9

19

9

3

162

UTI

46

Matipwili 2015 54

53

42

34

87

67

63

40

43

55

46

630

Schistosomiasis 0

1

0

0

0

0

0

0

0

0

0

0

1

Typhoid

0

0

0

0

0

0

0

0

0

0

0

0

0

Cholera

0

0

0

0

0

0

0

0

0

0

0

0

0

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Fig. 16.4 Trend of waterborne diseases in Matipwili (2014–2015)

In both villages, the majority reported a decrease in waterborne diseases due to the availability and use of clean and safe water for drinking and cooking. The use of clean water for washing bodies has resulted in a decrease in skin rashes which were previously common due to the usage of both impure water and washing bodies occasionally. Apart from the reduction of diseases due to the use of clean and safe water for drinking and cooking, more health impact has been contributed by the use of clean and safe water when communities access toilets. Despite the majority being using pit toilets in both villages, there has been a tendency of frequent use of clean water when accessing toilet facilities as compared to control villages. River water is not suitable, I recently came from Ngoma river, eleven kilometers there, with thirst. I couldn’t drink it until I came to drink [clean and safe water] here at home, [just] to avoid diseases. One request is that the Japanese have to expand this project by adding another station. But the water has helped a lot [Men FGD participant, Matipwili] ….truly [speaking] we are yet [to have] flush toilets. But we use our pit toilets. For those who are well off, they make bricks to build it as usual. High percentage [of people] here we use our toilets while having a jerry can and its kata aside [Youth FGD participant: Gobole; Matipwili], …the toilets we have because we [are poor economically], most of us use unimproved toilets. In the toilet you can’t miss utensils for keeping water for washing. That is normally for each household and it is regular. [Youth FGD, Matipwili]

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In the control villages, however, the limited availability of clean and safe water has led some people to go for open defecation on bushes and sometimes use a newspaper for cleanliness after defecation. When the water is available there is big relief. If you get into the toilet, it is clean, inside [house] my wife mops every time, clean environment. It is impossible for someone to do foolishness as far as the water is available, his or her home is dirty. To where I am staying, all are flush toilets [Youth FGD,: Fukayosi]

As reported by the majority of respondents from both villages, general health and cleanness have been improved compared with the situation before the start of the projects. However, the strength of health and cleanness improvement in the control village mainly depends on the availability of pure and safe water.

16.4.2 Impact on Livelihood More than half of respondents in each FGDs group and individual in-depth interviews were reported to have been benefited from the water projects. Specifically for the intervention village, the water project has helped the community to get enough time to engage in livelihood activities such as petty business which include frying fishes, growing and selling green vegetables, baking, and chicken and beekeeping. Other activities include farming, fishing, and casual labor such as mud house building. We have no water problem, but we have a problem with dirty water. This project has helped us from the risk of dirty water and get clean and safe water. We used to get clean water but we sought its safety through boiling…..and there are people go at the project to tap water and sell to lazy people and get money. Because if he fetch a bucket for hundred shilling, when he come in streets he sells by two hundreds [shillings], yet you have served that person in life [FGD Male participant, Matipwili].

Similar to the control village, whenever pure and safe water is available, it has helped the community to engage in petty business such as selling food cafes, pineapples, ice cream, and cold water.

16.4.3 Impact on Learning Opportunities School children have reported to attend class regularly with clean uniforms. Specifically for intervention villages, this is more seen in communities living closer to water treatment plants. The school children’s uniforms and general cleanness of the pupils living closer to sources of water were much better as compared to those living far away from sources of water (i.e. Tumbilini and Biga). Furthermore, the project has simplified the task of children fetching water from the river, as when they returned from school they go on the water tap to take water, and go back to school.

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Today I was quarreling with my child telling [him/her],’ don’t’ try to fetch river water to wash your school clothes. Wash [the clothes] using water came from water tap [Men FDG participant, Matipwili].

However, for the children living in Tumbilini and Biga, sometimes when their families have enough water, they don’t attend school while the uniforms are dirty if the amount of water available is insufficient for all necessary household needs. Children, they don’t go to school. If they stay [at home], when they go to school they are punished by the teachers. The [teachers] asked, ‘why didn’t you come [to school?]’. If they say we didn’t wash clothes, the teachers don’t understand, they are being beaten [Women FDG participant, Matipwili] That is how it is, there is so little water. You take a uniform to wash, you may find [a pupil] has gone to school without taking a bath. Tomorrow you tell him/her ‘go to school, when we get water you will get a bath. There is no water, the income is small. There is no work to do so you may get water [Women FDG participant, Matipwili] So that is how it is, one day you get water, they take bath, and become clean. The day you couldn’t get it, they go while they are dirty, that it is [Women FGD participant, Matipwili]

As it is in Tumbilini and Biga, in the control village, a similar situation was reported by respondents living away from the source of clean and safe water. When a child doesn’t attend school due to a lack of water at home, he or she becomes punished not only for being dirty, but also for not attending school on the previous day. [thing] to add about that of pupils to get early at school. When you miss water on Sunday, on Monday he/she wouldn’t go to school. When he/she doesn’t attend school he/she becomes punished because he/she is dirty. So the effect is not on the use time to find water, but it is on school side that being late or for not going to school due to lack of water at household level [Men FGD participant, Fukayosi]

16.4.4 Impact on Female and Children In the intervention villages, the distance to haul water has been reduced specifically for sub-villages situated closer to the water treatment plant project as compared with the situation before the start of the project. Previously, we used to travel a long distance to fetch water, but currently the issue of [long] distance has been reduced, we fetch from project [water] tap, drinking water and for cooking [Woman, Biga]

A similar experience has been observed in the control village, specifically for the community living in the Fukayosi sub-village. Whenever the water tap is available, it helps to reduce travel distance in searching for water. This in turn has served time for the community to use it on other livelihood earnings as explained above. Specifically for the intervention village, the water treatment plant project has helped to reduce the incidence of death that could have been caused by people taken

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by flooding water especially during the rainy season, but being attacked by crocodiles. As reported by the majority, several cases had happened where women went to fetch water on the river were either taken by the water current or attacked by crocodiles. The project still helps us, yet it has served us from many risks in the period like this [rainy season] there were deaths. So the deaths now have been reduced after many people who used to go on the river, now they go on that project. If a person goes to the river, it is because of fishing. It has served us on one side [FGD Male participant, Matipwili].

16.4.5 Challenges While the positive impacts of the project were identified, some challenges were seen in both villages. In particular, in the intervention village, the capacity of the water plant was not enough to cover the whole area. The water plant served the people mostly in the sub-villages of Msikitini (where the project is located), Mzambarauni, Mkunguni, and part Gobole while Biga and Tumbilini sub-villages were far from the water plant. We thank this project, but on the side of Tumbilini, there is still a problem. The problem we have, Tumbilini is very far from the village [sub village where the water project is], and so we have been affected. Children get rashes, they get various diseases due to lack of water service. We take our water from the river or taping in the village [where the water project has been located] to Tumbilini, because in Tumbilini there are no water wells, there is no water. So washing clothes is difficult, you can take a bath, after a week you bathe again, due to the amount of water you have taken. A bucket of water from here [Gobole sub village] to Tumbilini is a thousand shilling, you have to buy it. In order for a household to satisfy the needs, it can be three to four buckets according to budget. You have not yet washed your body, even washing clothes for a child to go to school. So if you want the child to go to school, to wash clothes and his/her body, you may require five buckets. So everyday spending five buckets is [financially] weak due to livelihood, it becomes impossible. Thus why sometimes you get one bucket, two buckets because you have to struggle [ in livelihood earning] first, then you get water service [Youths Participant FGD, Matipwili]

The demand for clean water in the intervention village and the unstable operation of the water plant caused the congestion at the plant. Thanks for this project to help us, but there are problems which have not been addressed. Maybe they have been told to open [water station] water at six, but a person comes to open at eight, at ten. Because the water on the river is dirty, and there you find a long queue, now the person comes in at ten and closes at five, and at that hour [at five] which closes, it might be that many people need water, then he/she closes the water [station]. So the people become angry, they don’t like it [Female Participant, Youth FGD, Matipwili] Even if the water is available, there is a queue. Women we fight ourselves. The husbands at home might have been fair/better than us there. You have taped yours [your bucket], and overtaking mine [my bucket], you! You fight on the spot. To the extent we also quarreled with our husbands, if you reached there in the queue you quarreled with your fellows. You quarreled there [at water kiosk], when you come here [at home] you are told you have been late, a child has so cried, breast milk, mother you are there [at water station], also here [at home] slapped, there [at water station] you fought [Female Participant, Youth FGD, Matipwili]

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In the control village, the sub-villages located away from the source of clean water have spent more time walking long distances to reach other sources of water which are not safe. There are several boreholes available in Mwavi/Kiwangwa village which serve several villages around. For those unable to walk distance and who don’t have means of transport, they do access impure water from a few boreholes available around their sub-villages, where they encounter a long queue waiting to fetch water. …here in our village in Mwanamvuli, there is no clean and safe water. We are having trouble struggling with water. We got it from very far away, like five kilometers on head and bicycle. You ,may find women like us with children starting five years downward, you can’t wash clothes, you can’t take bath, you find we have very difficult environment [Women FGD participant, :Mwanamvuli, Fukayosi]

16.5 Discussions The results identified positive impacts on health, sanitation, livelihood, and education opportunities in the intervention village. In terms of health, the cases of water-related diseases decreased specifically in the communities living closer to the water plant. The improvement of the access to safe water changed the sanitation in the intervention village. The people in the intervention village had better access to clean water for using the toilets, washing bodies, and their clothes. The availability of clean and safe water from the project helped its consumers to spare enough time for engaging in livelihood activities such as selling fried fishes, growing and selling vegetables, beekeeping, and other casual labor activities. The improved access to clean water reduced the time for the water fetching by females, which made them spend more time engaging in petty business and for family welfare. In the areas closer to the water plant, in particular, the school children used the water for washing their bodies and their school uniforms. The access to safe water also reduced the risks such as crocodile bites or being drowned while fetching the river water. While the positive impact of the project is identified, some challenges were found in the intervention village. Firstly, the availability of the water amount by a single plant was not sufficient to meet the needs of the community. The project caused inequality in accessing safe water especially for the people living far from the water plant. Secondly, the management of the water plant could have been improved by conducting the proper training of the plant staff. For example, at the water plant, the sudden changes in the business hours, the congestion of the users, and the sudden stop of the services were frequently seen. Though the limitation in the capacity of the water plant, the negative impact of these problems should have been alleviated by the proper management of the water plant. Thirdly, as long as this project is conducted as a community-based water supply business, fair pricing should have been considered to ensure equality. In the intervention village, the two sub-villages (Biga and Tumbilini) were far from the water plant. The inhabitants in these two villages were required to walk long distances to the water plant or spend more money to purchase the purified water which was transported from the water plant by the water vendor. This could

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have been avoided by recognizing the existence of the additional cost and taking it into consideration in the pricing before starting the business in the target areas of the project. The key lessons learned from this case study can be categorized as technology transfer, capacity building, social impacts, and sustainable business model. Firstly, in terms of technology transfer, the water plant, which was built using locally purchased equipment and materials, created a positive impact in the rural village of Tanzania. As long as the flocculants can be purchased, the maintenance of the water plant is relatively easy since all the equipment was purchased in the local market and the plant was built by the local engineers. This localization ensures the technical sustainability of the services. It would be ideal if the flocculants also could be produced in the African countries by using locally available materials. Secondly, running the business by the locally recruited staff, this project contributed to the capacity building in the intervention village. With the support of Poly-Glu and the local NGO, the locally recruited staff managed the services. This experience can be used to expand the services to different areas in Tanzania. Thirdly, this project created positive impacts on health, sanitation, education, and livelihood opportunities. Ensuring access to safe water by the installation of an off-grid water point is an effective way to bring multi-sectoral impacts to rural villages of Tanzania and other African countries. Finally, the most important lesson from this project is its business model. This project aimed not only to provide clean water but to teach how to provide clean water in Tanzania by running the project as a business. The water plant was managed by locally recruited persons. The project created job opportunities for the plant staff including females as Poly-Glu did in Bangladesh. Furthermore, water vendors were also benefited by transporting the clean water from the plant to neighboring villages. This business model can be applied to other African countries as long as the flocculants are provided. In this sense, for further expansion of the services in other parts of Tanzania and other African countries, the involvement of a local business counterpart should be considered. The local business counterpart could play a key role in providing the necessary training for local entrepreneurs who want to expand the water supply business in Tanzania and the other part of the world. Furthermore, the collaboration with academic institutes that provide training on entrepreneurship may work well by organizing the water supply project as a practical example of the education program on entrepreneurship. There are some limitations in this study. Firstly, the period of the research period does not cover the whole project period due to the limited available resources. To assess the impact and sustainability of this water project in the intervention village, further assessment is required to see the changes after the handover of the water plant from JICA to the local water committee. Secondly, the selection of the control village could have been changed since the control village is located beside the national road while the intervention village is inside the Sadani national park. The access to various services including medical services is totally different between these two villages. Thirdly, this study has not discussed the effectiveness of this water project in urban areas where a lot of challenges in the access to safe water are present. If there are any

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opportunities to start this water supply business, urban areas should be examined to expand the services in the whole country.

16.6 Conclusion This study assessed the impact of the community water supply business in Tanzania to find the suggestions for the improvement of other technology transfer projects in developing countries. Through the comparative analysis between the intervention and control village, the positive impact of the water business on health, sanitation, livelihood, and education was found in the intervention village. On the other hand, the unstable operation and the inequality of the service were seen in the intervention village. To improve the services, this study pointed out the involvement of the local academic institutions that provide the education program on entrepreneurship toward the service expansion in the whole country.

References Barron J, Noel S, Rockström J, Soussan J (2007) Water and poverty linkages in Africa SEI Water & Sanitation Programme. Stockholm Environment Institute Bosch C, Hommann K, Rubio G, Sadoff C, Travers L (2002) Poverty reduction strategy paper. In: Water and sanitation. Macroeconomic and sectoral approaches, vol 2. World Bank, Washington, DC Brown J, Cairncross S, Ensink JH (2013) Water, sanitation, hygiene and enteric infections in children. Arch Dis Child 98(8):629–634 Dreibelbis R, Greene LE, Freeman MC, Saboori S, Chase RP, Rheingans R (2013) Water, sanitation, and primary school attendance: a multi-level assessment of determinants of household-reported absence in Kenya. Int J Educ Dev 33(5):457–465 Giné Garriga R, Pérez Foguet A (2013) Unravelling the linkages between water, sanitation, hygiene and rural poverty: the WASH poverty index. Water Resour Manag 27:1501–1515 Hakro AN (2012) Water, sanitation and poverty linkages in Pakistan. Asian J Water, Environ Pollut 9(3):25–36 Harvey PA, Reed RA (2007) Community-managed water supplies in Africa: sustainable or dispensable? Community Dev J 42(3):365–378 Hussain I, Giordano M (2004) Water and poverty linkages: case studies from Nepal, Pakistan and Sri Lanka. International Water Management Institute, Colombo, Sri Lanka (Project Report) Jansz S, Wilbur J (2013) Water aid, women and WASH. Briefing note Kumamaru K, Khayer O, Ito C (2013) Improving access to safe water for internally displaced persons (IDPs) in a fragile state, Somalia, delivering water, sanitation and hygiene services in an uncertain environment. In: 36th WEDC International Conference, Nakuru, Kenya Liu L, Johnson H, Cousens S, Perin J, Scott S et al (2012) Global, regional, and national causes of child mortality: an updated systematic analysis for 2010 with time trends since 2000. Lancet 379:2151–2161 Maliki SBE, Benhabib A, Charmes J (2009) Households poverty and water linkages: evidence from Algeria. Topics in Middle Eastern and North African Economies, Elect J, 11, Middle East Economic Association and Loyola University Chicago

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Mara DD (2003) Water, sanitation and hygiene for the health of developing nations. Public Health 117:452–456 Murphy HM, McBean EA, Farahbakhsh K (2009) Appropriate technology - a comprehensive approach for water and sanitation in the developing world. Technol Soc 31:158–167 Nauges C, Strand J (2013) Water hauling and girls’ school attendance: some new evidence from Ghana. World Bank Policy Research Working Paper 6443 The Asian People’s Exchange (2019) A comprehensive framework on appropriate technology choice for sustainable development Travis K, Sara JJ (2005) Making rural water supply sustainable: report on the impact of project rules. Water and sanitation program, Washington, DC UN General Assembly (2010) The human right to water and sanitation UNDP, Services and supply chains (2011) The role of the domestic private sector in water service delivery in Tanzania United Nations Children’s Fund (UNICEF) and World Health Organization (2015) Progress on sanitation and drinking water - 2015 update and MDG assessment. ISBN 9 789241 509145 UN-Water (2014) Global analysis and assessment of sanitation and drinking-water (GLAAS) 2014 report: investing in water and sanitation: increasing access, reducing inequalities. ISBN 978 92 4 150808 7 Walker CLF et al (2013) Global burden of childhood pneumonia and diarrhoea. Lancet 381(9875):1405–1416 WHO (2003) The right to water. Health and Human Rights World Health Organization (WHO) and the United Nations Children’s Fund (UNICEF) (2017) Progress on drinking water, sanitation and hygiene: 2017 update and SDG baselines. Geneva: Licence: CC BY-NC-SA 3.0 IGO

Chapter 17

Emerging Technologies and Innovation to Reach Out to Vulnerable Populations in Nepal U. Kharel, A. Sigdel, S. Uprety, T. Ng’ong’a, and J. I. Ginting

Abstract In the dawn of the Fourth Industrial Revolution (Industry 4.0) shaped by Artificial Intelligence (AI) blockchain, Internet of Things, multiverse, and quantum computing, the emphasis on creativity and innovation, entrepreneurship, and technology development also affect the ways the so-called non-profit sectors design and implement development and humanitarian programmes in developing countries like Nepal. Following the 2015 Nepal Earthquake Response, World Vision International Nepal (WVI Nepal) has ideated, prototyped, and scaled up communityfocused innovative solutions like SIKKA, KITAB Bazar, and Participatory Disaster Risk Assessment (PDRA) tools integrated into its development and humanitarian initiatives. SIKKA uses blockchain technology to ensure cash and voucher distributions are transparent and trackable, and the system has been used to assist 92,788 people during the COVID-19 response. Similarly, KITAB Bazar, an online marketplace platform, has served 53,412 children in 831 community schools by providing 133,008 supplementary reading books in local languages through the platform. Likewise, the PDRA tool capacitates communities to identify disaster-prone areas and engage stakeholders for response through mobile applications. Keywords Internet of Things · Disaster risk reduction · Crisis map · 3D printing blockchain · Artificial intelligence · Machine learning · Digital identity · Financial inclusion · Unbanked

Glossary Artificial Intelligence

a computer-based programming that undertakes duties related to

U. Kharel (B) · A. Sigdel · S. Uprety · T. Ng’ong’a · J. I. Ginting World Vision International Nepal, KC Tower, Damodar Marg, Lalitpur 44600, Nepal e-mail: [email protected] J. I. Ginting e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 P. Ray and R. Shaw (eds.), Technology Entrepreneurship and Sustainable Development, Disaster Risk Reduction, https://doi.org/10.1007/978-981-19-2053-0_17

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human intelligence, for instance, cognition, planning, reasoning, or learning. a technology that identifies individuals through his/her distinct biological or behavioural traits like voices, facial features, fingerprints, iris, or retina automated through biometric scanning devices. a distributed, decentralised ledger technology. The ledger is a database system which stores information, like cash transactions, contracts, and digital credentials, in blocks of data. a computer programming, which recognises text, voice, and/or image-based inputs and responds to users. a combination of key technologies like web scraping, crowdsourcing, remote sensing, satellite imagery analysis, geographic information systems (GIS), data analysis, and in some cases use of AI. a software-based programming that operates on mobile devices like smartphones and tablets, with applications ranging from messaging to advance AI-based systems. a set of tools that assists families and communities to assess the existing hazards, disaster risks, vulnerability, resources, and capacities and also supports in identifying the relevant plans to mitigate, prevent, and manage their impacts. a prediction about the future or otherwise unknown events using current and historical data, ranging from statistical models

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using no Artificial Intelligence, to models using complex Artificial Intelligence and Machine Learning. a digital asset transfer tool that facilitates emergency cash and voucher distribution with digital tokens to people impacted by disasters by leveraging blockchain technology. Using a feature phone, the tokens received in the mobile phone can be redeemed for cash or predefined goods from the partner merchants or cooperatives in the most remote areas accessible to the most marginalised and un-bankable communities.

17.1 Introduction In February 2021, United Nation’s Committee for Development Policy (CDP) recommended Nepal’s graduation from the Least Developed Country (LDC) to middle income developing country (UN 2021) after decades of political turmoil and a devastating earthquake of 2015 claiming 8,979 lives, injuring more than 22,309 and costing economy shy of USD 7 billion (National Reconstruction Authority 2020). Albeit some improvement in terms of economic and development indicators, the propensity to natural disasters, development model, government policies, and lack of new sources for growth, and limited investment in people are some of the major deterrents (World Bank 2017) of Nepal’s long-term national goal of prosperity.1 Nepal is ranked poorly in terms of disaster and vulnerability to disaster. Amongst 200 nations, Nepal ranks 4th, 11th, and 30th in vulnerability to climate change, earthquake, and flood hazards, respectively (UNDP 2018). It is ranked 12th out of 194 countries in the Climate Risk Index (German Watch 2019) which denotes that Nepal is highly vulnerable to natural disasters. Similarly, the Notre Dame Global Adaptation Index 2019 places Nepal as the 74th least ready country in the avenue of climate adaptation (ND-GAIN 2019). The Sendai Framework states that vulnerable 1

The Fifteenth National Plan was drafted with the long-term vision of fulfilling the shared national aspiration for “Prosperous Nepal, Happy Nepali” by making Nepal a high-income country by 2043 (National Planning Commission 2020).

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population, particularly women and children, are predominantly impacted by disasters (Brown et al. 2019). It also suggests that humanitarian agencies and government must consider a more people-centric approach to disaster risk reduction (DRR) with special emphasis on women, children, and youth as a change agent in the process of design and execution of gender-sensitive DRR policies, plans, and programmes. Moreover, World Vision International (WVI) defines the most vulnerable as families with the most vulnerable children “whose quality of life and ability to fulfil their potential is most affected by extreme deprivation and violations of their rights. These children often live in catastrophic situations and relationships characterized by violence, abuse, neglect, exploitation, exclusion, and discrimination” (WVI 2010, p. 9). Since the 2015 Nepal earthquake, technological advancement and the use of technology for disaster mitigation and preparedness have taken a major leap. There has been a surge in the practice of designing and implementing innovative projects and activities by humanitarian agencies and private sectors like WVI Nepal (Nepal Innovation Lab), UNDP (Accelerator Lab), National Innovation Centre, Kathmandu Living Labs, and others. Likewise, the country has witnessed a rapid advancement in early warning and forecast systems spearheaded by the Department of Hydrology in the last decade (Meechaiya et al. 2019). Moreover, the government has been promoting the use of new technologies by developing the Digital Nepal Framework2 which encompasses eight sectors and eighty digital initiatives where technology and infrastructure, entrepreneurship, and talent and skills development are considered as the enablers (MoICT 2019). However, at the grassroots level, many areas need improvement and institutionalisation, particularly recruitment of skilled human resources, capacity development of available human resources, dedicated budget at the local government units, skills transfer and sustainability of initiatives of innovative donor projects, and local-level implementation of programmes and policies to promote the use of emerging technologies to reach out the vulnerable groups. At first, this chapter introduces the contemporary practices in the domain of disaster risk management in Nepal. Thereafter, some of the emerging technologies used in disaster settings, particularly the use of artificial intelligence, blockchain technology, mobile application, 3D printing, crisis maps, and digital cash transfer in some of the developing countries and Nepal are discussed. Then, the key lessons learned whilst pursuing emerging technologies in the current landscapes are critically analysed. Finally, a logical conclusion is derived from the discussion.

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Digital Nepal Framework is underpinned by a flagship programme called “Digital Nepal Programme” designed to enable Nepal to harness its growth potential by leveraging disruptive technologies and driving socioeconomic growth. The program is expected to deliver an impact of up to NPR 800 billion by 2022 (MoICT 2019).

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17.2 Disaster Risk Management in Nepal Owing to diverse climatic conditions and geophysical settings, Nepal is exposed to recurrent hazards every year. Ministry of Home Affairs (MoHA) has documented over a dozen types of hazards taking place in Nepal (MoHA 2020). As per the statistics chronicled over the period of 45 years (1971–2016), there were 21,856 disaster events recorded where 500 disaster events occur on an average per year (Dahal and Uprety 2020). According to Nepal Disaster Risk Reduction Portal, in 2020, as per the MoHA (2020), incidents related to fire accidents topped the list (3,770 times), followed by landslides (2,4093 times), floods (1,753 times), animal-related incidents (860 times), and epidemics (773 times) (MoHA 2020). Whilst the occurrence of earthquakes (and subsequent aftershocks) is not so frequent compared to floods, epidemics and landslides, they have resulted in significant impact in terms of loss of lives and property. The Nepal earthquakes caused 8,979 deaths and over 22,309 injuries, affecting the lives of eight million people, equivalent to almost one-third of the country’s total population (National Planning Commission 2015). In terms of Disaster Risk Reduction and Management (DRRM) efforts, at the policy level, the Constitution of Nepal (2015) spelled out disaster management in its Directive Principles, Policies, and Obligations of the State (Clause 51)—to make an advance warning, preparedness, rescue, relief, and rehabilitation in order to mitigate risks from natural disasters (Nepal et al. 2018). Following the 2015 Nepal Earthquake, Post Disaster Needs Assessment (PDNA) in 2015 triggered the establishment of National Reconstruction Authority (National Reconstruction Authority 2020). Furthermore, the formulation of Disaster Risk and Management Act 2017, National Policy for Disaster Risk Reduction 2018, and National Disaster Risk Reduction Strategic Action Plan 2018–2030 were significant steps in terms of national policy guidance on disaster preparedness, response, and recovery (Nepal et al. 2018). In line with the action plan, the newly created National Disaster Risk Reduction and Management Authority (NDRRMA) in 2019 oversees all DRRM activities in the country. In the current policy frameworks, disaster preparedness, response, and recovery activities have been well planned for, up to the community level, which is a significant achievement (Pokharel et al. 2018). However, these interventions usually do not reach the local household level, where lies the major point of impact Some of the noteworthy efforts by the Government of Nepal include the establishment of the early warning system (EWS) in the river basins-controlled drainage system in one of most high-risk glacial lakes in Imja; implementation of community-led disaster risk management activities with identification of 9 Minimum Characteristics for a resilient community; implementation of National Building Code; institutionalisation of robust Disaster Management Information System (DMIS); establishment of Humanitarian Staging Area and disaster preparedness network (DP-Net) (Dahal and Uprety 2020). Whilst current interventions, like SMS alert messages and alert warnings on social media, reaching out to a large number of people (in EWS), have been effective, it still has limitations for those people who are illiterate or unable to access mobile

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phones or the Internet. The Department of Hydrology and Meterology (DHM) is undertaking a commendable job of sending out messages, but they are only placed at major locations (e.g. Pokhara, Dharan, and Surkhet), thereby limiting coverage and accessibility. It is of utmost necessity that EWS is rolled out at the HH level for effective preparedness. Although Nepal has policies and guidelines in place, there are several areas of improvement in terms of ensuring that DRRM activities are implemented smoothly at the local level. To ensure that, there needs to be a proper coordination mechanism amongst different layers of local bodies at the provincial, municipal, and ward levels. Studies conducted by Ministry of Federal Affairs and General Administration (MoFAGA 2019) and Nepal Administrative Staff College and The Asia Foundation (Pokharel et al. 2018) also highlight the limited understanding and prioritisation of local leaders and staff, lack of explicit guidelines, lack of coordination mechanisms, and lack of information management practice hindering the smooth implementation (see Box 17.1). Furthermore, the hierarchy and power structure at the district level between the Chief District Officer (CDO) and Mayor have been observed at various meetings and discussions. Likewise, Emergency Operation Centres (EOCs) are in place at the district level, but the early warning and other disaster updates are not being properly fed from the municipal, ward, and community levels. Box 17.1: Gaps identified by IOM and Nepal Administrative Staff College led studies related to DRRM implementation at the local level Needs and Capacity Assessment of Fourteen Rural and Urban Municipalities on Disaster Risk Reduction and Management in Nepal. • Local elected leaders and municipal staffs have partial knowledge in the area of comprehensive DRRM and the new changes in the legislation. • The provision of including utilising funds for risk reduction or recovery initiatives is not incorporated in Municipal Disaster Management Fund Operational Guideline. • Coordination systems and platforms for DRRM between the local governments, businesses, and development agencies are not initiated. • A clear consideration of the inherent local risks was not undertaken whilst drafting the “model municipal law” and the “Disaster Management fund guideline”. • Lack of official mechanism to record and share DRRM-related documents to the public that includes a continuous update of information in the public domain like municipal websites; absence of a mechanism to track and register vital information such as damages caused by disasters and loss albeit some municipalities recording that information in hard copy. Political Economy Analysis of Post-Earthquake Situation in Nepal.

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• Inability of the local governments in prioritising their development work and lack of focus in the area of reconstruction endeavours as they are encountering challenges in terms of exercising their legal mandates. (Source MoFAGA 2019) Previous policy provisions such as Natural Calamity Relief Act, 1982, did not cover the broader spectrum of hazard mitigation and disaster risk management and categorisation of the diversified disasters. Likewise, the clear division of roles and responsibilities of various authorities was missing, thereby affecting the ownership and proactive response. Although some of the key policy-level gaps are addressed by the Disaster Risk and Management Act 2017, the execution aspects of the new policies have not been effective as anticipated (Nepal et al. 2018). Other gaps in DRRM approaches (Nepal et al. 2018) in Nepal are related to • Comprehensive disaster management legislation at the province and municipality levels (so far only DRRM acts have been formulated and policy, strategy formulation yet to be completed), • Need to incorporate the key aspects of DRR and climate change adaptation whilst undertaking the process of national development planning, • Technical and financial management capacity for effective resource utilisation, • Integration of forecasts and early warning into decision-making and scaling down DRRM work to the household level. The majority of the DRRM endeavour in Nepal is focused at the federal, provincial, local, and community levels. However, from the lens of vulnerabilities and prospective risks, the highly impacted groups are household-level population because of the annually recurring disasters as the aforementioned groups are least prepared to respond to disasters (Pokharel et al. 2018). The general practice by local authorities opting for traditional procedures of vendor identification, procurement, and disbursement of supplies including relief materials is time-consuming and inefficient. In such a scenario, World Vision International Nepal’s Nepal Innovation Lab provides an opportunity for smooth online procurement of supplies with the use of Interactive Voice Response (IVR) technology, simple and localised Google forms, and an on-site mobile-based registration system for supporting local vendors to enrol in the procurement process. Such use of emerging technologies enhances the procurement system during the time of emergency including providing an innovative approach whilst pre-positioning or stockpiling materials for speedy distribution of relief materials. Moreover, during disasters, alongside the immediate supply distribution, World Vision International Nepal adopts cash programming through a tested SIKKA model—a digital asset transfer platform based on blockchain technology designed for financially marginalised at need rural population. Cash and Voucher Based Programming (CVP) has a growing portfolio within World Vision globally, which had reached USD 420 million by the fiscal year

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2020 (World Vision 2021). World Vision International Nepal considers this combination of online procurement and cash programming powered by blockchain technology a realistic approach to smooth emergency support mechanisms by ensuring transparency, distribution security, lower overhead cost, and ease of access to cash support for the people impacted by crisis. Likewise, it will also support in pre-positioning or stockpiling of materials for immediate disbursement, facilitating the one-door policy for smooth response activities, and supporting the coordination of response activities for the DRRM committees.

17.3 Artificial Intelligence and Predictive Analytics There is no universal definition of Artificial Intelligence (AI). For this chapter, we consider it is a computer-based programming that undertakes duties related to human intelligence, for instance, cognition, planning, reasoning, or learning (International Committee of the Red Cross 2019). There are several uses of AI but the most significant application is Machine Learning (ML), where a machine grasps how to perform a task autonomously by learning a range of datasets (United Nations Office of Information and Communications Technology 2018b). Predictive analytics makes predictions about the future or otherwise unknown events using current and historical data, ranging from statistical models using no AI to models using complex AI and ML (United Nations Office for the Coordination of Humanitarian Affairs (OCHA) 2021). In regards to the humanitarian context, AI supports faster and more anticipatory action by analysing large and complex datasets, which assists in deducing from, and undertaking predictions and decisions. Furthermore, the technology is capable of stimulating humanitarians’ capability to identify and assess needs; improve preparedness and provide early warning; support in planning response; predict and respond to crises; monitor situations; and evaluate performances. It is feasible to embed AI with other technologies, such as crisis maps and dashboards, biometric systems, mobile applications, and chatbots to improve data analysis and evidence-based decisionmaking (OCHA 2021). Predictive analytics can save lives and lower the financial impact by anticipating unexpected calamities like floods, earthquakes, or famines, as well as perpetual issues like the consequences of climate change (International Federation of Red Cross and Societies 2019). There exist some challenges in using AI and predictive analytics in the humanitarian setting. First, they rely on a large volume of open data (Open Knowledge Foundation 2021). As such, it is always challenging to obtain open, valid, and timely data in a humanitarian setting, where connectivity is frail, state of affairs are volatile, access and safety limitations exist, and time and means are scarce (OCHA 2021). Secondly, it can harm and increase vulnerabilities to people if there are inadequate measures for ensuring data responsibility, including data security (International Committee of the Red Cross 2020). AI may reveal more information about a person than intended, sometimes making anonymised data identifiable (OCHA 2021). Voluntary consent

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to data collection and use may be compromised where users may not be adequately informed; or where data is used beyond the original purpose (OCHA 2021). Furthermore, the technology can be impartial when its human designers and primary data are not biased (Wright and Verity 2020); developers’ bias can cause inequalities and discrimination (OCHA 2021). AI and ML systems may use their own specifications of behaviours, which can lead to a lack of predictability, dependability, and transparency (ICRC 2019b, 2019a). Alike global counterparts, Nepalese entrepreneurs and social institutions are keen to unlock the potential of AI and join the bandwagon of digital transformation. One of the frontrunners in the space of AI in Nepal is Fusemachines, a social enterprise based in Kathmandu that aims to democratise AI by enabling this form of access and empowering individuals and businesses with foundational and practical training in AI (Awale 2019). Whilst the organisation has constantly driven meaningful change in AI adoption and talent generation through thoughtfully curated training programmes, they are tapping in the opportunity to take it a step further. The organisation trains and nurtures students and professionals who may not have the technical understanding but have the ambition and drive to gain competency in AI skills. Fusemachines aims to ensure that benefit of AI is accessible to the grassroots communities in Nepal and other developing countries in the dawn of the fourth industrial revolution.

17.3.1 Flood Forecasting in Bangladesh, India, and Nepal Flooding is one of the key natural disasters that causes 6,000–18,000 deaths and about $21–$33billion damage each year globally. Since 2018, flood forecasting technology has been piloted by Google in collaboration with two states (India and Bangladesh), in which the technology studies the level of water, geographical terrain, elevations, historical trends to anticipate time, place, and scale of hazards likely to be triggered by floods by leveraging AI, ML, satellite imagery and spatial mapping (India government 2018; Google 2019; Nevo 2019). As a result, Google Maps, Search, and Android dispatche notifications which delivered real-time information, emergency contacts, and safety tips were used for warning dissemination. By the autumn of 2020, more than 21 million flood-related cautionary text messages were digitally shared with more than 200 million people living in the flood-prone areas in India and Bangladesh. In Nepal, Nepal Innovation Lab of World Vision International Nepal collaborated with the local innovators and local authorities to design and develop early warning systems by installing water level sensors in the flood-prone rivers. Once the water level increases, the system sends warning messages to the locals living in floodprone areas through SMS. Such a system has enabled the most vulnerable to prepare for the crisis and evacuate promptly to the designated area during the time of flood emergency.

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17.3.2 Artificial Intelligence in the COVID-19 Response AI was used in responding to COVID-19 such as genomics, imaging, and drug discovery (Arora et al. 2020; McCall 2020). Moreover, the AI technology was leveraged to swiftly differentiate between COVID-19 and other respiratory infections on lung scans, with the possibility to increase speediness and precision of diagnoses, detection of compounds of drug developments, and analysis of molecular compounds for sped-up drug discovery (Insilico Medicine 2020; Lemonick 2020; Simonite 2020).

17.4 Mobile Applications, Chatbots, and Social Medias Mobile applications are software-based programming that operate on mobile devices like smartphones and tablets, with applications ranging from messaging to advance AI-based systems (OCHA 2021). Social media in general includes blogs, content communities, and social networks like Facebook and Twitter (Frouws et al. 2016). Likewise, a chatbot is a computer programming, which recognises text, voice, and/or image-based inputs and responds to users (Misiura and Verity 2019). Chatbot functions range from answering frequently asked questions to using AI and ML to analyse the digital interactions and developing user-specific contents (OCHA 2021). Smartphone applications, chatbots, and social networks are flourishing with increased penetration due to the cheaper price of smartphones, advancement in mobile technology, and network coverage, which is capable of bolstering the communication amongst impacted people and key humanitarian actors (OCHA 2013) and enabling speedy and more informed response by humanitarians and people suffering from crisis (OCHA 2021). Mobile applications (The Digital Impact Alliance (DIAL) 2014; Massimo 2020) and social media (IFRC, ICRC and OHCA 2017) can help in evidence-based decision-making throughout the disaster cycle by effectively collecting the information related to the key issues incidents and requirements of impacted groups in order to successfully predict, comprehend, and retort to crises (OCHA 2021). These means can be used to communicate with larger communities with lifesaving messages, enhance community engagement and acceptance, and support in developing people-centred, coordinated, and effective responses. Likewise, chatbots can provide essential information, health support and establish feedback mechanisms during humanitarian responses, which connect humanitarians and response means, tackle misinformation, and support in the process of monitoring and evaluation (Misiura and Verity 2019). Chatbots improve accessibility to easy and quick communication with businesses, government entities, and charities for people with disability with increased facility for multilingualism and reduce the complexity of interacting with several layers of menus and interfaces, increasing the potential of effectively using chatbots to smoothen the process of interaction of humans with computers (Misiura and Verity 2019).

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Similar to AI and predictive analytics, even the use of most of the regular mobile applications, chatbots, and social networking sites have inherent challenges associated with personal data security and privacy, including data protection (Kuner and Marelli 2020). The danger of private technology companies or cellular network operations or Internet service providers may control and leverage the user-generated data to serve their commercial interests which might extend beyond the humanitarian purposes. Likewise, the opportunity cost of high-level of customisation of the processes by tapping in emerging technologies like messaging and social media platform often means deviation of privacy and security needs manifested in the humanitarian operations (International Committee of the Red Cross 2017). Similarly, the ease of access of smartphone technologies and social sites has recently fuelled the enormous volume of misinformation and ambiguous content which sometimes are very harmful and might impact the social cohesion and trigger violence (Ingram 2017). For example, during the violence against Rohingya groups in Myanmar, social media, particularly, Facebook, is often criticised for not undertaking sufficient measures to curb down the violent posts inciting violence (BBC 2018). The loopholes in the technical architecture of chatbots and their pre-determined algorithms can be manipulated by individual hackers and institutions because the system cannot reply empathically and users or communities prefer responses driven by human emotions and intelligence (Misiura and Verity 2019). Furthermore, the issues compounding the notion of the digital divide particularly in developing countries, where people often experience greater inequality in terms of access to services like electricity, smartphone, or the Internet, often confine the possible use of such promising technologies (OCHA 2021).

17.5 Digital Cash Transfer In recent years, electronic cash like mobile money, digital bank transfers, prepaid cards, and QR code-based digital payments have enjoyed a greater degree of popularity due to its speed, low operation costs, and convenience to both the users and service providers. Despite the greater benefits of these emerging technologies, the application of electronic vouchers is limited by the process requirement of using predefined goods or vendors (Kuner and Marelli 2020). The wider adoption of digital cash transfer has mostly substituted the conventional method of cash transfer and assistance mechanism in the humanitarian world (Baah 2019; Casswell 2019). The new technology has been instrumental in empowering users and highly useful in the creation of economical, transparent, trackable, and agile systems further enhancing accountability amongst beneficiaries and donors. Moreover, digital cash transfer promotes and supports the local market, financial inclusion, reduces the security risks, and limits the face-to-face interactions which can be useful during pandemic situations like COVID-19 (OCHA 2021). Similar to mobile applications, the issues surrounding data protection and privacy are entailed in digital cash transfers. The technology uses personal and sensitive data

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like name, contact number, date of birth, and sometimes biometric details (Kuner and Marelli 2020). The control and processing of such sensitive personal data and key information may sometimes rest in the custody of private sectors, particularly, banks, and financial institutions, who can leverage this information for commercial gain such as credit profiling the users (Kuner and Marelli 2020). Moreover, the concept of informed consent during the time of collecting and storing such data might be less relevant in a humanitarian context when beneficiaries are not well informed of issues related to data security and privacy. Furthermore, cash and voucher transfers might not be relevant in certain situations like lack of availability of goods or disproportionate pricing in some communities. One of the contemporary examples of a situation limiting the use of digital cash and voucher transfer is the lack of availability of personal protective equipment at the local markets during the initial phase of the COVID-19 response (Burki 2020).

17.6 Crisis Maps and Dashboards The combination of key technologies like web scraping, crowdsourcing, remote sensing, satellite imagery analysis, geographic information systems (GIS), data analysis, and in some cases use of AI often leads to the creation of crisis maps and dashboards. Such tools are instrumental in the humanitarian context to make evidence-based quick decisions. Crisis maps and dashboards serve as a powerful tool to derive comprehensive information related to the type of response required, and the severity and pattern of the crisis in real-time. Such critical information helps in anticipating the potential crisis as well as the magnitude of the existing crisis, and also enables humanitarian actors to support in developing mitigation measures, pre-positioning, donor buy-in, and preparing resources in advance. In addition, the concept of crowdsourcing can be instrumental in terms of deriving operational efficiency during a time of crisis and further assist in establishing trust and acceptability in the community (OCHA 2021). Alike AI and predictive analysis, the challenges related to the availability of open, accurate, and timely data are also encountered whilst using crisis maps and dashboards. Lack of transparency and informed consent, function-creep, re-identification of anonymised data, and the non-humanitarian use of these data by third parties are some of the key challenges in the space of data security and privacy when using these tools (Kuner and Marelli 2020). (A) Participatory disaster risk assessment platform to prepare vulnerable households during the time of disaster (WVI Nepal 2020a) In 2020, World Vision International Nepal (WVI Nepal) developed and implemented a set of digital tools called Participatory Disaster Risk Assessment (PDRA) platform to assess the existing hazards, disaster risks, vulnerability,

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resources, capacities, and plans to mitigate, prevent, and manage disaster impacts at household and community levels (WVI Nepal 2020a). These tools are configured in a custom manner to initiate field data collection using mobile applications, manage enumeration areas and enumerators, manage criteria for vulnerability calculation, and visualise all the data in the web application (WVI Nepal 2020a). PDRA enables development agencies to manage household-level vulnerability assessment surveys, ranks household-based custom criteria, maps household resources, hazards, and institutions, provides interactive data visualisation to assist policymakers, local stakeholders, and international humanitarian agencies, and generates household-level disaster preparedness and response plan (WVI Nepal 2020a). The platform was developed and piloted in Lamkichuha Municipality of Kailali district to digitally assess the disaster risks and support in managing disasters impact in 1,741 households residing in the area (WVI Nepal 2020a). The tool enabled the vulnerable households to identify the safe area and keep the record of emergency contact numbers during the time of disasters. Moreover, it enabled the local government to draft disaster preparedness policies and action plans by accessing vital information like household vulnerability classifications, trend of loss over the period of 60 years, major damage areas, and other essential data through easy to use dashboard (WVI Nepal 2020a).

17.6.1 Crisis Maps and Dashboards in the COVID-19 Response Scientists, government institutions, and private sectors were able to understand the global-level spread of the COVID-19 pandemic by optimising different methods of da2020ta collections analysis, and visualisation support. During the onset of the pandemic, different projects immediately surfaced. UN OCHA collaborated with Interagency Standing Committee (IASC) to come up with an interactive dashboard that provided an interagency overview of the COVID-19 impact on the humanitarian context (IASC ). The dashboard showcased the cases of the pandemic, available financial resources at disposal, humanitarian access, and data of specific sectors to quickly understand the evolving needs and the required actions to address those needs (IASC 2020).

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17.7 Biometrics and Digital ID Biometrics technology identifies individuals through his/her distinct biological or behavioural traits like voices, facial features, fingerprints, iris, or retina patterns (IASC 2020) automated through biometric scanning devices. Based on digitally captured and recorded credentials, Digital identity (ID) stores determine and assign distinct characteristics (OCHA 2021). Although the United Nations states that identity is a human right, more than one billion population does not possess proof of identity, out of which more than half are children (Desai 2018). There are various opportunities offered by biometric and digital ID in the humanitarian setting. Such technology can be pivotal in the process of promoting financial inclusion, providing humanitarian support, and whilst creating employment opportunities for the most vulnerable. Likewise, it can be crucial to protecting members of the community against disappearance, finding the missing people, and reconnecting with families in addition to enabling freedom of mobility. The technology also tackles the key issues like fraud and corruption as it warrants limited resources to verify and authenticate further enhancing processing speed and efficiency (OCHA 2021). The major challenges associated with the use of biometrics and digital ID are similar to other digital platforms, i.e. data security and privacy issues. The personal and sensitive nature of these data can be used by unauthorised persons or entities for financial gain. Likewise, some technical malfunctioning especially error rates are quite higher resulting when using fingerprint verification. Such issues are further compounded when Internet connectivity and contingency systems are poor. Moreover, the system interoperability due to the use of different applications, regions, and closed architectures not only diminishes the potential of the technology but also contributes to the digital divide. As such, a Digital ID can be only effective when it is privacy-focused, user-controlled, persistent, and portable (OCHA 2021).

17.7.1 Use of Biometric ID Amongst Refugees in Thailand The use of biometric IDs was piloted by IRC and iRespond in Mae La camp of Thailand in 2018 to address the key problem of lack of legal identity documents encountered by a large number of refugees for many years. The first phase of the programme supported Karen refugees in providing improved access to health facilities identification (CROWD 360 2018; Piore 2019). Thereafter, the project focused on enabling livelihood opportunities through bills drafted in the avenue of health and education. One of the major learning from the project was associated with data protection; the beneficiaries were not able to control and protect their data against illicit access identification (CROWD 360 2018; Piore 2019).

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17.8 Blockchain Blockchain is a distributed, decentralised ledger technology (Ko and Verity 2016; United Nations Office of Information and Communications Technology 2018a; UN Innovation Network 2020). The ledger is a database system which stores information, like cash transactions, contracts, and digital credentials, in blocks of data (Ko and Verity 2016). It is distributed, as there exist many identical copies, and decentralised, i.e. it is controlled by intent users rather than a central authority. The blocks are timestamped, certified using pseudonymised digital signatures, authenticated by users, and cryptographically locked together in a chain that stores the complete history of data blocks, making it auditable and nearly immutable (Ko and Verity 2016; UN Innovation Network 2020). The system can be made private or public and permissionless or permissioned (one that only a certain group can have access to and validate transactions on the blockchain) (Kuner and Marelli 2020). A recent article by Liu (2021) estimates that the transaction value in the blockchain system with increase exponentially from USD 1.5 billion in 2018 to USD 19 billion dollars by 2024. In the humanitarian avenue, the use of blockchain eliminates the need for third-party mediators, improves information accuracy, transparency, and traceability whilst also lowering transaction costs and time (Ko and Verity 2016). Blockchain could help with identity verification; enable the supply chain process more efficient as well as transparent; ensure transparency and efficiency in the process of digital cash and voucher distribution programme; and assist crowdfunding and cooperatives or local money shops with the help of digital currencies or decentralised funding platforms (Ko and Verity 2016). Data privacy can be improved by making block headers available to all users in the system whilst limiting access to the underlying data to those with permission. As the system does not have to encounter a “single point of failure or compromise” for prospective attackers, blockchain’s decentralised design solves the issues related to data security (Kuner and Marelli 2020). In the humanitarian context, the application of blockchain might encounter several challenges as the use of the technology is relatively new and the guiding frameworks and ethical discourse related to the use of blockchain are very limited. Moreover, the development process of blockchain and implementation of the new systems built in the platform usually demand more time, financial and people resources, and new technologies. If blockchain is integrated into digital cash voucher systems or biometric tools or platforms, the process warrants increased effort in the area of data protection and privacy (Ko and Verity 2016). It is also imperative to ascertain whether blockchain technology is the ideal answer to the existing challenge. The technology has strong capabilities to track assets and transactions over a course of time, especially when there is a broader collaboration between several stakeholders, the record of transactions is hard to tamper with or alter (Ko and Verity 2016).

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(B) SIKKA for the most vulnerable families (SIKKA 2019) Sikka is a blockchain-based digital tool developed by Nepal Innovation Lab of World Vision International Nepal in 2017. It facilitates cash and voucher assistance programmes by distributing digital tokens to beneficiaries through a blockchain technology (WVI Nepal 2021a). Since 2020, Sikka has distributed around USD 500,000 worth of relief to almost 100,000 vulnerable people during the COVID-19 Response programme of World Vision. Sikka enables beneficiaries and vendors to receive tokens sent directly to their feature phones by NGOs like World Vision. The received tokens in their mobile phone could be easily redeemed for cash or goods at the partner local merchants, cooperatives, and financial institutions or relief centres. The simple user interface offered by Sikka in the asset transfer platform powered by blockchain technology caters to those who often lack knowledge, technology, or resources needed to use the system (SIKKA 2019). In the aftermath of a disaster, the process of supporting the impacted population through cash and voucher distribution programme is often marred by the deteriorated infrastructure and services, particularly in the rural or geographically remote locations. SIKKA uses a cellular network to facilitate the digital transfer process by leveraging smart contracts to address the needs of rural communities. At the same time, the technology ensures that minimal operational and overhead costs are incurred, i.e. 70% less than the traditional cash and voucher distribution process. This enables a majority of funds delivered are delivered to the most vulnerable families (SIKKA 2019) As the majority of the vulnerable households do not own smartphones, SIKKA enables users using a featurephone to send and receive SIKKA tokens using such handsets. Since the technology is blockchain-based, the users can make secure transaction by using their digital wallet since the wallet is locked to their Subscriber Identification Module (SIM) card and a beneficiary verification mechanism. Through the use of SMS as well as USSD codes, Sikka tokens are sent to purchase goods and services, to transfer funds within Nepal, or to redeem Sikka for cash at a local Sikka partner cooperative. Blockchain as a Trust Protocol establishes trust and transparency between organisations through cryptographically secure network protocols and immutable distributed ledger technology. With blockchain as a Trust Protocol, Sikka has opened up the possibility to work with various partners, especially rural, regional, and grassroot organisations, that usually do not meet the criteria of larger institutions (SIKKA 2019) (Fig. 17.1).

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Fig. 17.1 Illustration 1: Sikka Process Map (SIKKA 2019)

17.9 3D Printing Three-dimensional (3D) printing, or additive manufacturing, is a computercontrolled machine to add successive layers of materials to create a threedimensional object with support from a computer-based design and drafting programme (American Red Cross and IFRC 2015; European Union 2019). Mostly, 3D printers build objects from plastic filaments or other materials like nylon or sponge-like structures by heating, extruding, and cooling them (OCHA 2015). 3D printers are also available for other materials like metal, ceramic, carbon fibre, concrete, or human and animal cells, but they are mostly of industrial size and demand higher financial investment and technical skills to operate (OCHA 2015). 3D printers used in most humanitarian contexts are mostly consumer-grade and off-the-shelf (OCHA 2015). It is anticipated that 60–80% of humanitarian support costs are incurred in logistical activities (Radosta and Lacourt 2019). 3D printing can play an important role in assisting humanitarian efforts by rapidly manufacturing customised goods at the local level. In the recent years, several experimentations have been carried out using 3D printing from construction of sanitation components like latrine-cover hinge to personal protective gears during the time of humanitarian crisis like earthquake, flood, draught, famine, and pandemic (Vordos et al. 2020). 3D printing is not just capable of making the production process more efficient by cutting down manufacturing cost and time, it also offers new avenues like the possibility of local production of goods, prototyping at the community level and higher degree of customisation. Moreover, the technology can play an important role in creating employment prospects and improve local ownership because the standard version of the 3D printer is simple to install and use, and most importantly they are relatively cheaper. Likewise, there

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are several designs which are open-source enabling the process of creating similar, derivative, and supporting items much easier (Vordos et al. 2020). One of the arguments related to the limitation of 3D printing in a humanitarian context is they are only useful for rapidly manufacturing customised prototypes, replacement components of machineries, which are currently not agile and rapid to expand except for small-batch manufacturing and are unlikely to substitute conventional process of mass production (American Red Cross and International Federation of Red Cross and Red Crescent Societies 2015; United Nations Office for the Coordination of Humanitarian Affairs 2015). Moreover, the fundamental principle underpinning 3D printing from concept to product has not received universal adoption. Since 3D printing predominantly uses plastics for producing products, there are several fears related to the potentially toxic waste generation and its environmental impact, waste generation (OCHA 2021). Though basic skills are required to operate 3D printers, a more profound level of expertise is warranted in the area of computeraided design and drafting programming as well as to design safe and interoperable components. In addition, the process of digitally manufacturing medical equipment and their parts may require approvals from regulatory bodies (United Nations Office for the Coordination for Humanitarian Affairs (OCHA) 2021).

(C) 3D printing for the most vulnerable in Nepal (WVI Nepal 2020b) World Vision and Field Ready collaborated during the (2015) Nepal Earthquake to help increase the capacity for digital manufacturing agencies, local maker spaces, and local entrepreneurs. The initiative focused on manufacturing aid items locally to specifications and standards required during the crisis. The collaboration led the process of development of the 3D printing and digital manufacturing sector in Nepal by producing designs, products, training programmes, and training digital innovators for Nepal’s budding digital manufacturing sector. The use of 3D printing at the community level during a disaster was successfully piloted in one of the severely earthquake impacted districts. Led by World Vision International Nepal, the initiative focused on training the local youths and institutions on the use of 3D printing to repair key emergency supplies, custom parts for technical equipment, and making pipe fittings to repair damaged water distribution systems in the local communities, when they are often in short supply like emergency situations due to the disruption of the supply chain system.

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17.10 Lessons Learned The emerging technologies are stimulating the process of building complex sociotechnical systems at all levels of our society (Schneier 2019). As the emerging technologies often warrant seismic changes, naturally people often try to find a creative way to resist change and preserve status quo (Kogan 2020). Moreover, the war-oftug between the technologists and policymakers has been documented as an Achilles heel in the journey of prosperity since the publication of the essay titled “The Two Culture War” by the British Scientist CP Snow in 1959 (Schneier 2019). As such, the bureaucratic red-tapes in the process of designing and implementing emerging technological solutions whilst reaching out to the most vulnerable are experienced by the technologists. In relation to the use of AI, the new technology offers unprecedented opportunities to solve existing and future problems as well as warrants new frontiers of ethics and risk assessment. The ethical questions like the fair distribution of wealth generated by machines, risks of unemployment triggered by automation, machines’ impact on our behaviour and interaction, potential to entrench bias and codify inequity, and new breed of cybersecurity threats (Bossman 2016), where and how a government should step in and regulate such new breed of the economic model has been a pressing question. For instance, Nepal does not have AI-focused framework and guidelines except for some acknowledgement in the National Science, Technology, and Innovation Policy 2019 (MoEST 2019). Thus, to minimise the risk of operating in the legal grey area, both technologists and policymakers need to work together from the ground up to co-create new policies, guidelines, and frameworks. Such endeavours require a significant level of resource sharing, open dialogues, transparency, and long-term vision amongst the wider stakeholders (Bossman 2016). One of the examples of policy-level ambiguity is the legal issues surrounding the scope of blockchain technology in Nepal. The central bank of Nepal has issued a directive banning cryptocurrency in 2017 (NRB 2017). At present, the central bank considers Bitcoin and other cryptocurrencies as illegal forms of financial tender based on the 2019 Foreign Exchange Regulation Act (NRB 2021). The lack of clarity in the directive has often led to the misbelief amongst technologists and users that the use of blockchain technology is banned altogether in Nepal. As such, it is imperative to initiate a formal dialogue on the details of such directive and legal provision by the technologists to ensure that the emergence of promising technologies is not distorted. Moreover, in some cases, the policymakers might not necessarily be technology experts, and it is important that technologists should proactively engage in initiating the conversations and adding their technical inputs to simplify the content of new policies and guidance. Based on its experience of implementing SIKKA in Nepal, WV Nepal has been sharing the best practices of using blockchain whilst undertaking cash voucher assistance programming with other peer organisations. Another lesson learned is the limited technical and financial capacity of the community, local government, and private sectors in the area of 3D printing. In

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order to address such issues, a closer collaboration between the humanitarian agencies, government, private sector, and academia is paramount to stimulate the demand side of the technology, to develop local skills to undertake the endeavour, and to foster the process of locally driven innovation. It can be achieved by leveraging the ethos of Public-Private Partnership, pursuing an open licensing modality, investing in academia, and emphasising the notion of human-centric design in the end-to-end process.

17.11 Conclusion In the dawn of the Fourth Industrial Revolution (Industry 4.0) shaped by AI, blockchain, Internet of Things, multiverse, and quantum computing (World Economic Forum 2016), the emphasis on creativity and innovation, entrepreneurship, and technology development also affects the ways the so-called non-profit sectors design and implement development and humanitarian programmes in developing countries like Nepal. In the past few years, World Vision International Nepal has incorporated emerging technologies and innovation to save lives, to reach the unreachable/hard-to-reach communities, and to improve the effectiveness and efficiency of humanitarian and development actions. Despite the development of promising innovations and emerging technologies, enormous efforts are required from multiple stakeholders to not only sustain but also scale them in terms of quality, quantity, and design, in this Industry 4.0 era. Such endeavours warrant new national- and local-level policies that promote technologies’ use, and create enabling environment for the new breed of entrepreneurs, innovation practitioners, private sectors, and development partners. Such collaboration will enable the cross-pollination of new ideas, cross-learning, resource sharing, and co-creation, thus sustainable processes and/or approaches to champion Industry 4.0. This will in turn enable innovative solutions and foster emerging technologies that address existing issues like disaster-related risks, including significant issues like climate change, financial exclusion, youth unemployment, and other societal problems that severely impact the most vulnerable. Moving forward, whilst some progress has been made from the enabling policy’s spectrum, some well-intended policies often deter the creation and scale-up of innovative technologies like policy-level ambiguity surrounding the use of blockchain, lack of national-level consensus on developing AI-focused strategy, and resource allocation on promoting innovation and entrepreneurship, the future demands more disruptive approach in the domain of policymaking to address some of the pressing problems impacting the most vulnerable. For instance, a policy-level support to promote close collaboration between Bank and Financial Institutions, development agencies, SMEs, local innovations, and the local government to mainstream innovative tools like SIKKA to tackle the issues related to financial exclusion and at the

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same time achieve transparency and efficiency by the virtue of blockchain technology can create a broader impact in the lives of the most vulnerable in Nepal. Finally, broader dialogue around ptimizezation of technologies, and communitylevel participation in solution generation will be required to ptimize such emerging technologies and innovation in making positive differences to the most vulnerable society.

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