Visual

toolbox for system

innovation
A resource book for practitioners
to map, analyse and facilitate
sustainability transitions.
An initiative of Climate-KIC edited by
the Transitions Hub and Professional
Education.

Editor
Cristian Matti

Author
Javier de Vicente, System innovation
consultant and facilitator

Illustrations
Javier de Vicente

© Climate-KIC, 2016

Please, cite this publication as:

De Vicente Lopez, Javier and Matti, Cristian (2016).
Visual toolbox for system innovation. A resource
book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub Series.
Climate-KIC, Brussels 2016.

ISBN 978-2-9601874-0-3
 Why this book?

The idea of system innovation has been widely diffused in academia and business to
refer to major transformation in national and regional economies through technological
breakthroughs, reorganizations of industries and the implications of a globalised economy.
In the field of climate change, this concept has been deeply applied through the study of
socio-technical transition by a number of expert organisations such as the Knowledge
Network for System Innovations and Transitions (KSI), the Dutch Research Institute for
Transitions (Drift) and the STEPS Centre of the University of Sussex - (Social, Technological
and Environmental Pathways to Sustainability). The more practical application of
sociotechnical transition, known as transition management, has also been developed by
practitioner-based organisations such as Smart CSOs and Forum for the Future.

The Climate-KIC has widely applied elements of system innovation and transition
management by combining other general project and innovation management elements.
Pioneers into Practice, the Innovator Catalyst and summer schools are some of the key
education programmes that have adopted this approach for years. That experience has
revealed the difficulties of applying the theories and perspectives to day-to-day practice
in certain projects. Practitioners demand adaptable and flexible tools and methods that
are easy to transfer to their challenges and problems.

At the same time, throughout these years of intense training, the use of co-operative
learning methods, peer-to-peer activities and modular formats have arisen to be as highly
valued by skilled participants who are demanding new learning methods in which experts
and mentors are liberated to work more horizontally with practitioners and problem owners.
All these experiences have been the inspiration for this book which aims to play a key part
in improving the development, the skills and the application of support system innovation
in the field of climate change at both, individual professional level and organizational level.

* Learning and Knowledge Manager at Transition

Cristian Matti
Hub and researcher at the Copernicus Institute of Transitions Hub - Climate-KIC &
Sustainable Development - Utrecht University. Utrecht University *

3
4
 Content

Introduction 06 Tool 9
Flourishing multi-level 86
Chapter 1 Tool 10
Introduction Stakeholder management 11 Fishing for barriers 96
Tool 1 Chapter 3
Pentagonal problem 16
Introduction Visioning and backcasting 107
Tool 2
Actor tree 22 Tool 11
Ocean of opportunities 112
Tool 3
Enlarged empathy map 28 Tool 12
Visual story 118
Tool 4
Credential cards 34 Tool 13
Future radars 126
Tool 5
Skateholder mapping 42 Tool 14
Sociotechnical roadmap 136
Tool 6
Skateholder universe 54 Chapter 4
Introduction Niche management 147
Chapter 2
Introduction Multi-level perspective 63 Tool 15
Transition waves 152
Tool 7
The context map 70 Tool 16
Six systemic strengths 162
Tool 8
Trajectories of change 78 References 168

5
 1- What is this book spective, visioning and back-
casting and niche manage-
about? ment. This structure is meant
The book is a collection of to facilitate the problem-solv-
ready-to-implement tools ing process by setting out a
to structure and manage the pathway in the always blurred,
challenges and exploit op- uncertain and fuzzy process
portunities of sustainability for system innovation. In ad-
innovations and transitions. dition to these modules, a
The goal is twofold: improv- standalone tool has been add-
ing the understanding of a ed to help users define the
challenge by going deeper, real problem they are facing.
broader and by improving
the quality of the discussions The four modules holding
and conversations around the the tools feed into a multi-
problem among participants. disciplinary setting, including
It means to put the focus not transitions management but
only on the problem solving also practical elements from
process but also on the learn- innovation management, sys-
ing process while designing temic thinking, design think-
and implementing solutions. ing and project management.
The tools are presented in a Based on this structure, the
simple and visual approach learning approach is based on
with the purpose of support- the assertion “learning by do-
ing practitioners’ every-day ing through the application of
work on climate change, tran- tools on the users’ cases”.
sition and system innovation.
In this regard, the toolbox
The toolbox is rooted in a is designed to help pick out
modular structure, built upon those tools that best adapt to
four modules that account for the practitioners’ needs and
the main steps in the system background. The design of
innovation process before the tools has been sculpted
getting into the prototyping around four features to max-
phase. That is: stakeholder imise the learning experience
management, multi-level per- under this approach:

6 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction

Flexible. The book is designed your non-linear and creative development and peer-to-peer using this book. The first and
for you to pick out the tools thinking (you just might need interactions are included as key simplest way is just to go for
that best fit your challenge and to practise a bit). elements for this flexible and one specific tool you need in a
then you can adapt those you tailored approach for practi- certain moment of your project.
chose to your own context. To Systemic. The toolbox aims tioners. Since the tools are designed as
make it easy to find the most for a systemic understanding standalone devices, you may
proper tool, a variety of alter- of problems and challenges. 2- How to use this want to use one of them to
natives with different levels Therefore, you can expect this work out a specific problem you
of complexity have been de- type of conceptualisation un-
book? are dealing with. For instance,
signed. derlying every tool instead of There are two important per- you might only need to map
a linear process of reasoning. spectives about how to use out your stakeholders or to
Standalone. The tools have This is why all the tools have this book. First, is the use of run a backcasting workshop. If
been conceived to work indi- been designed to be used in the set of tools as a coherent that were the case, you would-
vidually and as a full suite. That multidisciplinary and even mul- sequence to support a system n´t need to go through any se-
means, you can single out one ticultural frameworks, and to project management process quence of tools but simply use
tool and apply it to your proj- factor-in data and inputs from or a training event. The second the most relevant one.
ect, whether you are going the context surrounding the refers to the use of each single
to use more tools or not. Re- project. tool in whatever context you The second way of using the
gardless of this capacity to be may need them. toolbox is to be applied when
applied in a standalone way, it This book was developed si- you have a system project or
is highly advisable to conceive multaneously with eLearning As explained in the previous a training workshop ahead of
a pathway to follow within your material based on the main section, the book is built upon you. In those cases, you may
innovation project including a elements of flipped and seam- four modules accounting for opt for designing a comprehen-
coherent set of tools. less learning. In that sense, a suggested pathway for sys- sive innovation route, starting
the tools are presented to tem innovation (not including with the problem definition and
Visual. Most of the tools have facilitate a learning process the prototyping phase): stake- then going through the four
been designed as visual de- where different types of ac- holder management, visioning modules. According to the chal-
vices to spark creativity, sys- tivities, at different times and and backcasting, multi-level lenge you face, the background
temic and lateral thinking. The with multiple resources can perspective and niche manage- and experience of the team
book is not illustrated to make be applied. The tools are also ment. A kick-off tool has also and the context you are in; just
it pretty. The pictures have a designed to support project been added to better define pick out some of the tools from
clear purpose and shouldn´t be management, organisational the system challenge (find out each module and build your
skipped. It may take you time change and capacity building more in the box). own pathway for innovation.
to feel comfortable with the process for organisations or
visual metaphors proposed, multi-stakeholder project set With this structure in mind You might think the tool-
but these techniques will help ups. Thus, group work, project there are two main ways of box suggests a kind of lineal

VISUAL TOOLBOX FOR SYSTEM INNOVATION 7

 back loops and to better spot what the right it has evolved. In this regard,
parallel pathways problem is and to nail it down two types of tools have been
characterise the at the same time as keeping a included so far: one devoted
real application of systemic perspective. to describe the dynamics (from
the toolbox to your past time to present time) of
project. Throughout 2. Stakeholder analysis. the system and another to de-
these non-linear steps Working with stakeholders is scribe a static picture of the
you will obtain invaluable probably one of the common- current system or status quo.
lessons that will more than alities in systemic projects and Whereas the static vision pro-
likely modify the previously one of the first conditions. In vides a comprehensive picture
planned pathway. this regard the toolbox cov- of the way the mainstream
ers three steps of this work system works, the dynamic ap-
Of course, if you embark on with stakeholders: identifying, proach can help to understand
a training workshop where characterising and depicting how the system got to the cur-
your time, resources and real relationships. Depending on rent stage. You may start with
process for cases are very fixed, you might time availability it can be use- the static perspective and then
system innova- want go for a more linear pro- ful to work with one tool from move onto the dynamic tool or
tion, but it doesn’t. First of cess, just to get participants each category. Bear in mind the other way around. This is
all, you don’t need to cover acquainted with the use of the that the stakeholder engage- the type of flexibility to keep in
all of the four modules if you tools. ment phase is left out. For that mind when applying tools.
think you don’t need to at this reason, you may consider in-
stage of you project. Sec- 1. Stating the Problem. cluding a role game or similar 4. Visioning and Backcasting.
ondly, and more importantly, It is often noticeable that the activity to somehow engage Foresight is at the very core
this is a systemic process to main issue for a project team your stakeholders with the of any disruptive and system
deal with systemic problems, is to nail down and define the conversation. The World Café, innovation. By envisioning the
even though you may design real problem and challenge. open spaces, roundtables or future, your team will be able
an initial process made up of This is especially relevant Fishbowl techniques can be to step backwards, identify
five tools going through the in system contexts in which applied for such a task. what changes would be nec-
suggested pathway. In this wicked problems are difficult essary and then go forward
regard, most of the tools are to pin down and when we run 3. Multilevel Perspective. again; setting an agenda of ac-
to be applied once in a while the risk of finding the right With the support of the stake- tions. This backcasting process
during the project lifetime solution for the wrong prob- holders it comes to deeply is easily understandable but
and many times there will be lem. Therefore, this tool is understanding the system in hard to put into practice, due
more than one tool in use at aimed to reframe the prob- which your project is embed- to the counter-intuitiveness
the same time. These feed- lem by helping practitioners ded, how it works and how of starting in the future and

8 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction

moving backwards. You can You may feel like adapting the
find tools with different levels tool to your specific needs
of complexity so that you can and context (background, cul-
select the tool you feel most ture…). If so, please, feel free
comfortable working with. to remove, modify or add new
elements to the canvas. The
5. Niche Management. only element to keep at the
Under the label of niche man- forefront of your mind is; keep
agement, the last module the systemic perspective.
included in the toolbox ad-
dresses the issue of how to It is essential that you spend
get lessons out of the project time in the debrief step after
management process and how applying each tool. This de-
to apply those lessons to en- brief is to help you better un-
hance the process. The goal derstand the outcomes you
is to include a new dimension got and how to apply them on
in the project management your challenge, but also to give
process, emphasizing how you some specific time and
an on-going learning and re- space to reflect on the les-
flection process can move sons about the process, and
the innovation idea forward. your performance as a team.
Therefore, don’t skip or under-
As to the use of each tool, as estimate the value of a good
mentioned before, the focus debrief. Instead always try to
of these tools is on the prob- break it up into two blocks: one
lem solving and on the learn- devoted to the outcomes and
ing process. The tools are not the other to the process, its
designed to be perfectly filled lessons and the consequences
out and to represent a nice for the team.
drawing but to think different-
ly of new ways in tackling the Now you are ready for making
problem, based on a systemic the most of the toolbox. Decide
perspective and to learn from what to start with and give it a
that process. Bearing that in try. Enjoy the experience and
mind, don’t forget that: let your creativity out.
 1
Stakeholder
management
Innovating with people
instead of for the people
 STAKEHOLDER MANAGEMENT

12 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction STAKEHOLDER MANAGEMENT

Stakeholder management
Stakeholder management has been largely used in What is stakeholder One of the main differences that
many different disciplines from market research, stands out in the socio-technical
management? transition approach from oth-
policy making and product design, among others. This The stakeholder management ers perspectives is the dynamic
participatory approach allows for the involvement process is made up of two character of the analysis. Socio-
of affected people and organisations during decision phases with different steps technical transition is an on-go-
making processes, providing solutions with a higher in each. First, STAKEHOLD- ing and living process, the partic-
level of certainty, credibility and feeling of ownership. ER NETWORK ANALYSIS, is ipants in such a process and their
aimed at understanding the roles should be analysed more
Whereas market research or the holders, playing different roles, network before working with than once: at the beginning of the
most recent approach of user-cen- have a key influence on the pro- it. That is, understanding the process, during the process and
tred design, put the focus on the cess and the yielded outcomes. components (stakeholders), at the end of the process.
person as an individual customer their behaviours and rela-
or user: social problems require a Therefore, the socio-techni-
slightly different perspective, tak- cal approach to stakeholders is
tionships and the network Why involve
performance.
ing into account opinions coming based on the recognition of the ​
stakeholders?
from organisations, social groups existence of a system of stake- Second phase, STAKEHOLDER By involving stakeholders in the
etc. Meaning, the focus is put on holders in which each project/ NETWORK ENGAGEMENT, is the process of defining the problem,
the people, as an organised soci- problem/challenge is embedded. process of carrying out the en- ideating and developing solutions
ety, rather than people as a group This system forms a tangible gagement itself, with the envis- you get a number of benefits:
of independent individuals. network in which nodes account aged activities involving actors
for the stakeholders, and links throughout the whole process • Enrich the knowledge, experi-
When it comes to system inno- or ties account for established of transition. ence and perspectives around the
vation or socio-technical transi- relations between actors. As a
tions, the process entails both, consequence of these relation-
technology and society, and the ships and individual features, the “Participatory planning is a form of planning which implies
way in which society uses tech- network evolves and emergent the association and union of as many points of view as
nology. That means the context behaviours surface influencing possible, in order to identify the best possible solution
becomes more complex and a or even leading the innovation in terms of plans, projects or strategies. It is therefore
systemic perspective must be process. This systemic and dy- essential to bring together actors representing different
adopted. It is essential to under- namic character provides part of skills, knowledge bases, experiences and backgrounds.”
stand and map out the dynamic the uncertainty and complexity
process of innovation as a collec- inherently linked to socio-tech- Jeff Bishop -BDOR Limited Bristol UK
tive action in which many stake- nical transition processes.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 13

 STAKEHOLDER MANAGEMENT introduction

table, this maximizes the proba- est, their relevance, etc. At this between actors, a specific net-
bilities of success. stage, an actor can be either a work emerges along with new
person or an institution, and al- behaviours and trends. The
• Reduce the number and the though major representatives of goal of this step is to
severity of conflicts between different sectors and categories analyse the role of dif- T
different involved or affected should be on board, this step has ferent stakeholders EN

ENG GEM
parts. to be as broad as possible. within the network
and how those roles STAKEHOLDER

A
NETWORK

SIS
• Diminish the chances for ab- Understanding actors affect the way the
sent stakeholders to spoil the The second step is gaining a network performs. MANAGEMENT
process. deeper understanding of the This analysis com-

LY
stakeholders. It is time to know prises quantitative

A
• Build a sense of ownership and their expectations, their explicit and qualitative ap- AN
belonging to the process, to the and implicit assumptions, what proaches to unfold the
objectives, to the solutions pro- worries them, what keep them information underlying the
NET S
posed and even to the network awake at night, their drivers, network. WORK ANALYSI
of stakeholders, as if it were a their knowledge and resources,
community. etc. This step is largely used in Stakeholder
design as a key part of the ser-
• Outcomes are more accepted vice and/or product design. In
Network Engagement
and tend to be more sustainable. sociotechnical transitions this Process design
step is aimed to categorise Before starting any participa-
• Due to the “multiplier” effect of stakeholders according to their tory process it is essential to
the network, outcomes can eas- own features and their influ- make some decisions about the
ily trigger system changes ence on the innovation process process and its context. In this
in terms of interests, resources, sense it is important to design a
Stakeholder etc. process that meets participants’
expectations without getting
Network Analysis Analysing networks lost in an endless sequence of
Identifying actors The third and more comprehen- workshops, discussions and
The first step is to identify who sive step is to analyse and char- useless conclusions.
will take part, due to their close- acterise the stakeholder net- This design has to feed into the
ness to the project, their inter- work. As a result of relationships stakeholder analysis conclu-

14 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction STAKEHOLDER MANAGEMENT

sions and, based on that, lay As mentioned before, during this join the network while others
down solid geographical and process it is advisable to review just leave the network because

1
temporal boundaries to the pro- the stakeholder analysis, check- of a lack of interest or because
cess, as well as clear rules for the ing if either new actors have they are no longer affected by
decision-making procedures. joined the network, or the role of the project. Other times, the role
The goals, scope of actors, tim- current stakeholders has signifi- of one actor changes dramati-
ing, types of participation, etc. cantly shifted. cally and becomes in irrelevant,
are among those decisions to be or emerges as an essential hub
made at the start of the process. An essential feature of the whole in the new configuration. All of
At the same time, the informa- cycle of Stakeholder Network these situations force managers
tion that will be needed during Engagement is its temporary to carry out this cycle of activi-
the process must be envisaged nature. As explained in previous ties, time and again, throughout
at this stage. Both qualitative paragraphs, the composition the process lifetime.
and quantitative data must be of the stakeholder network can
prepared in advance to be avail- vary as the process goes for-
able as an input for the stake- ward. Sometimes new actors
holders taking part.
An essential fea-
Eventually, the time comes to Tool 1
decide the method or methods
ture of the whole Pentagonal problem
to be applied. There are myri- cycle of Stake-
ads of methods that might be holder Network Tool 2
applied. Among them the World Management is its Actor tree
Café, Fish Bowl, Charretes, Ap-
preciative Inquiry, Focus Groups,
temporary nature.
Daydream sessions, etc. This means you will Tool 3
Participation process have to carry out Enlarged empathy map
This phase is the real and final
step of the whole process of
the actor Stakeholder Tool 4
management
Stakeholder Network Engage-
analysis time
Credential cards
ment: work together with stake- throughout the
project lifetime.
holders throughout the system
innovation or transition process.
Tool 5
Stakeholder mapping

Tool 6
VISUAL TOOLBOX FOR SYSTEM INNOVATION
Stakeholder universe
Tool 1
Pentagonal
problem
Stating the problem
Making your problem tangible is the first step in
looking for a solution. Before working on an in-depth
understanding of a problem or challenge, and the
search for solutions, it is necessary to have a clear
description of such a problem. if you understand the
problem, you can start building solutions.
 STAKEHOLDER MANAGEMENT

Pentagonal problem

What it is in the way we define and ad-

dress problems. Problems are
Pentagonal Problem is a visual no longer simple or isolated.
tool to help teams nail down Instead, they can affect a myr-
the problem, identify its differ- iad of stakeholders with dif-
ent components and details, ferent perceptions and inter-
getting to a common ground for ests, they are cross-sectoral,
future actions. long-term, and interconnect-
HOW MANY From 1 person to groups of 10 people.
ed with the ecosystem and
When to use societal structures. HOW LONG 40-60 min.
​
DIFFICULTY Low.
Whenever you face a complex In this context we need more
problem, with multiple sides, comprehensive tools to bet- WHAT YOU GET A comprehensive and visual depiction of the
perspectives and nuances that ter define, state and un- main systemic components of your problem.
make it difficult to define it in derstand current problems. WHAT YOU NEED
A basic idea of the problem you face and an
a single sentence or paragraph. Pentagonal problem is a tool
open mind to see how the context affects
Challenges related to climate that starts with your own
such a problem and conversely how the
change are a clear example of perspective of the problem,
challenge affects the context.
these kind of problems. and helps you to deepen WHAT IS NEXT
your understanding by in- You can go on with the stakeholder analysis
Why it is useful cluding different aspects of or go for the System analysis if you prefer
it. Using this tool, you will be diving deeper in your comprehension of the
System innovation entails a better prepared to look for context surrounding the challenge.
completely different approach system solutions.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 17

 STAKEHOLDER MANAGEMENT

Steps
STEP 1. paragraph. Try to be conversation-
al. The goal here is to describe the
Define yourself overall problem or challenge you
Draw a large pentagon in the are facing as if you were in a con-
middle of a big piece of paper and versation with other colleagues.
start by defining yourself. The Avoid any piece of information that
pentagon accounts for yourself is not necessary to understand the
(as an individual or team). Take “big picture” problem. Leave out the
into account that the same prob- details and nuances, they will be
lem is perceived in different ways placed in other “faces”.
and shapes by different actors,
therefore it is essential to start STEP 3. The climate
by defining yourself. Are you a
change challenges
company? A government? A user your problem, or you may be a STEP 5. The social
association? Are you leading the Now it is time to specify the cli- technical entrepreneur. If that
search for a solution? mate change related challenges is the case, this is your time.
challenges
that your problem is tackling. Pay Approach the problem as a lack Now it is time to think of society and
This definition will provide the con- attention to the problems with of solution: what are the tech- how it is affected by the problem,
text for the rest of the exercise, CO2 emissions, water scarcity or nical challenges you are resolv- or, conversely, how society impacts
therefore spend time on defining in whatever they are. Use post-it ing? Where are the technolog- the problem. Is societal behaviour
a clear way who you are. Be as spe- notes and write down one idea ical/technical bottlenecks you worsening the problem or it is get-
cific as possible. If there are differ- (climate change issue or challenge) have to overcome or have to ting it better? What are the societal
ent perceptions within the same per sticky note. Bear in mind that it get around? Where is the tech- challenges underlying your project?
group/organisation, please reflect is only about climate change. In the nical basis for your potential What is the main expected or need-
all of them on different post-its. case of many participants you can solution? Is there any other ex- ed change? What are the visible
Once you have depicted yourself, make clusters with the notes and periment you can build on? Are bottlenecks? Are there any specific
it is time to define the problem identify the main clouds of climate any other sectors tackling the groups especially affected by the
through five different “faces”. change problems. same problem and applying problem or having a significant ef-
some solutions? fect on it? Are there any institutions
STEP 2. STEP 4. The technical Again, write down one idea per or organisations playing a signifi-
post-it and place them on the cant role? What direction are the
The basic statement challenges canvas. If necessary, cluster regulations pushing towards?
First of all, try to describe the prob- You are probably thinking the notes and identify the main Using post-its, write down as many
lem in one single sentence or short about technical solutions for clouds of technical problems. ideas as possible to get the most

18 VISUAL TOOLBOX FOR SYSTEM INNOVATION

http://www.transitions-hub.org/library
Screenshot from online materials. System innovation and Climate
Change eModule. Climate-KIC, 2016.
 STAKEHOLDER MANAGEMENT

Tips
comprehensive picture. If necessary, derstanding of your problem? In
cluster the notes and identify the your description, do you feel you
main clouds of societal challenges. included more than necessary?
Would it be possible and advis-
STEP 6. able to cut something out in order
to better explain the problem? Or,
The Gaps do you think you are still leaving
After describing four sides and something out?
nuances of your challenge, where ​
could you spot the main gaps with Do you think your challenge is a • Try to be conversational when it comes to
respects to resources? Do you technical problem, a social prob- defining the problem, avoid overly complex
need some new technology? Do lem, an environmental problem… or ‘wordy’ sentences.
you have a lack of knowledge? Is it a or a mixture of them? Does one
matter of regulations? Identify the of the “faces” seem more im- • The more ideas you gather for each step;
main gaps that need bridging to portant than the others? the richer the final vision of your problem
complete your project or to make a ​ will be.
solution come to light. Write down Regarding the variety of inputs, do
one idea per post-it and place them you consider it important to gath- • In this regard, the outcome may actually
on the canvas. If necessary cluster er different perspectives about be improved by including different stake-
the notes and identify the main the challenge? holders in the team.
sources of gaps for your challenge. ​
Now try to rephrase the problem • Time permitting, after filling in each cell, you can try to restate
STEP 7. statement taking into consider- the central problem, taking into consideration the ideas on the
ation all the inputs you obtained.
Debrief Are you able to come to a con-
post-its. This will give you a perspective of how the problem is
changing as new inputs are included, and you will experience the
Once you have completed the sensus for the new definition? Is it difficulties of integrating different approaches and inputs.
pentagonal description of your easier or more difficult to broaden
project, go over the first problem such a definition? Do you consider
statement and how it has been it is possible to get everybody com-
enriched with many nuances and mitted with a new definition of the

Find out more

inputs coming from very differ- problem? Do you think changing
ent sources. Do you think you got the starting point, who you are and
a thorough description of your what your role is, would change the
challenge? Did you get a new un- outcome as well? http://www.transitions-hub.org/library

20 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Pentagonal problem The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 2
Actor tree
Stakeholder Analysis
The first step in stakeholder analysis is to
identify and list any potential stakeholder
affected by the challenge or with capacity
to affect it.
 STAKEHOLDER MANAGEMENT

Actor tree

What it is ly, some of them) throughout

HOW MANY From 1 person to groups of 10 people.
the project process.
The Actor tree canvas is a visu- HOW LONG 40-60 min.
al tool that helps you identify, Why it is useful DIFFICULTY Low.
list and categorise the myriad of
stakeholders around your proj- In an interconnected world, proj- WHAT YOU GET A categorized list of the main stakeholders
ect. Stakeholders are depicted ects, services and products are for your challenge.
as the roots of a tree that will no longer standalone outcomes
WHAT YOU NEED A deep knowledge of the challenge and its
feed and carry out the process of but are strongly tied to a net-
context in terms of actors and institutions
system innovation, represent- work of stakeholders, whether
playing any kind of role or being potentially
ed by the crown of the tree. The they are potential customers,
affected by the project. Essential: an open
trunk, in turn, accounts for your clients. competitors, allies, etc.
mind to engage/empathise with actors with
challenge. There is a lot of evidence that
opposite interests to ours. The Pentagonal
engaging that network in your
problem can provide useful inputs for this
When to use project from the very beginning,
tool.
leads to better outcomes; it
When you are going to start keeps the project from derailing WHAT IS NEXT After having a list of stakeholders you will
a new project that you know and builds a sense of ownership need to know them better: their needs,
affects or may be affected and belonging, not only to the expectations and possible reactions. You
by a number of stakehold- outcome but also the process. also need to map them out to make their
ers and you are aware of the stances and relations clear. Consequently,
importance of their engage- For this process to succeed, the you can go on with the stakeholder analysis
ment. It should be done at first and crucial step is to identify tools such as the enlarged empathy map or
the very beginning to allow the cohort of stakeholders you the actors map.
you to include them (actual- will potentially engage.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 23

 STAKEHOLDER MANAGEMENT

Steps
STEP 1. The challenge Once the problem is defined,

and the context write down any features of In an interconnected

the context that you consider world, projects, services
Take a big piece of paper and significant for the stakehold-
draw the tree canvas. As ex- er identification and put them
and products are no
plained before, the roots all together on the crown of longer standalone
account for the network of the tree. Ask yourself ques- outcomes but are
stakeholders, the trunk for the tions similar to the following strongly tied to a
challenge and the crown for to see what to include: Are
the context in which your chal- governments relevant to the
network of stakeholders.
lenge is embedded. The start- problem? Are there any oth-
ing point for this tool is to nail er experiences you can build
down the challenge or proj- on? Are there little known but
ect you have, and the context promising experiments? Is the
around it. First, write down a problem you face affecting
brief description of the chal- any particular group the most?
lenge on one or more sticky Are there any organisations
notes and put it on the trunk. occupying the current market?
Bear in mind the rule of thumb: the Pentagonal problem out-
one idea per post-it. As you come can feed the crown with
probably saw with the Pen- valuable inputs.
tagonal problem, there are a
variety of approaches and per- STEP 2. Chunking
spectives about your project,
depending on who is looking
down into categories
at it. If you are using the tool in With the challenge and the con-
a diverse team, try to include text in mind, the following step
as many perspectives as pos- is to identify categories and
sible to broaden the problem subcategories of actors clear-
definition. Finally, when all the ly represented in the system
definitions are on the canvas, around your challenge. Draw
try to come to a consensus and a new root for each category
write a single statement for you identify, and a new root
the problem. branch for each subcategory.

24 VISUAL TOOLBOX FOR SYSTEM INNOVATION

http://www.transitions-hub.org/library
Screenshot from online materials. System innovation and Climate
Change eModule. Climate-KIC, 2016.
 STAKEHOLDER MANAGEMENT

Tips
You can use the following list STEP 5.
as an inspiration for your own
categorisation: Researcher
Debrief
(private, public, university, Spend some minutes on re-
company), Financial (private, flecting about the outcome
public, social…) , Users, Pro- you obtained. Some of the
ducers, Suppliers, Owners, questions you might ask are
Authorities (supra-nation- the following: Do you think
al, national, regional, local), you have spotted many or
NGOs, Interest Groups, etc. few stakeholders? Did you • The more actors you identify at the beginning of the
In addition to the suggested find it difficult to come to process, the better. Although a large number of actors
might end up as an unmanageable process, there will be
subcategories inside brack- a consensus regarding the
opportunities to filter out actors in the following phases,
ets, you may think of differ- stakeholders to factor in? after an in-depth analysis has been performed.
ent sectors, company sizes or Do any of the branches
ownerships, localisation, etc. look more relevant than • Try to be as specific as possible when naming actors. Be
as properties to further sub- the others, with many more aware of the fact that stakeholders can be any type, size and
capacity: individuals, organizations, or unorganized groups.
divide your categories. stakeholders? If so, does it
reflect the real world or is • Repeat the process several times throughout the project
STEP 3. it a possible bias due to the lifetime, an actors’ network is dynamic!
team background? Do any
Closing gaps of the roots have very few • Don’t fall into the temptation of NOT mapping those stakeholders who apparently
are less important: outsiders and surrounding stakeholders. They might not look so
To finalise the tree, look for stakeholders, even though
important, but they can definitely give you the out-of-the-box approach you need
those hidden stakeholders: you are aware that there later on and can play a key role, especially in the beginning of the process.
outsiders, groups barely or- must be many more? Were
ganized and with no skills for there any stakeholders be- • Be aware of hidden stakeholders. They are usually well known by some of the play-
self-organization, minorities, longing to different roots at ers but not so much by the public. Not involving them right from the beginning could
jeopardise the project in subsequent phases.
etc. If you consider they might the same time? If so, what
come in relevant, factor them did you decide? Did you put • Where the stakeholders are not organised, a strategy to get them to assert their
into the list and future ne- them in several roots? Does stake is to include them and to help them to self-organise.
twork. It doesn’t matter if you the big picture of the tree
are not sure about their future with the context, the cha-
involvement, given that you llenge and the stakeholders,
will have the opportunity to help you to better unders-
decide later on. tand the problem? http://www.transitions-hub.org/library

26 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Actor tree The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 3
Enlarged
empathy map
Stakeholder Analysis
Understanding actors. The Enlarged empathy
map is a quick and visual tool of the well-known
technique called “Personas” and allows you to
explore and infer the drivers, fears, concerns, etc.
that fuel each stakeholder.
 STAKEHOLDER MANAGEMENT

Enlarged empathy map

What it is tial stakeholders and want

to know more about them HOW MANY From 1 person to groups of 10 people.
The Enlarged empathy map is and don’t have the time or
HOW LONG 30-45 min.
a visual tool that allows you to the resources to carry out in-
build a stakeholder profile by depth market research. It is a DIFFICULTY Medium.
quickly browsing the sources of tool to apply only with those
WHAT YOU GET A visual depiction of your stakeholder profile:
information you have close at stakeholders who you think
their main needs, drivers and expectations,
hand. The empathy map is in- you are going to engage with
as well as their behaviour and sources of
tended for you to put yourself the process, whether it is a
information. (this tool is for ONE stakehold-
into a stakeholder’s shoes and project, a product develop-
er, in-depth)
thereby see the challenge from a ment or whatever.
different perspective. It is based WHAT YOU NEED Sources of information about the stake-
on the Empathy Map developed Why it is useful holder. It can be the internet, newspapers,
by Scott Matthews of XPLANE journals, documentaries, etc. In a training
and the variation Enhanced Em- The main value of this tool session it is crucial to provide participants
pathy Map from the Visual In- is how quickly you can get with the material needed.
novation Accelerator. a clear and pretty accurate
WHAT IS NEXT You may want to find out more about
profile of a stakeholder. By
stakeholders’ relations, the balance of
When to use doing that you will be in a
forces, potential allies, etc. To do so, move
better condition to decide
on to the stakeholder map or to the stake-
When you have carried out an whether to invite them to
holder universe.
identification of your poten- participate or not.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 29

 STAKEHOLDER MANAGEMENT

Steps
STEP 1. If you used the Pentagonal
problem tool, its problem
Sketch out the statement can serve you
canvas as input. Write the problem
Take a large piece of paper down on a post-it and put it
and draw a large version of on the lower right-hand side
the canvas in which your spe- of the canvas.
cific stakeholder is depicted.
As you can see, there are nine Finally, look at the stake-
different areas you need to holder and how he/she re-
work on in order to describe lates to the challenge. Is she
the stakeholder: Thinking, a prospect, a client, a user of
Seeing, Hearing, Saying, Feel- your service/product? Is she
ing, Doing, Believing, Pains affected by your project? Or,
and Gains. can she affect the process of
developing a new solution?
If so, in which way? Describe
STEP 2. this relation on a post-it and
Setting the scene place it between the stake-
Once the canvas is on a holder and challenge de-
wall, write down the name scription. These three notes
and a short description of will provide the context for
the specific stakeholder to the rest of the tool.
be described and put it on
the upper right-hand side of
By applying the
the canvas.
enlarged map, you
Then, pay attention to the will be in a better
challenge you are working condition to decide
on. It might be a project or
whether to invite
a problem you are trying to
find a solution for, or it might a stakeholder to
be a product or service you participate or not.
are designing or reshaping.

30 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 STAKEHOLDER MANAGEMENT

STEP 3. Thinking nology/solutions does the mar-

ket offer?”, “What does a typical
and responding day look like in their world?”…
Next, the group starts trying to
fill out those nine areas by re- HEAR (ears)
sponding on sticky cards to the “What do their friends/boss/
questions linked to them. In the relatives… say?”, “What in-
following paragraphs you can fluencers do they follow and
find a list of questions that you what do they say?”, “Who does
can use as a guideline to find he really listen to?”, (radio, fo-
your answers. Please, remem- rums, social media...), “What
ber to write only one answer do they hear when other peo-
per post-it. Use others’ creativ- ple use the same technology
ity to feed yours, if any other or face the same problem?”, “Is
answers elicit new ideas, just she following the big players?”
write them down and put them
on the canvas. SAY (mouth)
​ “What does she say regarding
THINK (brain) the challenge in a conversa-
“What does he really care tion?”, “Is he inspired by an in-
about?”, “What is her endgame/ spirational idea when talking
deep belief?”, “What do they think about the problem?”, “What do
about the challenge and the cur- they say when using the cur-
rent market solution?”, “How do rent technology?”, “What opin-
they think about their fears and ions do they state about inno-
hopes?” vative solutions?”

SEE (eyes) FEEL (heart)

“What do they see when they “What do they feel when using
face the problem/challenge in the technology, whether in pri-
their daily life?”, “What TV pro- vate or public?”, “What are his
grams does she watch?”, “What feelings regarding the players in
is the context/environment they the market and society, related
see around them?”, “What tech- to the challenge?”

VISUAL TOOLBOX FOR SYSTEM INNOVATION 31

 STAKEHOLDER MANAGEMENT

Tips
DO (arms/hands) When you look at the completed
“What is their attitude in pub- canvas, spend some minutes re-
lic when it comes to interacting flecting on the process and the
with the technology or problem?, outcome.
“What is her behaviour when us-
ing the current solutions?”, “Is he Regarding the outcome: Do you
trying to do anything to defy or think you got a comprehensive
modify the status quo?” and in-depth picture of your
stakeholder? Did you gain new
PAIN (back) insights? Have your initial ideas
“What are the barriers they face and assumptions changed as a
in their day-to-day life?”, “What consequence of the exercise?
are their pain points when using Do you feel there are still some
the current solution?”, “What are gaps of information? If so, what? • This is a technique that can be enriched
their concerns about new solu- Where would you think you can with others such as stakeholder interviews,
tions and future changes?” find the data necessary to fill shadowing, market analysis, etc.
​ those gaps?
GAIN (legs) • When searching for information try to find
“What do they really want As to the process, think about out what other stakeholders think about the
from the technology?”, “What how you felt as an individual one you are working on. It might make you
are her actual needs?”, “How and as a group while trying to change your opinion and answers.
do they measure success?” find out and infer the stakehold-
“What are his expectations re- er’s features. What difficulties • If there are opposite answers in some
garding the problem in terms did you come across? Do you areas, keep them on the canvas, bear in
of solutions and general envi- think you needed more sources mind human complexity and the fact that
ronment?” of information than those pro- sometimes both answers might be right
​ vided? Did any conflicts arise under specific circumstances.
BELIEVE (feet) between group members about
“What do they actually believe?”, some specific answers? Did
“What are their thoughts rooted you all have a similar approach

Find out more

in?”, “What are their implicit and in the way you interpreted the
explicit assumptions about the stakeholder’s attitude and per-
challenge? (technology, how soci- spective? How did you deal with
ety reacts…)” those conflicts? http://www.transitions-hub.org/library

32 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 Enlarged empathy map The Canvas

De Vicente López, Javier and Matti, Cristian (2016) .Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transition hub series. Climate KIC, Brussels 2016.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 33

Tool 4
Credential cards
Stakeholder Analysis
Understanding actors. The Credential Cards tool
aims to characterise stakeholders’ stances and
relation to the challenge.
 STAKEHOLDER MANAGEMENT

Credential cards

What it is Enlarged empathy map, the Cre-

dential cards put the focus on the
The Credential cards is a tool stakeholder’s behaviour and rela-
to characterise a stakeholder’s tion with the project, including the
stance about the challenge and current status quo. It is interest-
more specifically how they re- ing to use it when you don’t have HOW MANY From 1 person to groups of 10 people.
late to that challenge. That is, the resources or the time to carry 40-90 min.
HOW LONG
how they are influenced by the out a network analysis by using,
problem and the future solution for example, the Stakeholders DIFFICULTY Medium.
and how they can influence the Universe tool. WHAT YOU GET A comprehensive and visual depiction of
process of developing the new how the stakeholder relates to the project
solution. The tool is made up of Why it is useful and its context.
four components: (1) Actor De-
scription, (2) Problem Statement, The Credential card provides a WHAT YOU NEED This tool requires good knowledge of the
(3) Stakeholder Wheel and (4) vision of stakeholders centred actors involved and especially how their ac-
Stakeholder Equaliser. on their relations to other project tions or behaviour are related to the project.
components which allows you to In training environments, it is crucial for the
trainer to provide sources of information.
When to use infer their reactions if the project
starts. It might be seen as a tool WHAT IS NEXT After gathering a set of Credential cards for
When you have completed the that gathers some of the qualities different stakeholders, you may want to
identification of stakeholders from the Enlarged empathy map go with Stakeholder Universe to go deeper
for your project and, if needed, and from the Stakeholder Maps. into their relations and how they can have a
the Enlarged empathy map for It is a good exercise to do before significant influence on the project process.
some of them, you will want to deciding whether to invite or not Stakeholder Map is another alternative not as
explore more in-depth how they a stakeholder to take part actively comprehensive but relatively easier to take.
relate to the challenge. Unlike the in the project process.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 35

 STAKEHOLDER MANAGEMENT

Steps
STEP 1. gories you have previously used to
identify and list the actors.
Setting the scene
Before starting with the tool, clearly STEP 3.
define the challenge or the problem
you are facing. You can resort to
Problem statement
the Pentagonal problem outcome Paraphrase the problem or the
or any other tool you have used to challenge you, and as a team, are
narrow down the challenge. Right addressing but from the stake-
after that, define who you are and holder’s perspective. You need to
your role regarding the project. Per- picture what their perspective is,
haps, you are the project manager, what their vision looks like, what
the promoter, a facilitator, etc. In their link to the project is and what
any event, the team has to have a they are really concerned about.
clear idea of their role in the project. The statement should be written
These two elements don’t belong in first person just as if he/she were
to the canvas as such, but they claiming it.
make up the starting point and the
perspective for the tool. STEP 4.
Therefore, with both elements in
Stakeholder wheel
mind, take a large piece of paper The wheel is the deepest part
and draw the canvas as it is in the of the Credential card and it will
example below. take you longer to work on. It is
aimed to unfold the stakehold-
STEP 2. Stakeholder er’s stance with regard to the
challenge you are tackling. It is
description aimed to help you describe what
Describe briefly the stakeholder the stakeholder’s expectations
you are going to analyse: write their are on the project, relation-
name, describe in which category it ships with other stakeholders,
falls, and briefly include any import- with the current solution for the
ant features you think are notewor- problem you are tackling, their
thy. You might use the same cate- needs, etc.

36 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 Defining a reginal policy
for biomass management.
Public participation
workshop. Castellón,
2015 (Spain).
http://goo.gl/Q8vzeH
 STAKEHOLDER MANAGEMENT

Decide on which element of the move forward to the next one and in what way? Dive into the them could derail any attempt
wheel you are going to start and repeat the process. reasons underlying stakeholder’s of innovation.
with: “What”, “How”, “Why”, “Ex- behaviour. Don’t settle for the
pectations”, “Worries” or “Re- WHAT. first reason that comes out. RELATE.
lations”. Then take your time to What does the stakeholder actu- Who is each stakeholder related to?
individually write down as many ally do? EXPECT. In a systemic vision, relationships
ideas as possible, answering the It accounts for the activities the What would they expect from are as important as stakeholders
question in play. After five or ten stakeholders carry out as long as an alternative solution? Under- themselves. They can lead actors
minutes, all the members ex- they are related to the project or neath the stakeholders’ reasons, to change their minds regarding the
plain, out loud, their ideas and challenge you are facing. it is possible to find out what they challenge or adopt a stance differ-
put their post-it around the el- expect from any solution to their ent from what they are expected to.
ement. It is important to gen- HOW. needs related to the project.
erate discussion to unfold any How does the stakeholder do ​ STEP 5.
nuance or detail that might stay what she does? WORRY.
hidden or unknown. If new an- Describe how the actors carry What are stakeholders con-
Stakeholder Equalizer
swers are triggered during the out the activities listed before. cerned about? This tool is intended to make a
discussion just write them down These concerns can drive their first assessment of the actor’s
and put them on the canvas. WHY. future decisions more than behaviour with regard to the
After completing one element, Why do actors do what they do expectations; not addressing system they all make up and the

38 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 Tips
potential role they can play in serve it? Or would they be open
the future. To do that, three at- to a major change?
tributes are assessed: Influence,
Interest and Adaptability. As- STEP 4.
sessing them is not an exact sci-
ence, therefore pay attention to
Debrief
the definitions and the questions Once you have completed the Cre-
below, as a means to estimate dential Cards, spend time reflecting
where they are placed. on the outcome and the process of
filling it out. Use the following ques-
INFLUENCE tions to spark reflection.
It accounts for their ability to in-
fluence both the process and/or Did you get new and better in-
other stakeholders. The bigger sights into your stakeholders? Do • It is essential to carry out this canvas with
the ability to affect others’ per- you think you are in a better con- a collaborative approach. Try to maximize
ceptions or the process itself, the dition to predict their future stance the diversity of your team members. The
higher their relevance for the pro- about the project? Are you able higher the diversity, the higher the chances
cess is. If useful, you can break it to decide whether to invite them to come up with a closer vision to the
down into different variables. or not to the project process? Do actor’s perspective.
you think there is still something
INTEREST important left? Would you include •The team has to decide how deep and
Do stakeholders have a large or any other piece of information you broad it wants to go when answering the
small interest in the project? Are consider essential at this stage of questions. It has to be a compromise be-
they indifferent to your project? the project? tween the amount of information gathered
What is their level of engage- and the time available.
ment, involvement, closeness or Did you experience any difficulties
even commitment? while filling out the canvas? Are
any of the elements more difficult
ADAPTABILITY or easier than others? Was it easy
What is the likelihood for them to to put yourself in a stakehold-

Find out more

change their position throughout er’s shoes? Did you have different
the process? Do they have a lot points of view when it came to
of interests in the current status describing stakeholders’ perspec-
quo and will they strive to pre- tives? If so, how did you sort it out? http://www.transitions-hub.org/library

40 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Credential cards The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 5
Stakeholder
mapping
Stakeholder Analysis
Understanding relationships. Mapping out
stakeholders helps you to further determine
which stakeholders are most useful to
engage with.
 STAKEHOLDER MANAGEMENT

Stakeholder mapping

What it is stakeholders (at least most of

HOW MANY From 1 person to groups of 10 people.
them) and need to prioritise
Mapping stakeholders is a vi- whom you want engage with HOW LONG 40-180 min.
sual exercise and analysis tool. your project in a long-term
Individual stakeholders are relation as well as to decide DIFFICULTY Medium-High.
rated on two or three key at- the best level of engagement WHAT YOU GET A visual map with the differences between
tributes (eg; influence and ex- for each. Do you need to keep actors in behaviour, role and attitude to the
pertise) and then mapped onto them informed or invite them challenge, as well as the power relationships
a graph, to see differences and to take part actively in the amongst them. As a result, you can come
to find affinity groups or con- project decision board? up with different engagement strategies to
flictive relationships. apply depending on the specific stakeholder.
Depending on the stage of Why it is useful These strategies are the practical outcome
stakeholder engagement you derived from the maps.
are in, different combinations of With a simple graph you can see
WHAT YOU NEED A basic idea of the problem you face and an
attributes will be useful, yield- where stakeholders stand when
ing different answers. The most evaluated against the same key open mind to see how the context affects
commonly used criteria are In- criteria and compared to each such a problem and conversely how the
fluence, Necessity or Urgency, other. At the same time, it helps challenge affects the context.
Relevance, Interest, Attitude, you visualise the complex inter- WHAT IS NEXT After mapping out your stakeholder network
Adaptation or Resistance to play of relationships which can you may want to go deeper and perform an
Change and Expertise. derail your project. in-depth network analysis. If that is the case
then go for the Stakeholder Universe. If not,
When to use By doing that you can make you can write out your engagement strate-
better decisions about the gies and put them into practice by launching
When you have already iden- correct strategies to engage your participation process.
tified and characterised your each participant.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 43

 STAKEHOLDER MANAGEMENT

Steps
In the following sections, some the processes and their require- ADAPTATION OR RESISTANCE
of the most useful stakeholder ments time-sensitive for the TO CHANGE
maps are shown and explained. stakeholder? How adaptable or resistant is
But before getting there, a defi- ​ the stakeholder to the changes?
nition of the criteria used to build RELEVANCE What is the likelihood for them to
the maps is necessary. Combination of Influence and Ne- change their position throughout
​ cessity results in the Relevance the process? In case of lock-ins,
INFLUENCE of the s takeholder. It can give you what are the factors causing such
Ability of the actors to influ- a first approximation of those path dependence? What is their
ence, modify or drive your stakeholders to engage with. willingness and capacity to learn
initiative or other stakehold- ​ from other stakeholders?
ers. How much can they in- INTEREST
fluence other stakeholders or “How willing is the stakehold- EXPERTISE
even the process itself? Who er to engage? Do stakeholders Does the stakeholder have in-
do they influence? Investors, have a large or small interest in formation, counsel, or expertise
competitors, NGOs, consum- the project? Is their position one on the issue that could be helpful
ers, manufacturers, research- of indifference to your project? to the process? What resources
ers… What is the source of What is their level of engage- are they providing to the current
such an influence? Authority, ment, involvement, closeness system (whether it is the regime
Hierarchy, Resources, Rela- or even commitment? In this or the niche)? Money, knowledge,
tionships…? In some contexts category the expectations of the materials, products, services…?
this influence can come from stakeholders regarding the chal-
their potential to impact on lenge are included.
the current regime if adopting With a simple graph
small changes. ATTITUDE you can see where
​ “Regardless of their willing-
NECESSITY OR URGENCY ness to engage, their stance
stakeholders stand
Is this actor someone who could towards the transition pro- when evaluated
derail or delegitimise the process cess may be in favor, against against the same
if they were not included in the or indifferent. Will they key criteria and
engagement - regardless of their support the project or pro-
stance or interest in the project? gram? Will they be neutral?
compared to
What is the urgency she has for Are they expected to fight each other.
the process to be launched? Are against it?

44 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 Green skills for boosting
transition in water
management Innovator
Catalyst series. The Climate-
KIC. Valencia, 2014 (Spain).
https://goo.gl/llq0oS
 STAKEHOLDER MANAGEMENT

MAP 1. grees of relevance. Actors falling

into the red area can be consid-
Relevance Map ered as key in terms of relevance
MAPPING STAKEHOLDERS OUT and should be included in any
This is one of the simplest maps further analysis or engagement
and can be used as a starting process. Stakeholders in the
point for the map analysis. As ex- yellow area should be taken into
plained above, the relevance is a consideration and enrich the list
criteria made up of the influence of stakeholders to be included in
and necessity combination. more in-depth analysis.

Therefore, draw a quadrant us- Regarding stakeholders

ing two axis labelled “low:– –” plotted on the green area, it
to “high: ++” and add “Influence doesn’t mean you should not
to the X-axis and Necessity/Ur- include them in further anal-
gency to the Y-axis. Now start ysis or in your process, but
discussing where each stake- rather you can put them low-
holder falls in, by comparing both er down on your priority list.
attributes and then plot them out In any event, remember that
on the quadrant. throughout the project life-
time, the stakeholders’ rele-
MAPPING STAKEHOLDERS OUT vance may change, therefore
Once you have plotted the always keep them in mind.
stakeholders, you need to ana-
lyse the map. The most relevant
actors will be those closest to
Three main areas
the upper right-hand side of the can be identified,
map, holding both, a high influ- showing different
ence and high necessity. Con- degrees of
versely the lower left-hand side
shows the least relevant actors.
relevance.
Therefore, as you can see in the
picture, three main areas can be
identified, showing different de-

46 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 STAKEHOLDER MANAGEMENT

MAP 2. Relevance - matrix in differing plot size.

The more expertise an actor
Interest - Expertise has, the bigger the size of its
MAPPING STAKEHOLDERS OUT plot. Thereby you get to com-
This is a threefold criteria map pare stakeholders one to an-
and thus a bit more complicat- other using the three criteria.
ed than the Relevance Map. ​
Indeed, you will need to first ANALYSING THE MAP
complete the relevance map, Similarly to the relevance map,
so that you can classify ac- different areas can be set
tors according to it. Draw the apart giving you some insights
Relevance/Expertise/Interest in the strategy you can adopt
Matrix in which the vertical with actors falling into them.
axis accounts for the inter- With actors showing little or
est and the horizontal for no interest for the project but
the relevance. that are highly relevant for it,
you should meet their needs,
From the Relevance Map pick but no further engagement is
out actors with medium to necessary since they are not
high relevance (red and yel- interested. Conversely if an
low areas) and use them to actor shows a high interest for
map the Expertise/Relevance the project, despite his low rel-
matrix. Actors falling into the evance, you should think about
green area, shouldn’t be ruled engaging them. This engage-
out of the process, but includ- ment becomes mandatory
ed in further analysis to make when they are also relevant.
a decision about their engage- This combination of high in-
ment in time and the way they terest and high relevance will
engage. show you the key actors you
have to engage with for the
Now, place actors according project. The fourth area is lo-
to the combination of their at- cated in the lower left-hand
tributes, as in the picture. The side of the map, where actors
expertise is included in the are located with little rele-

VISUAL TOOLBOX FOR SYSTEM INNOVATION 47

 STAKEHOLDER MANAGEMENT

vance and interest. Of course a conflict with some key ac-

you don’t have to forget them, tor. At the same time we could
but they are not as important identify a stakeholder acting
as the others. as a link between two clusters
which would turn him into a key
Above this first analysis, you stakeholder for the process, re-
have to assess the influence gardless of his relevance, inter-
of the expertise in it. General- est or even expertise.
ly speaking, actors with high
expertise should be engaged Another approach is to dif-
in the process as long as their ferentiate actors considering
relevance is medium to high or their attitude to the project.
their interest is high, despite This new layer of information
the relevance. In other cases, can help to understand some
informing them or communi- of the conflicts, or the crea-
cating with them is enough. If tion of clusters of interest. In
the information taps into their any event it will enrich the map
interest, they might ask to join with valuable information for
the process. the phase of strategy design.

​GOING DEEPER Generally speaking,
Regardless of the different actors with high
areas of influence, clusters of
interest and conflicts can be
expertise should
depicted on the matrix. Gath- be engaged in the
ering information from the process as long
stakeholders on the map you as their relevance
can identify those relations
that are more evident or rel-
is medium to
evant and draw them on the high or their
map as well. By doing that, you interest is high,
can see if it is worth engaging despite having low
an actor with no relevance or
interest, but with expertise and
relevance.

48 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Green skills for boosting
transition in water
management Innovator
Catalyst series. The Climate-
KIC. Valencia, 2014 (Spain).
https://goo.gl/llq0oS
 STAKEHOLDER MANAGEMENT

MAP 3. Relevance - and yellow areas) and use must be flexible enough to

Adaptation them to map out the cur- naturally factor in these Actors with high relevance
rent matrix. changes. and adaptation are critical.
MAPPING STAKEHOLDERS OUT Finally, the fewest problems
The Influence/Adaptation ANALYSING THE MAP will come from stakehold-
On the one hand they
Map helps you to foresee Four different and relevant ar- ers with low relevance and account for the most
the likelihood of chang- eas to make further decisions low probability of change. riskiest situations due to
ing opinions and stances about the stakeholders’ en- The strategy will be just to their relevance, but also
amongst different stake- gagement, can be identified on keep an eye on them to be
holders and to estimate the the map. sure they remain the same in
for the most important
potential impact that such terms of relevance and/or ad- sources of opportunities.
a change could cause on Actors with high relevance aptability.
the process. By doing that, and adaptation are critical. On
managers will get an idea the one hand they account for
of potential conflicts in the the most riskiest situations
future, due to changes in due to their relevance, but also
stakeholders. for the most important sourc-
es of opportunities.
Draw the matrix in which
the vertical a xis accounts Actors highly relevant but
for Adaptation (remember, barely adaptable, (high resist-
the complete description ance to change), have a very
of this attribute compris- predictable behaviour. There-
es not only how open to fore, once the first assessment
change the actor is, but the is done, we can be pretty sure
causes underlying potential that the selected strategy will
lock-ins). The horizontal be the same over the process.
a xis represents the level of
Relevance according to the Actors with high odds of
previous step and maps. changing are utterly unpre-
dictable. However, in the
From the Relevance Matrix, case of little relevance they
pick out actors with medi- are pretty manageable. That
um to high relevance (red means that the project team

50 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 STAKEHOLDER MANAGEMENT

MAP 4. Interest - Influ- tion, then plot them on the ellipsis those actors with a still not included in the map
shared area for the red and medium or high degree for and plot if necessary. For
ence - Adaptation blue ellipsis (3) Conversely, if the three attributes. that, apply the same reason-
MAPPING STAKEHOLDERS OUT the stakeholder has a medi- ing as before. The last step is
This last map is based on the um or high adaptation and a Once you have finished this to check if there are still some
Venn diagram of Mitchell, et al. low interest, plot them in the step you can move to the actors with medium or high
(1997) and substitutes Inter- shared area for red and yel- adaptation. In this case just interest out of the map and
est and Adaptation for Urgen- low ellipsis. (4) Finally plot in check if there is a stakehold- include them, following the
cy and Legitimacy, to better the area shared by the three er with medium or high power same process.
fit to the system innovation
approach. Therefore, drawing
the three ellipsis for each of
them is accounting for Influ-
ence, Interest and Adaptation,
respectively.

Let’s say you start with In-

fluence. Pick out stakehold-
ers with a high or medium
level of interest in the pro-
ject. Now plot them on the
red ellipsis with the following
criteria: (1) If the stakeholder
has a low interest and a low
adaptation, then plot them
in any region of the red ellip-
sis except those shared with
the blue or yellow figures.
Please notice that there is
no difference between high
or medium influence within
this area. (2) If the stake-
holder has a medium or high
interest and a low adapta-

VISUAL TOOLBOX FOR SYSTEM INNOVATION 10

51
 STAKEHOLDER MANAGEMENT

ANALYSING THE MAP case, due to their interest, it tant as the others, but their ping them out. Therefore,
By overlapping the stakehold- is probable they will actively stance might change at any try to do it, even if you don’t
ers who present medium or back your project, or the op- moment have the perfect strategy
high degrees of each attribute, posite. On account of that, and right now.
you will be able to identify the the possibility for their opinion AFTER MAPPING STEP. LAYING
predominant roles for each to change, it is crucial to take OUT STRATEGIES First of all, summarize the out-
one of them, which in return, care of them. The natural step after map- comes of your maps by includ-
will allow you to define and ping out the stakeholders is ing them in a table with the
adopt an appropriate strat- Finally, stakeholders with only to come up with an engage- attribute assessment for each
egy. (1) First you can identify one of the criteria falling in the ment strategy for each of stakeholder (low-medium-high
your agents of change in those mid or high part of the scale, them. Of course, this is the level of…). Then, write down the
with a medium or high degree (5,6,7) should be considered most difficult step, but also strategy you drew from each
of the three key criteria. You as latent. At this precise mo- the most valuable and the map according to the stake-
should definitely engage them ment they are not as impor- underlying reason for map- holder’s position on the map
from the very beginning.

(2) Stakeholders with influ-

ence and interest can act as
innovation brokers, a kind of
ambassadors for your inno-
vation. Again, try to engage
them right now. (3) Gatekeep-
ers are those actors with high
influence and high probabili-
ties of changing their stanc-
es. They can move from be-
ing in favour to being against
the project, therefore keep
an eye on them. (4) The risky
agents, those who might act
as stoppers or pushers, are
those who have medium/high
interest and medium/high
probabilities to change. In this

52 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 STAKEHOLDER MANAGEMENT

Tips
(Key actor, meet their needs, strategies that should be applied
keep them informed...). to each stakeholder.
Now it is time for filling in infor-
mation about the stakeholders FINAL STEP.
that you consider important but
is not reflected on the maps.
Debrief
Think about any particular cir- After completing the tool, spend
cumstance that might make some time reflecting on the out-
their future involvement dif- come and the process.
ficult. For instance, you might
have found out that you do not Do you feel you culminated with a
know enough yet about specific good prioritization of your stake-
actors that you have identified. holders? Were you able to set out
This could, for example, result different engagement strategies • Remember that stakeholder status can
in efforts to learn more about based on the maps? If you did change during the course of a project; your
these actors and use a cautious more than one map, what did you analysis and prioritisation should be regularly
strategy with them. Write down find the most useful? And the updated.
this new data in the ‘observa- most difficult? Did you find any
tions’ cells contradictions between maps? If • Mapping actors doesn’t use accurate scales
so, how did you solve them? Do for estimating the value of each criterion.
Once the main features have been you think the outcome is worth Therefore, avoid being dragged into endless
discovered and summarised, dis- the time you spent mapping the discussions about the exact position of each
cuss the best strategy or set of actors out? stakeholder on the map. The big picture you
obtain and the relative positions between
ACTOR 1 ACTOR 2... ACTOR n
actors are more relevant than the exact
Influence I I I
RELEVANCE location of each one.
Interest I I I
Contribution I I I
EXPERTISE
Legitimacy I I I
Attitude I I I

Find out more

Adaptation I I I
MAP 1 I I I
MAP ANALYSYS
MAP 2 I I I

OBSERVATIONS MAP 3 I I I
http://www.transitions-hub.org/library

VISUAL TOOLBOX FOR SYSTEM INNOVATION 53

Tool 6
Stakeholder
universe
Stakeholder Analysis
Understanding relationships. Stakeholder universe
is a static depiction of the stakeholders and the
dynamics of relations amongst them, as well as
how they relate to the project/challenge.
 STAKEHOLDER MANAGEMENT

Stakeholder universe

What it is process every now and then

and whenever you know the
Stakeholder universe is a quick current situation has varied.
visual network analysis tool in HOW MANY From 1 person to groups of 7 people.
which your challenge is in the Why it is useful HOW LONG 60-90 min.
very core of where the stake-
holders revolve. The focus is on From a systemic approach, DIFFICULTY Medium-High.
the connections among actors the most important step when
WHAT YOU GET A comprehensive and visual depiction of stake-
and how these connections studying stakeholders is to
holder network built according to their stance on
work and might evolve; affect- map out the relations among
the project and the relationships between actors.
ing the system innovation you them, and analyse the net-
Thereby you get a formidable insight into the net-
are planning. work they form. Stakeholders
work performance now and over time, identifying
surrounding your project are
patterns of connection and resources flows.
When to use not a collection of individuals
with standalone behaviors, WHAT YOU NEED You should carry out a network analysis after
Whenever you have a collec- resources and capacities to having identified and characterised your stake-
tion of stakeholders somehow influence the project. Rather, holder environment. You will need to gather
related to your project, you they are a functional system information about how they relate to each other
should carry out an analysis in which emergent behaviours and how fluxes or resources, ideas or anything
of such a network to under- not previously expected or pertinent work.
stand how it works and how foreseen from an individual- WHAT IS NEXT After completing the Stakeholder universe you
it can influence the process istic perspective, can surface.
are ready to go for the stakeholder engagement
of the project. It should be Mapping out an actor network
phase by drawing up your participation plan.
done in the early stages of the can reveal potential connec-
Nevertheless you might want to go deeper in
project and after identifying tions and collaborations as
your understanding of the network performance
and characterizing your main well as patterns of connec-
and potential evolution. If that is the case you
stakeholders. As any other tion/disconnection, flows of
can opt to do a metric analysis of the network,
dynamic system, actors net- knowledge and resources
studying its connections, distribution and seg-
works evolve. Therefore, you which, in return, can be seen
mentation variables.
should repeat the building as flows of power.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 55

 STAKEHOLDER MANAGEMENT

Steps
STEP 1. STEP 2.
The canvas Mapping
​
out actors STEP 1.
Start by sketching out the After sketching the canvas, map
universe canvas. The canvas out actors according to their rel-
depicts a solar system with evance and interest to the proj-
the challenge as the main star ect as well as their adaptability
and actors as planets moving over time. The size accounts for
around the star. Draw your their relevance: the X distance
project (or challenge) as the for their affinity to the project
core of the system but not and Y positive or negative sign
necessarily at the centre of for their adaptability to chang-
it. After drawing the project es. Remember that relevance
star, trace out a vertical and a comprises more than one mere
horizontal axis, crossing each attribute and accounts for their
other through the star. The capacity to influence either the
horizontal axis accounts for process or other actors, their ur-
the interest or affinity for the gency or necessity and any other
project. The closer to the proj- particular attribute linked to the
ect a stakeholder is depicted challenge. According to these STEP 2.
the higher his affinity to the attributes, decide the size of the
project is. The vertical axis rep- actor’s planet.
resents the likelihood of an ac- ​
tor to change her mind regard- While positioning the stake-
ing the challenge throughout holders, bear in mind to place
the process. Actors above the closer those actors with stron-
horizontal axis will be inclined ger and closer relationships.
to move their own stances. Perhaps they usually work to-
Accordingly, actors placed un- gether, or one is a supplier or
derneath the X-axis are not ex- a distributor of the other, etc.
pected to change their minds. Additionally, increase the dis-
Then you can add some orbits tance between them as their
around the star and the canvas actual collaboration or rela-
will be finished. tionships decrease.

56 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 STAKEHOLDER MANAGEMENT

STEP 3. thicknesses to differentiate the

type of exchange (big/small, unidi-
Connections rectional/ bidirectional…) STEP 3.
Once stakeholders are mapped ​
out, it is time for depicting rela- Some of the questions you might
tionships between stakeholders. want to answer by means of the
Draw lines linking those actors network are: Who shares ideas/
with any kind of connection. resources with whom?; Who
These relations are usually bidi- tries/is good at solving prob-
rectional, that is the stream of in- lems?; Who has the connections
formation, resources or anything or the expertise; Who is looking
relevant, flows in both directions, for access to expertise?; Who
although it might occurs in an has collaborative capacity?; What
asymmetric way. That is, the rate is the ease of knowledge flow?;
of information exchange it is not What is the decision-making and
the same in both directions. Ac- task flow?; Who holds the Inno-
tually in some cases the flow of vation potential?; etc.
resources or information can flow ​
only in one specific direction. ​ STEP 4. STEP 4.
The first time you map out the net-
Clusters
​
work you should depict any kind Spot potential clusters of interest.
of relationship without differenc- Beyond the relationships them-
es, depending on the type of flow selves, identifying clusters of in-
(what flows and how). For the fol- terest results in a crucial point to
lowing analysis you may want to envisage future alliances and be-
be more specific and include more haviours. This is one of the emer-
information in the network. For in- gent behaviours you can expect
stance, you might want to sketch from a network. Clusters of inter-
out the fluxes of resources (money est can turn out as a super-pow-
or others). If that were the case, erful actor of large relevance and
you would connect stakeholders subsequent capacity to affect the
with some exchange of such re- rest of the network and the prog-
sources using arrows and different ress of the innovation process.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 57

 STAKEHOLDER MANAGEMENT

STEP 5. Analysis of make them explicit in the net-

work by drawing their limits. Use
the network post-its to label them and de-
The goal of this tool is not the scribe their main features.
depiction of the network itself,
but rather its interpretation Now pay attention to the posi-
and the conclusions that can be tion of each stakeholder in the
drawn. The shape of the net- network so as to understand
work and the configuration of their role in how the network
stakeholders provide lots of functions and how the resourc-
information about future roles, es flow. Actors linking different
behaviours, etc. clusters, play a key role as bro-
kers and have the capacity to
First, look at the whole net- boost collaborations. Similarly,
work and its components. Look actors linking the network with
for patterns such as clusters or an isolated cluster or another
hubs. Look at the density of in- part of the network by them-
teraction, the average degree selves are actually gatekeep-
of separation within groups and ers and might spoil any further
the cross-group connectivity. collaboration. Going a little bit
Highly connected networks usu- deeper, look at the picture and
ally tend to perform better than notice how important the di-
those with loose connections. versity of connections is when
The analysis of the structure is it comes to accessing others’
good for group comparison with- ideas or resources. That means,
in the network and for tracking stakeholders with the most
changes in a network over time. connections are not necessar-
The structure reflects how the ily the most influential. Anoth-
network performs, which re- er important role is how those
veals how the connections work stakeholders connect the net-
and evolve. work with nearby actors, since
they can draw new ideas and
Try to identify these patterns (or resources to the network. Now,
any other) in your network and look at the stakeholder labelled

58 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Stakeholder management
workshop. Innovation
Building Block series. The
Climate-KIC. Frankfurt,
2015 (Germany).
http://goo.gl/MTSuTW
 STAKEHOLDER MANAGEMENT

Stakeholder management
workshop. Innovation Building
Block series. The Climate-KIC.
Frankfurt,
102015 (Germany). VISUAL TOOLBOX FOR SYSTEM INNOVATION
http://goo.gl/MTSuTW
 STAKEHOLDER MANAGEMENT

Tips
as “critical hub”. This stakehold- Did you find  any clear pat-
er is at the centre of a star acting terns in the structure of the
as the only connection between network? If so, what is the
the network and many lonely explanation in terms of re-
stakeholders. This is a typical lations between actors?
shape you come across in many How can they affect the per-
networks. If this actor fails, an formance of the network?
important part and resource Did you find  any critical and
chain of the network might fall unexpected stakehold-
apart. Hence the importance of ers or critical links?
spotting these nodes as soon as ​
possible and coming up with an Did you try to map out a top-
appropriate strategy. ic-oriented network in which
links accounts for specific • Try building different resource-oriented
Again, use a post-it to name the resources? Did you find dif- networks for the same ecosystem of actors
actors and describe their role. ferences between different and see the differences in terms of struc-
If you have sketched out spe- networks? How difficult was ture and the role played by the stakehold-
cific connections, for instance, it to build up and analyse the ers. Chances are that you find significant
the flow of knowledge, then be network? differences, and hidden key stakeholders
more specific when describing can emerge.
stakeholders’ roles. Example:
The university of Carleton is the The goal of this • Bear in mind that the quantity of connections is usually less im-
only provider of a new technolo- tool is not the portant than the quality of those connections. The diversity and the
gy needed to turn biomass into depiction of the exclusivity of the links count much more.
diesel.
network itself, • Stakeholders networks are living, breathing entities, therefore
STEP 6. but rather its remember to build up your network once in a while. Then keep track

Debrief interpretation of the changes and adapt your strategy accordingly.

and the
When the network is finished,

Find out more

reflect on the new insights
conclusions that
gained through the analysis can be drawn.
of the network and the par-
ticularities of the process. http://www.transitions-hub.org/library

VISUAL TOOLBOX FOR SYSTEM INNOVATION 61

 2
Multi-level
perspective
A Multi-level perspective helps you to
look at and gain insights into the context
of an innovation project or system. It can
give you a better understanding of the
relationships between the project and any
other factor or element surrounding it.
 MULTI-LEVEL PERSPECTIVE

Multi-level perspective

Green skills for boosting

transition in water
management Innovator
Catalyst series.
The Climate- KIC.
Valencia, 2014 (Spain).
https://goo.gl/llq0oS
The Multi-level perspective (MLP) is an analytical ap-
proach to describe processes of innovation and tran-
sitions in socio-technical systems. It can be used to
better understand the relevant context of system in-
novation projects.
To describe socio-technical sys- Regimes represent the current
tems and how transforma- socio-economic systems, made
tive change takes place, the MLP up of social, technical, political
breaks down the system into and financial components. The
three levels: macro (landscape), co-evolution of the regime re-
meso (regimes) and micro sults in the current status quo.
(niches of innovation). The in- This evolution is affected by
terplay between them, and feedback loops coming from the
within them, trigger non-linear macro-level (exogenous forces)
changes in the systems. As a and grassroots innovation (mi-
consequence of these chang- cro-level), resulting in different
es; the transition happens. trajectories for change.

Components of a sociotechnical system:

• Landscape (macro-level)
• Regimes (meso-level)
• Niches (micro-level)
• Feedback loops between all levels

64 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction MULTI-LEVEL PERSPECTIVE

Macro-level: Landscapes. Exogenous, auton-

omous, long-term trends and crises (demo-
graphic, environmental, macro-economic,
macro-political, …)

Meso-level: Regimes. Established, main-

stream practices, structures and culture (rules
and regulation, infrastructure, economic
structures, technological lock-ins, incumbent
stakeholders, behaviour, ...)

Micro-level: Niches. The ‘incubation rooms’

for radical innovations, shielding them from
the mainstream. Niches could take the form of
innovation projects or experiments in small-
scale ‘places’ that are deviant from business Figure: Multiple levels as a nested hierarchy. Adapted from
as usual... Rip and Kemp, 1998 and Geels, 2002.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 65

 MULTI-LEVEL PERSPECTIVE introduction

Landscape developments cannot directly be in-

fluenced. A way of dealing with them is to relate
to them by using parameters within the system
that can be influenced (directly or indirectly). For
example, we can fight climate change (primary
objective) via changing the energy system or
Macro-level. Landscape transport system. These measures also have
direct effects not linked to climate change
Landscape can be seen as a source of drivers for (additional benefits that come on the way to the
transformative change in the long term. main objective):
It depicts exogenous, long- • Factors that do not change or
Policies to reduce air pollution in cities, increas-
term and autonomous trends change slowly, such as the climate.
ing life quality and reducing hospital bills. Elec-
and major crises. At the
tric transport initiatives could be related to that,
same time, some of them • Long-term developments:
and are ‘sold’ to the public as noise reduction/
can be a consequence of the industrialisation, urbanisation,
cost savings (daily life benefit for individuals),
long-term society behaviour demography, macro-economy,
but it is a milestone on the way to your big
(i.e. demography). Landscape climate change, geopolitics,
target: fight global warming.
developments are sources raw material stocks…
of pressure for change onto
Zero energy houses: in the end, owners/
regimes and may end up as • Rapid and unexpected events
renters save money. In times of financial
drivers for a major change. / shocks such as a tsunami or
crisis this is a compelling additional benefit
It represents a set of guiding an earthquake.
that ultimately is a key step to main goal of
principles to action.
fighting climate change.
Four sources of pressure • Overarching world views, val-
stand out: ues and paradigms.

66 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction MULTI-LEVEL PERSPECTIVE

Meso-level. Regime
Regimes account for the current status quo, the
social and economic system we perceive, and lead to
self-stabilisation and optimisation.
Regimes are made up of cur- All of these components have
rent stakeholders, who hold co-evolved for years in an in-
a certain position or have cremental and steady way. As a
power and interests in main- consequence, the system usu-
taining the status quo, the ally tends to self-stabilise and
mainstream technology and some dimensions can act as ac-
knowledge. It is the way the tual barriers against novelty and
Socio-technical regimes are multi-dimensional.
stakeholders organize, the way radical innovation.
Depending on the sector, the number and type
they use resources, technology
of dimensions can vary:
and knowledge and shape the Different regimes co-exist at
current system in which we the same time, interacting with
• Industry structures.
are embedded. As a result, the each other and with a similar
• Knowledge.
system is organized around context at the macro-level. For
• Institutions, regulations.
different dimensions such as example: the mobility system,
• Mainstream technology and infrastructures.
regulations, institutions (po- energy system, building sys-
• Actor configuration.
litical, financial, social…), user tem and healthcare system all
• Cultural values.
behaviours and cultural values have to deal with demograph-
• Markets and dominant user practices.
(i.e. the way we perceive and ic developments and trends
value cars). like urbanisation.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 67

 MULTI-LEVEL PERSPECTIVE introduction

Niches of innovation
At the micro-level, experiments and innovation
projects takes place. It is the level of grassroots
innovation and bottom-up initiatives, as well as the
origin of radical changes and alternatives for the
dominant system.
Niches can be understood as in rural areas, consumers as
partly-protected spaces where energy producers, low-carbon
radical innovation can take lifestyles, boom in vintage/sec-
place with exemptions from the ond hand products, free cycling,
regular market rules, regula- car-sharing…
tions and other pressures com-
ing from regime dimensions. However, to break through the
regime, Niches have imped-
Universities, R&D departments iments. Niches, by definition
and the military are typical are outliers, they do not have
niches of innovation, but they popular acceptance. They have
can flourish anywhere. Some of low levels of organization and
the sectors in which radical in- have weak/narrow networks.
novation may happen are social Nascent niches are not very
and economic systems. New stable and lack the power to
ways of consumption are be- influence fundamental changes
ing promoted from civil society at the meso-level. Many niches
An inventory of related innovation projects is useful organizations/NGOs, etc and may be a a concerted effort/
as you can learn a lot from ‘fellow’ innovators, e.g. are gaining momentum in the retaliation against regime bar-
about regime barriers, such as cultural barriers, mainstream at local or regional riers: punk, hippy communes,
routines, innovative approaches and so on. Fellow level. At the same time, exper- tattoos, private liberal/religious
innovators may also become fellow-lobbyers and iments for micro-financing and schools, etc. that may one day
activists for regime change. new business models are sur- become mainstream as in the
facing worldwide: PV systems case of hippies and punks.

68 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction MULTI-LEVEL PERSPECTIVE

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

2
Multi-level
perspective
Tool 7
The context map

Tool 8
Trajectories of change

Tool 9
Flourishing multi-level

Tool 10
Fishing for barriers

7
Tool 7
The context map
Systemic perspective
A project is not an island in an ocean. It exists in a
specific location with a defined environment and
within a broader system made up of stakeholders,
competitors, regulations, institutions, etc. The Context
map is a straightforward tool that helps you understand
and analyse the external macro-environment
around your project, business or challenge.
 MULTI-LEVEL PERSPECTIVE

The context map

What it is Why it is useful

The Context Map is a visual One of the most important ad-
tool for system analysis, based vantages of the Context Map is its
on the well-known technique simplicity. In contrast to the Flour-
PEST1 (Aguilar, 1967). It has ishing multi-level, you don’t need
been adapted to the system an in-depth understanding of sys-
HOW MANY From 1 person to groups of 10 people.
innovation context by increas- tem innovation or sociotechnical
ing and modifying the factors transitions. HOW LONG 40-60 min.
included in PEST and focusing
DIFFICULTY Low- Medium.
on trends as potential drivers The Context map helps you to un-
for change, in addition to the derstand how the system around WHAT YOU GET A quick, visually appealing and comprehen-
factors characterising the sys- your challenge works and conse- sive picture of the factors influencing and
tem. The tool provides a soft quently to spot opportunities or creating the system in which your project is
approach to the threefold layer significant threats for your proj- embedded.
structure that is the base for the ect. It gives you an idea about the
WHAT YOU NEED A clear idea of the socioeconomic framework
Multi-level perspective theory. current state and the direction of
that your project sits within, as well as the
change within your project envi-
environmental context.
When to use ronment. It helps you to avoid be-
ing trapped by your unconscious WHAT IS NEXT Equipped with the overall picture of the sys-
At the beginning of the proj- assumptions when you enter a tem, you may want to go for a deeper and
ect, when you need to get a new country, region, or market. more comprehensive understanding of that
quick idea about the system system by carrying out a proper Multi-Level
around the challenge and how Overall, the Context Map broad- Perspective analysis. If so, then go with the
it works. It should be done ens your scope and increases your Flourishing MLP tool. If not, you can start
before making key decisions awareness of the all-embracing planning future steps by envisioning what
about the project, in order to context, which puts you in a bet- the system may look like in 10 or 20 years’
spot threats and opportunities ter position to make better deci- time. Then you can see how to fit your inno-
that might dramatically change sions, adopt a strategy or navigate vation within the vision.
your initial plans. through the system.
PEST is an analysis tool widely used in project management to analyse the Political,
Economic, Socio-Cultural, and Technological changes in a business environment.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 71

 MULTI-LEVEL PERSPECTIVE

Steps
STEP 1. STEP 2.
The canvas The starting point
First of all, take a large piece of Before starting with the canvas,
paper and draw the canvas. As you need to define a clear state-
you see in the model, the canvas ment for your challenge. Is it an
is made up of four parts. innovation (technological, social,
economic)? Is it a project? Is it the
The main system, what you development of a new product or
might call the dominant market service? If you used the Pentago-
or status quo, takes up the cen- nal problem or any other similar
tre of the canvas, it is depicted tool you can resort to their out-
by a classical building with four comes to clearly define the chal-
columns supporting the building. lenge.
These columns stand for regula-
tions, the dominant technology, Your project is located in a specific
the network of institutions and place. Whether it is a city, a region or
the social values. even a country; environmental and
geographical conditions will have an
On both sides of this building effect on your challenge. Therefore,
there are two mega-trends also after defining your challenge, you
belonging to the status quo and should spend some time discuss- whether a concrete factor is rele- for each initiative and put them
with huge influence in its dynam- ing where the project is located and vant for your project, or not. on the canvas. While explaining
ics: social and economic (factors what the geographical and envi- them, new ideas can emerge. If
and trends). ronmental limits are. Of course, you STEP 3. Innovation so, write them down on another
may think there are no boundaries sticky note and place them on
Innovations are at the bottom for the environmental factors but
initiatives
the arrow.
of the canvas and are depicted you have to pin them down to be The large arrow pointing upwards
by the large arrow pointing up- able to keep the analysis in a clear accounts for the innovations These initiatives may come from
wards, to the dominant market. and manageable framework. in the process of breaking into an university running an exper-
Bear in mind both elements (the the market. Individually, identify iment, a start-up developing a
The last part is the environment. It challenge and the system bound- cutting-edge projects and ex- new technology, a civil orga-
occupies the upper side of the can- aries) for the rest of the steps, they periments with the potential for nization developing new ways
vas and is represented by a big cloud. will serve as a criterion to decide breakthroughs. Use one post-it for collaborative consumption,

72 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 Train the Trainers event.
Boosting sustainable economy in Rural areas. Innovator Catalyst
Training coaches for the
series. The Climate KIC. Budapest, 2015 (Hungary).
Pioneers into Practice
programme. Utrecht,
2015 (The Netherlands)
 MULTI-LEVEL PERSPECTIVE

from a large company R&D de- trend in market consumption mance, including trading, tech- way that affects how the system
partment, etc. These projects (green consumers), a new trend nological norms, competition, as a whole works. That means you
should be relevant for your own for a greener policies including environmental, etc. Newcomers should fit within this institutional
project, perhaps potential allies new regulations, etc. and new innovations might not interplay or be able to change it, if
or competitors. Bear in mind that fit within the current regulation you want your innovation to break
by monitoring new technologies Let’s start with the building and framework, which means that into the market. Therefore, try
and innovations, you will be able identifying elements for the four rules would be acting as barri- to identify those institutions, big
to capitalise more on changes. columns: Technology, Regula- ers for those innovations. If that players, as well as any explicit or
tions, User values and Institu- is the case, you may need a kind implicit cluster characterising the
Your project is likely to be one of tions. Work individually for 10 of protection or lobby for your system and potentially affecting
these innovations. If that is the minutes identifying as many ele- innovation to succeed. At the your innovation.
case place a post-it with it on the ments as you can and then start same time, some regulations or
tip of the arrow. a group discussion as you put recent changes might be oppor-
your ideas on the canvas. tunities for your project. Identify
The effects of the
The next step is to characterise ​ those regulatory factors relevant
the status quo. That is the cur- TECHNOLOGY. for your innovation whether they environmental factors
rent social and economic sys- Technology accounts for those are considered as barriers or op- and trends on the status
tem, dominated by mainstream factors and events that char- portunities. quo, may act as barriers
acterise the technological land- ​
technologies, established insti- or drivers for change and
tutions, rules and regulations, scape in your system or status USER VALUES.
powerful players, etc. At the quo. Technology is constantly The range of social values pro- more specifically for your
same time, there are socio-eco- evolving and it is essential to vide the basis for what is right innovation project.
nomic mega-trends within the have an up to date picture of and what is not, shaping busi-
system. All of these components it. Think of dominant technol- ness behaviour. These values
relate to each other, combining ogies you need to compete for encompass, among others, cul-
to create the dynamic system the same space in the market/ tural understanding of different STEP 4. Economic and
we call status quo. This dynam- society. At the same time, think technologies, and even the social
ic evolution tends to stay in the of those trends and established ethical framework, which can be
social trends
same direction, keeping new in- innovations that can pose new determining for your innovation Social/financial factors and
novations out of the system and opportunities. to be adopted. trends are two of the most
acting as real barriers for innova- ​ powerful elements within the
tion. However, some elements REGULATIONS. INSTITUTIONS. status quo. They both per-
might act as drivers for change Current regulations establish the The current and relevant players vade the other components
and innovation. Think of a new rules for the status quo perfor- in your system are organised in a of the system becoming key

74 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 MULTI-LEVEL PERSPECTIVE

drivers for its dynamics. In STEP 5. STEP 6. dent strategies to get around the
this step you are to work on barriers and harness the poten-
them, identifying as many
The environment Debrief tial opportunities? Is the environ-
relevant factors as possible All businesses impact their en- After filling out the canvas re- ment a constraint or a driver for
for your project. vironment and are impacted by flect on the big picture that has your project? Have you identified
it. The impacts coming from the arisen and try to come up with the big players and organisations
ECONOMIC environment are linked to the the main drivers and barriers you will have to compete with?
Factors such as access to geographical context. There- for your project innovation, cor- Do you think society is ready for
credit, inflation rates, con- fore, start by identifying the responding to the system fea- the change you propose with
sumer confidence, econom- environmental factors on your tures you identified. your innovation? Why?
ic growth, etc. can make a innovation or on the status quo. ​
big difference in the way a These factors may act as bar- Which status quo factors are af- These are some of the questions
system works and how your riers or drivers for change and fecting your innovation the most? that can guide you to start re-
project can fit within such a more specifically for your inno- In which way? Can you see evi- flection and closure discussions.
system. Business models, in- vation project. For instance, a
cluding those new approach- water scarcity might be a great
es emerging in the market, opportunity for your innovation
can also be relevant for the to enter the market, or climate
future of your innovation. change might deplete the per-
​ formance of your innovation
SOCIAL because of heat waves or oth-
The second mega-trend is made er force majeure/natural disas-
up of the social and cultural con- ters/ large unforeseen societal
ditions which take place in the changes. Conversely, identify
dominant market. Customer how your innovation may im-
habits and assumptions can keep pact the environment either
your innovation off the market for negatively or positively. Again,
years. For this tool you don’t need these effects could work in fa-
to conduct a market research vour of your innovation (your
study, but pay attention to those innovation could reduce the

Find out more

factors that can impact your negative effects on the envi-
project opportunities: social per- ronment compared to the dom-
ception of technologies, lifestyle inant technology) or as barrier
trends, consumer habits, etc. to it. http://www.transitions-hub.org/library

VISUAL TOOLBOX FOR SYSTEM INNOVATION 75

http://www.transitions-hub.org/library
Screenshot from online materials. System innovation and Climate
Change eModule. Climate-KIC, 2016.
The context map The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 8
Trajectories
of change
Multi-level perspective
Trajectories of change looks at how a system
evolves and where innovation comes from. It
can help you to understand sources of resistance
and resilience to changes in your system and the
diversity of alternatives co-evolving at the same
time in different trajectories.
 MULTI-LEVEL PERSPECTIVE

Trajectories of change

What it is Why it is useful

Trajectories of change is a vi- By depicting a time line of
sual tool to depict how the changes happening in the
system, or meso-level in which three levels across time, you
your challenge is embedded will gain insight into the dy-
in, has evolved over time. This namics of your system. You
system evolves and changes will learn the type of factors HOW MANY From 1 person to groups of 10 people.
as a consequence of incremen- that traditionally have lead the
HOW LONG 60-120 min. Depending on how deep and far
tal innovations and the effects system to change and how it
you go with data collection and analysis.
coming from the other two reacts to that change:
levels, macro and micro. In this DIFFICULTY Medium-High.
sense, Trajectories of change · Where the roots for innova-
WHAT YOU GET A comprehensive and visual depiction of the
focuses on the horizontal evo- tion came from.
main systemic components of your problem.
lution (temporal) of the system
as a consequence of vertical re- · The resistance and resilience WHAT YOU NEED You need a clear picture of the system in
lationships between levels and of your system against the which your challenge is embedded, as well
within them. transformative change. as significant sources of information to dig
deeper into the past and see how and why
solutions changed over time.
When to use · The diversity of alternatives
co-evolving at the same time WHAT IS NEXT Once you get the pathway that led your
Whenever you need to know and in different trajectories. system to the current status quo, you may
analyse the evolution of the sys- With this new knowledge you want to break down such a status quo into
tem over time, and the factors will be better prepared to its different constituents. It will give you an
underlying such an evolution, in come up with a strategy for accurate and fixed picture of the current sys-
order to better understand the your own innovation to elicit tem. You can go for either the Context map
current dominant solutions that a transformative change in or the Flourishing multi-level canvas.
you probably want to change. the system.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 79

 MULTI-LEVEL PERSPECTIVE

Steps
STEP 1. mobility with solutions and ap-
proaches miles apart from those
Drawing the canvas 40 years ago.
Take a large piece of paper and ​
sketch out a large version of the Once you have singled out the
canvas. The big arrow depicts the specific topic and system, go
evolution of the whole system backwards and pick out a date
including the three levels (mac- in the past. If possible a relevant
ro/meso/micro), encompassing date, maybe because a major
changes happened and relations change came about then, maybe
or feedback loops between levels. because you have enough data,
etc. This relevant date in the past,
STEP 2. along with the system in which
your challenge is embedded, will
The starting point make up your starting point.
Before starting with the ele-
ments of the canvas it is essential STEP 3. Identifying
to have a clear idea about what
your challenge is about and the
novelties and changes
system in which it is embedded. From that date in the past, start the standard regulations of the gime) over time. These changes
Is it about food, energy, building, moving forward to the present market. At this step, don’t pay form the dominant solution at
water, mobility…? Whatever it is, moment and identify any of the any heed to the effect that those any moment of the temporal se-
make it as specific as possible following events: innovations have been caused quence. Indeed, the sequence of
before starting on the canvas. For on the meso-level. You might changes will define the dominant
example, if the challenge is mo- 1. Any novelty, breakthrough even identify innovations that trajectory as time passes by. The
bility, specify if it is about mobility and experiment at the mi- didn’t cause any impact on the rate of these changes is usually
in cities or at a different scale. You cro-level, that was significant for meso-level in the long run. In incremental, yet every now and
need to provide enough context the system at a certain moment. either case, you will go through then a breakthrough can appear,
to the challenge and the system They could be a technological in- cause-effect relations in the causing a complete transforma-
because it has probably changed novation, new financial arrange- next step. tion of the system. Chances are,
so much over decades that now it ments, different social organisa- that you are thinking of techno-
would hardly be recognizable. For tions, new business models, etc. 2. Any relevant change in the logical innovations that changed
instance, mobility in cities might Remember that the micro-level system (the meso-level, the the system to a certain extent,
have morphed into sustainable is somehow protected from current market/society, the re- but don’t forget that changes

80 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 MULTI-LEVEL PERSPECTIVE

can also be on infrastructures, spend time discussing the rele- • By the same token, innova- vations breaking into the me-
knowledge, industrial capacity, vance of some events to decide tions in the micro-level can so-level and influencing new
regulations and policy, etc. For whether include it or not. How- evolve or feed into each other changes?
instance, the Kyoto Protocol is ever you can leave this discus- (yellow arrows in the figure)
a regulatory change affecting sion for the next step in which and occasionally scale-up to • In return, long-term devel-
many different regimes (energy, the connections will come to the meso-level triggering a opments in the macro-level
mobility…). You can use the list light and you will be able to de- change (red arrows from mi- can pressure the meso-level
of regime domains as guidance cide which events to rule out. cro to meso-level). Some of or even the micro-level bring-
to identify the relevant changes the questions you may ask ing about significant chang-
that occurred in your system. STEP 4. Identifying re- are: Are some experiments es (red arrows from macro
related? Did one of them build to meso and micro-level).
3. Events related to long-term
lations and trajectories on another? Did they learn It is noticeable that some-
developments or a crisis at After identifying the events, from each other? Did some times a ripple effect can be
the macro-level. They could be you need to relate them to niches develop into a net- identified. That is, pressures
an event related to the social each other, as if it were the work? Are some niche inno- coming from the macro-lev-
awareness and mental frame- game “joining the dots”, draw
work, an unexpected event an arrow linking those events
such as an economic crisis, etc. that are related to each other.
Just bear in mind that the event Bear in mind that these rela-
must be relevant to your chal- tions can be within the same
lenge and system. Beyond the level and between levels:
overused example of climate
change, the first Iraq War ac- • Changes in the meso-level
celerated the development of can happen as a consequence
GPS technology. Initially de- of incremental innovation
signed for military use, it ended within the system (green ar-
up pervading the civil society rows in the figure), these can
and significantly changed the be a result of an innovation
navigation solutions in the mo- or breakthrough coming from
bility system. the micro-level (in read ar-
As you identify any event, write rows going up from the niches
it down on a post-it note and try to the system) or as a conse-
to put it on the canvas according quence of pressures coming
to the timeline. You may want to from the macro-level.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 81

 MULTI-LEVEL PERSPECTIVE

el can cause some changes

in the meso-level that open
a window of opportunity for
innovations to jump from mi-
cro-level to meso-level.

• Although influences between

developments within the mac- - Different solutions (trajectory) co- - Bifurcation: For the same reasons, - Similarly, sometimes in the regime a
ro-level or from the micro or existing in the system (meso-level) some points show bifurcations, put- trajectory dies at a certain point. Imag-
meso-level to that macro-level at the same time. For instance, steam ting on the table different and alterna- ine two alternative solutions coexisting
also exist, it is more difficult to cars, electric cars and gas cars were tive solutions that emerged at some in the market. At a certain moment, a
developed at the same time and those shared starting point. new novelty can provoke the one of
pin them down at any specific these solutions to take advantage of
three were in the market simultane-
moment. Rather, they are usu- ously for a time. it, adapt and evolve; while the other is
ally a consequence of accumu- not able to adapt. The first solution will
lative effects. However, if you probably take over the market and the
feel that some of these rela- second will end up disappearing.
tions can be clearly spotted,
just do it.

• Underscore milestones,
junction/splitting (bifurca-
tion) points, moments in which
niche-innovations radical-
ly changed the system. Your
whole system will be defined
by the collection of changes and
relationships. Both are respon-
sible for analysing the current - Changes of direction: As a con- - An experiment or innovation can- - Sometimes loops and bidirectional
status quo and identifying the sequence of an innovation (usually not always break into the meso-lev- relations can appear. For instance, the
possibilities of transformative coming from niche) the meso-level el and cause a change. Sometimes climate change caused governments
change for your challenge. changes direction; addressing new the innovation is abandoned or ends to sign the Kyoto protocol which, in
solutions, structures, etc. up evolving or feeding another inno- return, caused changes in regulations
vation. opening a window of opportunity for
• Notice that you can come across new technologies, which forced more
some of the following trajectories: changes in the system, etc.

82 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 Boosting sustainable
economy in rural areas.
Innovator Catalyst
series. The Climate-
KIC. Budapest, 2015
(Hungary).
http://goo.gl/iufdY4
 MULTI-LEVEL PERSPECTIVE

Tips
STEP 5. tunity’ for experiments and
niche innovations?
Debrief
Based on the outcomes, re- What type of pressure or
flect on the changes so far in radical innovation would
your system and how exper- need to occur for a transfor-
iments or niche innovations mative change to happen?
have been able (or not) to af- If you have an innovation
fect the current status quo. (whether it is technological,
economic or social), what
What changes have driven strategies could you use to
the evolution of your system take advantage of potential
so far? Technological, finan- windows of opportunity?
cial, social…? • Use different coloured post-it for each of
the levels and draw arrows with different
Discuss the effect of long- colours depending on the levels they are
term pressure on the main- What changes linking. It will help to avoid getting lost in a
stream system and the oth- have driven sea of post-its and arrows.
er way around. What do you the evolution
think the effect of the me-
of your
so-level on the macro-level
has been? Do you think the system so far?
system presents resistance Technological,
to change? Does it look like financial,
it has a strong path depen-
social...? What
dence?
do you think
Have there been active and the effect of the
effective grassroots innova- meso-level on
tions in the past? What are
the macro- level

Find out more

pressures or tensions within
the regime, making the cur- has been?
rent system unstable and
creating ‘windows of oppor- http://www.transitions-hub.org/library

84 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Trajectories of change The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 9
Flourishing
multi-level
Multilevel perspective
An organic metaphor. Imagine the MLP as a
daisy competing with other seeds to flourish and
simultaneously coping with the pressure of the
climate and weather. Flourishing multi- level
gives a visual metaphor of the complex interplay
of relations between the components in the three
levels that make up a socio-technical system.
 MULTI-LEVEL PERSPECTIVE

Flourishing multi-level

What it is Why it is useful

Flourishing multi-level is a First of all, it gives you a simple HOW MANY From 1 person to groups of 10 people.
descriptive and analytical tool depiction of the highly complex
HOW LONG 90-120 min.
that provides you with a visu- and somehow counterintuitive
al metaphor featuring a com- socio-technical system made DIFFICULTY Medium-High.
bination of a static picture of up of the micro, meso and mac-
WHAT YOU GET An all-embracing and visual identification of the
the current components and ro-level.
elements that make up the complex system of
a description of the dynamics ​
three levels in which your project is embedded,
in the system that your chal- Moreover, it helps and
as well as the interplay amongst them.
lenge is embedded in. guides you in the process of
identifying  multi-level com- WHAT YOU NEED An in-depth understanding of the complex
When to use ponents, the interplay among system around your project, comprising the
them and the way they might dominant market or system, the collection of
When you need a thor- affect your challenge. On the innovation initiatives bubbling up in parallel to
WHAT IS NEXT
ough insight of the system other hand, it gives you an that system, and the main trends and pressures
which you aspire to break overall picture of the system from the overarching level.
into. This is a simple tool you making further analysis easier. With this comprehensive picture you can work
should use for a deep un- ​ on planning the future for your innovation. If so,
derstanding of current com- This tool will help you to position you can start with the visioning and backcasting
ponents of the system, how your innovation projects in the tools, before making a plan. Alternatively, you
they are interwoven and how broader context of different so- may want to go deeper in your understand-
they impact your project plan. cietal ‘layers’ that are important ing of the barriers and opportunities for your
It should always be used be- for your innovation, as well as innovation. Then you can go for the Fishing for
fore making decisions for the understanding what the different barriers tool.
future of the project. layers could mean for your case.

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 87

 MULTI-LEVEL PERSPECTIVE

Steps
STEP 1. Define your more complex the outcome. In canvas, another definition is put your focus especially on
any event you can always settle needed: yourself. Depend- that level and how it relates
system and yourself on including only one system, ing on your role and/or your to the others. Nevertheless,
Sketch out a large version of but factor in elements coming challenge, your starting point whatever your level is, it will
the canvas on a piece of pa- from the others. might be the micro-level be essential to know all the
per. The daisy accounts for the (niche) or the meso-level (re- levels and the feedback loops
meso-level with its petals (me- Before starting with the gime). It will be relevant to between them.
so-level dimensions) exposed
to the sky (macro-level) and the
roots in the soil, which accounts
for the micro-level. You can draw
six or seven petals, depending
on the number of relevant di-
mensions you have previously
identified for your system. In
any event, leave enough space
to include any other dimension
you can identify throughout the
exercise.

Once you have the canvas,
the first step is to identify the
system your project is in. It is
essential to be as specific as
possible. If your project is about
biomass energy, your system
might be the green energy in
cities. Of course your project
may touch more than one sys-
tem (forestry, land manage-
ment, city energy…). If that is
the case you can include them
all, but bear in mind that the
more systems you include the

88 TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

 MULTI-LEVEL PERSPECTIVE

STEP 2. relevant for your challenge. other elements characterising any idea at this stage of the dynam-
This is not a hypothetical ex- the meso-level, yet you don’t ics. As you put the elements on
The Meso-Level ercise but rather a description have a clear idea about their their respective petals (dimensions)
Fill out the canvas: Let’s start of your system. Try thinking influence on your project. try to form clusters of barriers and
at the meso-level, more spe- of those elements in different clusters of drivers. It will help you in
cifically, by identifying the dimensions that can be act- To take this step, spend 5 or 10 the forthcoming analysis.
relevant dimensions that ing as BARRIERS for radical minutes working individually and
characterise your dominant change (e.g.: your innovation) , writing down one element per post-
system or meso-level. You can causing lock-ins. For instance: it. Try to be as concrete as possible, Flourishing Multi-Level
use the list in the example to an existing regulation, a domi- mentioning specific institutions, gives you a simple
get some guidance to identify nant technology, a big and well regulations, describing behaviours, depiction of the highly
established competitor, etc. etc. Examples: fossil fuel infrastruc-
those dimensions or domains, complex and somehow
but bear in mind that such di- Besides that, other constitu- ture, technologies, actors, power-
mensions can and will vary in ents may act as opportunities ful energy companies, EU-energy counterintuitive socio-
your particular case. and drivers for change. Think policy, low level of awareness, etc. technical system made up
of potential partners, allied Then, as a group, discuss the ele- of the micro, meso
players, business angels, etc. ments and put as many ideas as
Then, for each dimension write and macro-level.
down the elements that are Eventually, you may identify possible on the canvas. Don’t reject

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 89

 MULTI-LEVEL PERSPECTIVE

STEP 3.
The Micro-Level
In the soil under the dai-
sy there are plenty of seeds
ready to scale up and tap into
the mainstream meso-level.
Identify and write down ex-
periments or other innovation
projects that could be import-
ant for your challenge. They
represent the OPPORTUNI-
TIES for CHANGE.

Depict potential
allied actors
or initiatives;
use arrows
to depict
the impact these
experimentsare
causing on the
meso-level, Look for experiments related periments are causing on the those experiments and initia-
according to to yours and which synergies meso-level, according to their tives that might compete with
their maturity might arise from them. maturity and momentum. yours, or even block the devel-
opment of your project.
and momentum. Depict potential allied actors Similarly to the meso-level,
or initiatives, whether they are there may be potential barriers As in the step 1, spend 5 to 10
in your same field or in anoth- or hurdles for your innovation minutes working individual-
er, but related one. Use arrows in the niches for innovation or ly and then go for a plenary or
to depict the impact these ex- micro-level. Pay attention to group round.

90 TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

 Introduction to transition
management. Short course.
The Climate-KIC. Zurich,
2015. (Switzerland). http://
goo.gl/DtLLRn
 Boosting sustainable
economy in rural areas.
MULTI-LEVEL PERSPECTIVE
Innovator Catalyst
series. The Climate-
KIC. Budapest, 2015
(Hungary).
http://goo.gl/iufdY4

STEP 4.
The Macro-level
The last part of the canvas
is the sky, accounting for the
macro-level. Think about the
main developments, trends
and crises that characterise the
macro-level at this moment.
These factors mainly work as
DRIVERS for change and inno-
vation; putting pressure on the
meso-level: Climate change,
economic growth, increasing/
decreasing prices, financial cri-
sis, etc. In any case, bear in mind
that these factors might also
act as a barrier or a hurdle for
your specific innovation.

With the same dynamics as in
the earlier steps, spend 5 to 10
minutes writing down as many
factors as you can think of and
then work in a group putting
your ideas on the canvas and
discussing them.

92 TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

 MULTI-LEVEL PERSPECTIVE

STEP 5.
Completing the canvas
Once the elements for your
Multi-Level have been decided,
try to identify and sketch the
interplay between, and within
levels. Draw arrows from one
level to another when a direct
effect can be described. Do the
same for those relations within
the same level: you can identify
clusters of interest, initiatives
that are somehow related, etc.
Remember that the system
is not a collection of elements
but rather a dynamic set of el-
ements, and the interplay be-
tween them.

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 93

 MULTI-LEVEL PERSPECTIVE

Tips
STEP 6. cation or boundaries? What are
the pressures from the mac-
Debrief ro-level like? Are they causing a
Equipped with the new picture, real impact on the meso-level?
reflect on the general system What impacts? Can you see a
in which you are embedded and window of opportunity for your
how its components and dy- innovation? If so, what causes
namics can affect your innova- are underlying such an opportu-
tion, its maturity and scaling-up nity window?
process. Try to set out a path- • When identifying constituents from the
way of relations for your inno-
vation to flourish under these Do you think meso-level, bear in mind the geographical
boundaries you have for your project and
conditions. You may want to use the system is think of barriers and drivers for your inno-
the following questions to spark ready for change vation.
for your discussion
and innovation?
​
Do you think the system is Have you been • While working on the micro-level, look
around your project sector and look for
ready for change and innova- able to identify those initiatives that might feed yours in
tion? Have you been able to some lock-ins some aspects you didn’t consider before.
identify some lock-ins that
that keep the For instance, a new collaborative consump-
keep the system trapped in the
dominant solution or paradigm? system trapped tion initiative, a micro-funding project, etc.

Have you identified specific bar- in the dominant • Likewise think about other projects you
riers for your innovation in the solution/ can learn from.
meso-level? If you needed to
paradigm?
design a strategy for scaling-up
your innovation would you say
you can draw on potential allied
stakeholders in the meso-level?
How could you overcome the

Find out more

identified barriers for your in-
novation? Do you think the sys-
tem would vary significantly if
you shifted the geographical lo- http://www.transitions-hub.org/library

94 TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

Flourishing multi-level The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 10
Fishing for barriers
Finding out the way
Finding out the way to complete your project
calls for you to identify the big barriers that the
project is facing and chunk them down into more
concrete causes and manageable problems.
 MULTI-LEVEL PERSPECTIVE

Fishing for barriers

What it is atically identify the main

barriers for your project, in HOW MANY From 1 person to groups of 8 people.
Fishing for barriers is a visual a way that can lead you to
HOW LONG 40-60 min.
tool that helps you to identify find out hidden and unknown
the main bottlenecks blocking problems. With these new DIFFICULTY Medium-High.
the success of your project, as insights you will be better
WHAT YOU GET A thorough graph with a categorized list
well as their roots, by break- equipped to steer the project
of barriers (problems and their causes) for
ing them down into small- towards success.
your innovation (project, challenge…) as
er pieces and problems. The
well as the relations between them.
tool grew out of mixing the The tool also helps you to pri-
the Shikawa diagrams (Kao- oritize those problems that WHAT YOU NEED You need a description of your big problems
ru Ishikawa, 1968) and the are urgent and therefore pro- coupled with a fuzzy idea of the solution
speed boat (Luke Hohmann, vides you with a short-term you set out and the system in which you
2006). strategy that might prevent are embedded (stakeholders, technologies,
WHAT IS NEXT
your project from derailing. regulations…)
When to use
After getting a breakdown of the problems
Finally, the tool fosters the
as well as of their causes, you are ready
When you are analysing the stakeholder integration, inte-
to move forward and start exploring the
system around your project. grating different perspectives
pathway for the future. You may want to
and expectations under the
go for visioning and backcasting tools, or
Why it is useful same structure, which will
you could opt for drawing up an action
give you a richer vision of the
plan for solutions stemming from the list
Despite its simplicity, the range of problems affecting
of problems.
tool helps you to system- your project.

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 97

 MULTI-LEVEL PERSPECTIVE

Steps
STEP 1. STEP 2. individually think of the problems introducing all the problems, start
you think you are facing. Then a discussion making clusters, and
Define yourself Brainstorm problems write them down on post-its (one three or four problems as the most
Take a large piece of paper The first step is to run a traditional problem each) and start a round important for the project. In the
and sketch out the fishing brainstorming session to come up of explanations in which every- process you may want to rephrase
canvas. The boat represents with as many problems as possi- body introduces and explains their some problems to better explain a
your project trying to move ble. First, spend some minutes to ideas, putting them on a wall. After specific category or cluster.
forward. In this case, it is
trying to scale up and break
into the dominant system
to elicit a transformative
change. The fish account for
types of barriers hindering
the performance of the proj-
ect. Moreover, the heads of
the fish account for one big
problem you are facing. For
instance, a weak network
with other potential part-
ners, high competition from
the dominant system, lack
of fitting with the current
market, etc. Then it comes
to the fishbone. The fishbone
accounts for those problems
and causes making up the
main barrier. For instance
there might be infrastructure
causes underlying the lack
of market fit, but also user
habits, different regulations,
etc. Each of these categories
would account for one of the
branches of the fishbone.

98 TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

 Green skills for boosting
transition in water
management Innovator
Catalyst series. The Climate-
TOOLKIT FOR SYSTEMIC INNOVATION TRAINING KIC. Valencia, 2014 (Spain). 99
https://goo.gl/llq0oS
 Green skills for boosting
transition in water
management Innovator
Catalyst series. The Climate
100 KIC. Valencia, 2014 (Spain). TOOLKIT FOR SYSTEMIC INNOVATION TRAINING
https://goo.gl/llq0oS
 MULTI-LEVEL PERSPECTIVE

STEP 3. think are underlying the barrier project oriented categorisation: will account for one branch in
and that you want to dive into. material, people, methods, the fishbone. The second part in
Fishing For instance, if your barrier machines, measurements, etc. this alternative is to label each
Draw a fish for each problem has to do with the dominant category or branch, according to
you have decided to work on system and the difficulties to After deciding the categories, the ideas within the cluster.
(remember to limit this number to break into it, you could use the draw a branch accounting for
three or four problems only), put meso-level domains (see the each category and then start Either alternative is perfectly
the post-it with the problem on the Flourishing multi-level tool) identifying causes under each good and it will depend on your
head of the fish and start chunking as categories: infrastructure, fishbone branch. Write one starting point to pick out one or
down the problem. You can do that institutions, knowledge, user cause on one post-it and place the other. If you don’t have an in-
by asking yourselves the question behaviours, cultural values, them on the fishbone. depth knowledge of the system,
WHY is something happening? industrial capacity and actor the first alternative can guide you
Write down the answer and stick configuration. Alternatively, Second alternative in the process of systematically
it on one of the fishbone branches. you could go for something less The second alternative starts scanning the possible causes
To carry out this process you count systemic and include categories the other way around. That is, behind the barrier. Conversely, if
on two alternatives: such as the place, the price, the you first brainstorm the causes you have in-depth knowledge of
type of product, communication beneath the barrier. You need to the system and the project, then
First alternative issues etc. If this is the case (that write down one idea per post-it you could feel the first alternative
To consider the big barrier, decide your barrier is more specific and and then make clusters of ideas is limiting you. Then go for the
those categories of causes you limited), then you might use a along the fishbone. Each cluster second alternative.

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 101

Pioneers into
Practice Programme.
The Climate-KIC.
Valencia, 2014
(Spain).
 MULTI-LEVEL PERSPECTIVE

STEP 4. to sort out in the short term. To do point between the mentioned Then, those causes/problems
that you can use any method you options is to assess each cause falling on the short term and high
Prioritizing know, ranging from a simple dot according to its impact on the impact quadrant will be the most
The last step of the tool is to voting to a multi-criteria process. project and the time frame for urgent for you to start taking
prioritise the problems you need One alternative at the half way those impacts (see the figure). action against.

To prioritise,
you can use any
method you
know, ranging
from a simple
dot voting to a
multi-criteria
process.

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 103

 MULTI-LEVEL PERSPECTIVE

Tips
STEP 5. Did you find the process of
filling up the canvas difficult?
Debrief If so, which part? Did you find
You gathered a comprehensive anything missing? What? Was
list of problems holding back the prioritisation step easy to
your project progression; now take or was there a lot of dis-
spend some time reflecting cussion before decisions were
on the outcomes you ob- made? What would you make
tained and the process used different in this tool?
to get them. •While thinking of causes you may find
some of them are closely related despite
Do you think you have a clear- Do you think belonging to different categories. If that is
er idea about the barriers you other projects the case, post-it, draw lines and arrows
are about to face? Did you
find something new or unex-
around yours depicting such relations. They will help
you to get the system perspective you are
pected about your project and are facing the
looking for.
the system? Is there any do- same type of
main or category the impor- barriers? •If you have enough time and energy, flesh
tance of which outweighs the
others? Did you use the same
Do you feel you out the tool with a short World Café ses-
sion to brainstorm solutions. If you have
categories for all the barriers? can solve these
identified urgent causes, split the team into
Why? Do you think the main problems alone one mini-group per cause. Each group will work on ideating solu-
barriers are related to your or with a lin­eal tions for each cause. Then start different rounds of discussion
own performance as a project
team or come from outside,
approach? following the world cafe rules until everybody has worked on all
the causes. To find out more about the World Café procedure visit
from the dominant system? http://www.theworldcafe.com
Do you think other projects
around yours are facing the
same type of barriers? Do
you feel you can solve these

Find out more

problems alone or with a lin-
eal approach? Or do you think
you will need a kind of system
perspective? http://www.transitions-hub.org/library

104 TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

Fishing for barriers The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
 3
Visioning and
backcasting
the future
Envisioning the desired future and
learning from that future becomes
necessary when it comes to
system innovation.
 VISIONING AND BACKCASTING

Visioning
What is strategic planning. It involves are solved. Visioning answers
looking at the data you have the question WHAT… What is
visioning? and current trends you can see my desired future? What does
VISIONING is about picturing today. Using that information, it look like?
the desirable future and de- you can predict what the future
scribing what it might look like. might look like. But, since we Why
cannot foresee the future, we
To plan the future, you need must plan for multiple contin-
visioning?
to imagine how it might look. gencies. The Future Scenarios System innovations are de-
There are lots of ways you technique involves creating signed to bring about a funda-
could do this. Forecasting is alternative futures based on mental and radical change in
one of the most well-known the trends you see, or decisions the way societal functions are
techniques, massively used in being made today. Both Fore- performed.
casting and Future Scenarios
can provide useful insights into By building a clear long-term should underpin your vision.
Because possible futures. vision of the future you aim Without a radical innovation,
predictable doesn’t for, you will avoid falling into visioning is not necessary and
mean desirable, However, because predictable obvious thought patterns and you could opt for doing fore-
doesn’t mean desirable, some- becoming ensnared by existing sight scenarios or developing
sometimes you times you need a more radical structures. exploratory scenarios.
need a more approach. An approach which
radical approach. isn’t based on what you can What does a Socio-technical.
Visioning helps you see today. By looking beyond Since you aspire to elicit a
what you see today, Visioning
vision look like? transformative change in the
see possibilities helps you see possibilities you A vision is not a daydreaming system, your vision has to
you didn’t know didn’t know were there before. outcome* in which an ideal but comprise both technical and
were there before. Consequently, you will be able utterly unrealistic and impossi- social elements.

Consequently you to move forward to a system ble future is described. Instead,
innovation perspective. a vision has to be credible, Medium-term to long-term
will be able to practical and feasible enough horizon.
move forward to a Visioning is a foresight method so as to be useful. The time scope has to be long
system innovation that attempts to create a fea- enough for innovation to grow
and take over but short enough
perspective. sible and desirable future sce- Radical innovation idea.
nario in which current problems A radical idea/innovation to be feasible and credible. 10

* although “dream-sessions” are used as one of the techniques to help you come up with a new vision.

108 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction VISIONING AND BACKCASTING

to 20 years is a commonly used

time-frame.
Inspiring

3
Inspiring
A vision should inspire others Radical Key Fuzzy, but
Innovation idea specific enough
to follow and to adopt it as
their own vision.
A system innovation vision
Easy to convey should be

If you want to inspire others,

your message has to be simple Socio Technical
Long-term or
medium-term
and clear. horizon

Fuzzy but specific enough.
Easy to Convey
A vision of a future in which un-
known technologies are prob-
ably involved has to be fuzzy.
Yet it should be specific enough
to allow for actionable plans On May 25, 1961, the U.S. president
and events. John F. Kennedy stood before Congress
and proposed that “this nation should
How to commit itself to achieving the goal,
build a vision? before this decade is out, of landing a Tool 11
man on the Moon and returning him Ocean of opportunities
Trends, statistics or expert safely to the Earth”.
knowledge can be used to build
Tool 12
Visioning and
out a vision. Yet since it has to It is probably an archetype of a vision.
be comprehensive and disrup- It may not be socio-technical, but it
Visual story

backcasting
tive, more open and partici- is absolutely radical, with a 10-year
patory approaches are used. time horizon, utterly inspiring and Tool 13
the future
Storytelling-based techniques, completely easy to convey. He didn’t Future radars
such as dream-sessions are explain how to achieve the goal but the
becoming more and more com-
mon.
vision set a pathway for that vision.
Tool 14
Socio-technical roadmap

VISUAL TOOLBOX FOR SYSTEM INNOVATION 109

 VISIONING AND BACKCASTING introduction

Backcasting
What is rent trends and system stages.
Then, the question is: What is
backcasting? needed to achieve such a fu-
Backcasting is a technique that ture? The context for that ques-
makes you look back from a tion is a complex system and so
future scenario, identifying and is the answer. It can entail new
assessing changes and actions technologies, new political or
for that future to come true. It economic frameworks, signifi-
allows managers to make a plan cant changes in actor configu-
and set an agenda for change by ration, cultural and formal rules,
exploring the feasibility and im- etc. But most importantly, it
plications of achieving certain can comprise more than one pact of external events on an a scenario you may use the
changes. Backcasting is mainly alternative, sometimes inter- organisation. visioning technique, fulfilling
used in policy making, strategic woven. Thus, we need a tool to the six features a system in-
planning, resource manage- pin down those changes and to • It prevents managers from devel- novation vision should have.
ment and corporate culture, asses them in terms of feasibil- oping strategies that just solve the The second element of this
especially when dealing with ity, control, impact, effort, etc. problems that we perceive today starting point is your current
complex systems such as social Therefore, backcasting allows with the solutions we have at hand. state, the present time. You
or environmental. organisations to consider have to be aware of the sys-
what actions, policies and pro- • Backcasting keeps plans off ex- tem in which you are, as well
Backcasting answers the ques- grams are needed today that trapolating present conditions. as of the problem or challenge
tion HOW… How can I achieve will connect the future to the you are facing. You can resort
my envisioned FUTURE? present. In other words, what • It is a quick and visual tool to the Pentagonal problem
actions have to be taken to tool, the Context map or the
Why do achieve the future. Some of How to do Flourishing multi-level tool to
the advantages of using back- get more awareness.
backcasting? casting instead of other fore-
backcasting
As you have seen in the vi- sight techniques are: AWARENESS BACKWARDS
sioning section, when we are Backcasting starts with a Now you have to put yourself in
dealing with complex systems, • Backcasting reminds participants twofold understanding of your the envisioned future. Imagine
forecasting methods are not that the future is not linear, problem. On the one hand you that vision has been achieved
enough. We first need to en- and can have many alterna- need to start with a specific and then think back from the
vision the future we aspire to tive outcomes depending on vision of the future scenario future to the present condi-
achieve, regardless of the cur- decisions made and the im- you want to achieve. For such tions. In the process, identify

110 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction VISIONING AND BACKCASTING

Tips
• Visioning and backcasting should be done under
a participatory approach. Since stakeholders
have radically different world views and differ-
ent frames for understanding the problem, you
should incorporate their perspectives, even if they
are wildly different to your own.

necessary changes for filling the to analyse the feasibility for • In addition to enriching the outcome, stake-
gap between the vision and the the changes to come true and holder participation enhances the legitimacy of
present time. There will be many the actions needed for that to that outcome, increases the co-responsibility and
changes and some of those you happen. Given that you begin broadens the reflexivity scope.
spot will elicit more and more with the end in mind, foster
changes. In the picture you can more creative solutions and • In this regard, visioning and backcasting should be updated regularly, giv-
see these changes as the green see the connections and con- en that constraints and resources (including knowledge and perspectives)
and red dots. sequences of those solutions. change all the time. Consequently, a learning and reflecting process should
accompany these tools.
CREATE SOLUTIONS DECIDE ON PRIORITIES
Once in the present time, The final outcome is to set • As a consequence of the different stakeholders’ perspectives, they all
backcasting takes you to the your own strategy for change, have their own priorities and agendas. Involving them in the backcasting
future moving forward and based on those actions you process will allow you to draw more than one plan from the same process.
deciding the actions to be consider as a priority. In this re-
carried out for the changes gard your criteria as a specific • In complex and wicked problems, as sustainability is, the problem defini-
happen. As you move for- stakeholder will guide your de- tion might come to focus after adopting a future vision. In such cases, the
ward to the future you need cisions about priorities. vision is the seed for the challenge and not a consequence of it.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 111

Tool 11
Ocean of
opportunities
Ideation
Looking at the future
 VISIONING AND BACKCASTING

Ocean of opportunities

What it is for a current problem and need a

hand with the ideation process.
Ocean of opportunities is an ide-
ation tool aimed at identifying Why it is useful
gaps in the market that might
become windows of opportu- Visioning requires a lot of creative
nity. It frames the current solu- thought and energy so some-
HOW MANY From 1 person to groups of 10 people.
tions by two main features or di- times it’s helpful to warm up first.
mensions and helps you to map Ocean of Opportunities is one of HOW LONG 30-40 min.
out the range of current solu- the many tools and activities you
DIFFICULTY Low.
tions within such variables. E.g.: could use to do this. Compared
the mobility system is bound by with other ideation tools it first WHAT YOU GET A visual map of the current technologies
use (individual/collective) and guides you to discover gaps in and solutions for your challenge, mapped
access (private/public). the market, and then gives you out according to a couple of variables. As a
the opportunity of centring in on consequence, you can spot the spaces for
The tool is inspired in the Growth- those gaps to imagine new ideas those variables with no solution in the mar-
Share Matrix (Henderson, 1973), and solutions. ket. Those spaces might provide a window
the Blue Ocean Strategy (Kim and WHAT IS NEXT of opportunity to your project.
Mauborgn, 2005) ,and the White At the same time, since the
WHAT YOU NEED A basic idea of your challenge and the cur-
Spots (Carleton et al, 2013). dominant system (market) is
rent solutions.
depicted by means of two of its
When to use dimensions, you can find out Now you can move on to envisioning a future
which system’s dimensions are in which the solution comes from some of
When you have to imagine radical relevant when it comes to de- those empty solution spaces you spotted.
innovations or alternative solutions signing solutions.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 113

 VISIONING AND BACKCASTING

Steps
STEP 1. Draw the expensive”, etc. In any case,
canvas and pick out avoid using judgements as
categories, such as “better”
variables or “negative”. Once endpoints
The tool is designed as a 2x2 are defined, place examples of
matrix in which two system businesses in each matrix’s
dimensions are depicted by corner of the matrix. In case
the axes and the solutions are you cannot identify those “ex-
scattered in the defined space. treme businesses” try a differ-
Therefore, draw the canvas ent set of endpoints or a differ-
with the matrix and select ent combination of features.
two features from your dom-
inant system (meso-level, re- STEP 3. Define
gime) that are characterising
the solutions in the market.
extreme values
For instance, if your project is Look for the current solutions
about mobility solutions, you accounting for combinations
might want to try with the ac- of two values of the variables.
cess to the mobility solution Plot as many examples as you
(public-private) and the way of can picture. When you finish,
using those solutions (individu- what you get is a map of the full
al-collective). ocean of solutions in the domi-
nant system.
STEP 2. Define
extreme values STEP 4. Define
Define the extreme values
extreme values
of each axis. If possible, avoid Identify blank gaps where no
quantitative scales and go for solutions have been developed,
qualitative endpoints. You may they represent windows for
think of conceptual or provoc- innovation. Run a brainstorm-
ative values such as “factual/ ing session about the kind of
perceived”, “fossil fuel/re- service/business that could be
newable energy”, “Affordable/ created within that combina-

114 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Green skills for boosting
transition in water
management Innovator
Catalyst series. The
Climate-KIC. Valencia,
2014 (Spain).
https://goo.gl/llq0oS
 VISIONING AND BACKCASTING

Tips
tion of variables and offered to take a step back and reflect on
the market. Use post-its to put the outcomes and the pro-
on the empty space as many cess.
solutions as possible. Then you
can start an open discussion Did you find it difficult to come
to distil them down: Is it a dis- up with different variables for
ruptive innovation? Does it look the axes? Did you feel comfort-
feasible, affordable, etc.? Would able using qualitative scales
it make a long-term impact on instead of quantitative ones?
the regime? After that you will Is there any variable which
get a short list of potential inno- stands out from the average? • Identify the main barriers and drivers in
vations for your project. Were they all relevant for the your regime and try with a combination of
system? them for the axes.
STEP 5. Try it out with
Did you find many opportu-
different variables nities or was it a difficult pro-
• The stakeholders involved in the system,
or the role they play, can be another source
Try a different pair of features cess? Would those opportuni- for axes definition
and look for new windows of ties for innovation be able to
opportunity. This process can transform the system? Do they • Think of services, not only of products or
be iterated as many times as entail concepts such as ac- business-as-usual as fillers of your matrix.
dimensions/features you con- tors’ involvement, social value,
sider relevant for your system. co-creation, etc.? Did you find • Use arrows to depict evolutions or services taking up more
By doing that, not only new any significant differences in than one quadrant.
windows of opportunity will the maps between iterations?
arise but also you will be able to Did you find out new ideas
assess the importance of such when the axes were changed?
features in terms of relevance
for the system performance. Try a different
pair of features
STEP 6.

Find out more

and look for
Debrief new windows of
After a couple of iterations with opportunity.
different variables for the axes, http://www.transitions-hub.org/library

116 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Ocean of opportunities The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 12
Visual story
Visioning
Learning from the future. Visual Story is a
visioning method which encourages you to
suspend disbelief and imagine a future so
brilliant that your success is on media front
pages everywhere.
 VISIONING AND BACKCASTING

Visual story

What it is in an appealing and visual way.

After envisioning the future you
The Visual story is a visual tool can start conceiving projects, but it
that helps you to imagine and de- shouldn’t be done before.
scribe the ideal future that would
happen as a consequence of suc- Why it is useful
ceeding in your project. This tool
is built on the Cover Story, de- Storytelling driven techniques are
veloped by the visual meetings taking over more and more vision-
company The Grove (Macanufo ing workshops, due to their sim-
et al. 2010). The objective of the plicity and their capacity to intro-
tool is to suspend all disbelief and duce disruptive ideas absolutely
envision a future state that is so disconnected from the present
stellar that it landed the project/ time. In this regard, the Visual sto-
group challenge on the cover of ry follows these features, making
the media. To do that, this activ- the process of disruptive thinking
ity challenges you to describe, more accessible and easy.
with words and pictures, the suc- HOW MANY From 2 to 5 people.
cessful future outcome and the Since it suspends all connections HOW LONG 60-90 min.
process to reach it. with the present time, it facili-
DIFFICULTY Low.
tates the process for disruptive
When to use thinking which can lead to radi- WHAT YOU GET A visual story of the future you can imagine.
cal innovation. The price for that
WHAT IS NEXT An idea about the new future you would like
We will usually use visioning right creativity is that neither feasibil-
to achieve as a consequence of your project
after defining the problem or the ity nor probability are included
succeed.
challenge you are facing and before as criteria to build the vision. As
starting any specific project. This is a consequence before building WHAT YOU NEED After envisioning your future you will need to
the moment to build a common plans and projects on your vision build the pathway from the present time to
vision about the desired future for you should go for a backcasting that future. Hence you can go for any of the
the challenge you have just defined process which will root your pro- backcasting tools.
(buildings, energy, food, mobility…) cess in the real world.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 119

 VISIONING AND BACKCASTING

The Canvas
The canvas is made up of six parts, each one
describes a different aspect of the future or the
process to achieve it.
COVER RADICAL IDEAS QUOTES HEADLINES
“Cover” tells the great sto- “Radical Ideas” documents Write down any quotation that “Headlines” convey the sub-
ry of your success. It should initial ideas for the project someone in the future might be stance of the cover story. It is
represent what the cover that drove you to this shiny saying about your project, your something other than the mere
of main papers are saying future. That is, the ideas innovations and your success. cover. It must be FUZZY but
about your story. How they underlying the RADICAL “Quotes” can be from anyone as SPECIFIC enough to be turn into
describe it, what the head- INNOVATION. What ideas long as they’re related to the sto- an agenda. Some description of
lines would be. This cover fuelled the process? Where ry. Quotes should be INSPIRING the process and/or the outcome.
should convey a message did they come from?
both APPEALING and EASY
TO CONVEY.

STACK OF PAPERS IMAGES

“Stack of papers” reveals the back- “Images” stand for the initial
ground stories behind the history challenge and the changes
of your success. Pitfalls, draw- achieved in the SHORT, MIDDLE
backs, milestones, new alliances... and LONG TERM. Draw some
pictures depicting your achieve-
ments or milestones.

120 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 VISIONING AND BACKCASTING

Steps
STEP 1. Define yourself able future look like? Depend- discussion, a more concrete reflecting on the outcome and
ing on the challenge: Where do vision of the future should be the process.
and draw the canvas people live, what does it look emerging. It is time for you to
This is the future, you managed like? How do they move, make pick out those most repre- Was it easy to detach from
to pull off for your challenge. transactions, spend their days, sentative ideas for the future current trends and for putting
Before starting to imagine that what does the environment you, collectively, have built. your brain in a disruptive mode?
future, define who you are and look like? What social/technical Was it specific enough? Do you
the role you played during the options are available? Which STEP 3. think it will be achievable? Was
process to reach the future and technology is needed? How the discussion biased towards
your ‘new/adapted’ role in this does it affect culture and the
Fill out the canvas some approach or stake-
new future. If you are in a real structure of society? What are Use the canvas to turn your holder’s perspective? Do you
project, then adopt your own important trends, and events? ideas about the future into pic- think some perspectives were
roles as different stakeholders. Could we make the future vision tures, words and stories. Try missed in the process? Did you
If you are working in a training even more sustainable? That’s to imagine what will be said spot the exact system “failure”
session or with no stakeholders visioning. Spend a few minutes about your challenge when it is that needs to be solved? Did
involved, then pretend each of to imagine individually and then achieved. The canvas will help you find many different alterna-
you are different stakeholders start a brainstorm. you to narrow down the fuzzy tives for the future in which the
and play their role. This pre- vision you probably built in the problem is resolved? While you
tending game will enrich the In this step, suspend all previous step. Remember that were working on the vision, did
perspectives when it comes to judgement and simply let your vision should be credible you find it easier to think about
envisioning the future. your ideas flow freely. You but also radical, easy to convey new technologies or any other
can use post-its to write and inspiring, fuzzy but specific dimension of the system such
After adopting your respective down as many ideas as you enough to be agenda permit- as new use habits, new infra-
roles, take a large piece of paper all can, describing what the ting. Finally, it should be based structures, new ways or social
and draw the canvas with its six future looks like. As you ex- on radical innovation in the me- organisations, etc.? Why do you
different sections plain and discuss ideas, put dium-term to long-term hori- think there was a bias?
them on a wall; make clusters zon, encompassing both tech-
STEP 2. and include new ideas arising nology and society.
This is the future
throughout the discussion.
Imagine the future you managed to
Some ideas will be about STEP 4.
Envision the future. Imagine technology, others regard-
Debrief pull off for your
that you are 20 years from ing regulations, new ways of
now (or the interval you de- consumption, infrastructures, Now, with your new future in
challenge.
cide). What does your sustain- etc. After 30 or 40 minutes of your pocket, spend some time

VISUAL TOOLBOX FOR SYSTEM INNOVATION 121

Pioneers
into Practice
Programme. The
Climate-KIC.
Valencia, 2014
(Spain).
 VISIONING AND BACKCASTING

Tips
• Visioning should be a participatory tool in which a large Don’t use the vision as something im-
diversity of stakeholders ensures a richer and broader mutable. You may need to revise your
vision. Therefore, consider inviting other stakeholders vision, under some conditions such as:
outside of the project or just playing different roles your-
selves if you are in a training session. • An assessment of the feasibility
and acceptability of your experiment
In formulating the vision, you could consider: shows that the vision is unrealistic,
• You encounter unexpected situa-
• Other relevant experiments tions in the course of the experiment,
• How you will link your experiment to general trends • New developments occur that you
and pressures coming from the macro-level (windows need to respond to.
of opportunity?)
• Structural bottlenecks that explain why the goal has You have to put yourselves into that fu-
not yet been accomplished. ture and to describe it using present and past tenses.
• Don’t give up too soon. Be creative from the very beginning and dare to draw your own
version of the canvas. Remember the sections you should cover,
but make up your own design, add new sections, etc.

Find more here

http://www.transitions-hub.org/library

VISUAL TOOLBOX FOR SYSTEM INNOVATION 123

Pioneers
into Practice
Programme.
The Climate-KIC.
Valencia, 2014
(Spain).
Visual story The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 13
Future radars
Backcasting
Guiding from the future
 VISIONING AND BACKCASTING

Future radars

What it is a consequence of the systemic

context (multiple stakeholders HOW MANY From 1 person to groups of 8 people.
Future radars is a backcasting interwoven with each other, 60-90 min.
HOW LONG
method which uses time travel and a context also interplay-
and a little imagination. First, ing with them). Under these DIFFICULTY Medium- Low.
travel forward in time to your conditions, traditional plan- WHAT YOU GET A characterised collection of changes and
ideal future. Then look back on ning can lead to your project actions that will lead you to achieve the
your path to success. How did derailing very quickly due to envisioned future from the present time.
you get here? Next, return to competitors, unexpected risks
the present day. Use your new or changes not happening. WHAT YOU NEED A clear description of your challenge, your
understanding of the future to current state, and the vision of the future.
plan your path to success. These Why it is useful WHAT IS NEXT After applying the tools, you can opt for
different perspectives can help action planning which also includes an
you to evaluate the feasibility of By applying this tool you can plan ongoing process for learning throughout the
your ideal future and the actions actions equipped with a global project lifetime. If that is the case, then you
needed to get there. overview of the milestones to may want to run the niche management
achieve, coupled with their feasi- tools in addition to other more traditional
When to use bility and the influence you can put planning tools.
on them to happen. This pathway
When you have a long-term of milestones allows you to elabo-
and complex challenge, the rate a more reliable plan including
pathway of which is full of un- alternatives in the case of unfore-
certainties and possibilities as seen events.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 127

 VISIONING AND BACKCASTING

Steps
STEP 1. The canvas dar by looking at the future
from the present time. In
and your challenge this case the cone is re-
The Future Radars canvas is versed; the tip of cone is the
made up of two parts: the ra- current moment. This radar
dar for changes and the radar is intended for you to place
for actions. the actions you will carry out
to achieve the changes you
The radar for changes looks spotted within the same ra-
at the present time from the dar. Therefore you will have
envisioned future. The radar a clearer idea about short-
is depicted by a cone whose term actions, whereas the
narrow extreme is at the fu- actions in the long-term will
ture time and from that point remain fuzzy. That is why
it broadens as we move to the cone opens towards
the present time. The goal of the future, widening the set
this cone is for you to identify of possible actions for the
changes necessary to achieve same change to happen.
the envisioned future and The first step before you
place them on the cone. The start filling out the canvas is
width of the radar accounts to define your starting and
for the potential number of ending points. That means:
changes that can drive the define the vision of the fu-
system to the vision. The ture you aspire to and the
farther the vision is from the the system in which your
time you are looking from, challenge is embedded. You
the broader the collection might want to use the out-
of potential innovations and comes from the MLP tools
changes that can lead to the and the Cover story tool.
same vision. With those starting and
​ ending points you can draw
The radar for actions is your own time scale using
the second part of the tool vertical lines going across
which mirrors the first ra- the two cones.

128 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Defining a reginal
policy for biomass
management.
Public participation
workshop. Castellón,
2015 (Spain).
http://goo.gl/Q8vzeH
 VISIONING AND BACKCASTING

STEP 2. spark off your creativity, giving but feasibility)? Do you think and Then put a sticky dot in the lower
you new ideas and how changes feel you can influence the pro- side of the cone for those chang-
Move backwards can come to light. cess to trigger that change? If the es that are feasible but out of
Put yourself in your vision. Imag- change is barely feasible and out your control. You may be inter-
ine your ‘preferred future’ actually STEP 3. of your control, just rule it out and ested in them, but since they are
happened and now your vision go to the next item. It is not worth out of your control, your strat-
accounts for the real world. With
Assess the changes spending valuable time discussing egy might be only to monitor
that image in your mind, start After brainstorming and collecting intractable/unsolvable topics. The those changes. Conversely, put
moving backwards towards the all the ideas, it is time for judge- ideal situation is when the change a sticky dot on the upper side of
present time and identify what ment to come into play. Evaluate is feasible and you have some kind the cone if the change is barely
changes should have happened each change according to the fea- of control over the process. If that feasible, yet you might have an
to reach the desired future. Spend sibility and the control you might is the case put a sticky dot in the influence on the process. Think
10 minutes individually to brain- have over the process for that central part of the cone (bluish in deeply about the items and
storm as many changes as you change to happen. Do you think the picture). Changes in this central spend time on them but only
can imagine. They could be: new the change is feasible? (notice: we part of the cone will be the most if you find pertinent synergies
knowledge, financial arrange- are not talking about probability, important for your action plan. with your main interests.
ments, new technologies, new
political or economic frameworks,
significant changes in actor con-
figuration, cultural and formal
conventions, changes in routines,
rules, culture, infrastructure, etc.
​
Write down those changes on
sticky notes (one idea per post-it)
and then collectively discuss the
suitability of each idea, pick out as
many as you want and place them
along the time scale. This is anoth-
er important point. Spend some
time to discuss the chronology
of the changes. This chronology,
along with the discussion about
the suitability of your ideas, can

VISUAL TOOLBOX FOR SYSTEM INNOVATION 131

 VISIONING AND BACKCASTING

STEP 4. Starting and to evaluate each action ac- discarded. Conversely, ac- tions according to the scale
cording to the impact they will tions with the maximum im- in the canvas.
ending points cause on the system to trigger pact and the minimum effort After assessing all the actions
Now you move to the radar the change and the effort it will will take up the centre of the try to come up with a line of ac-
for actions. Put yourself in the take you to carry it out. cone (greenish in the picture) tions following the assessment
present, looking at the future ​ becoming crucial for your fu- and your role as a stakeholder.
you can see the chain of chang- Similarly to the changes, ac- ture strategy. Use the upper This line of actions should be
es you have identified. The un- tions with maximum effort and lower part of the cone one of the main inputs for your
derlying idea for this step is to and minimum impact will be to assess the rest of the ac- future action plan.
identify those actions that can
lead to changes coming about.
Therefore, spend around 10
minutes to brainstorm individ-
ually as many actions as you
can think of. It is up to you, as
a team, if you only centre in on
the feasible changes that are
somehow under your control,
or embrace all the identified
changes regardless of the as-
sessment you did.
​
After brainstorming, discuss
the suitable actions and then
put them on the radar making a
timeline.

STEP 5.
Assess the actions
After the brainstorm step,
move on to assessing the ac-
tions you identified. Use fore-
casting or your own experience

132 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 VISIONING AND BACKCASTING

Tips
STEP 6. starting point for action plan-
ning? Why? If the answer is
Debrief
yes, you may want to spend
more time drawing up a draft
After having worked on the
version of that strategy.
two radars of the canvas,
reflect in groups about the
Having been equipped with
process and the future steps.
this new outcome, what do
The following questions can
you think the next step should
guide you to a fruitful discus-
be? Do you think this process
sion and reflection.
should be repeated once in a
while throughout the project • When moving backwards you can focus
What was the process like? on barriers for innovation to spot neces-
life time? Why?
Was it counterintuitive to sary changes more easily.
start thinking from the future
backwards to the present By applying this • Be as specific as possible when it
time? Do you think it hindered
you to be more creative or, to
tool, you can plan comes to assigning dates. It doesn’t
matter if you are not sure about those
the contrary, did it help you to actions equipped dates at the beginning. As the exercise
spark your lateral and more with a global over- goes ahead and you identify more and
creative thinking? Did you view of the mile- more changes or activities, you will be
find out something new and
unexpected in the pathway
stones to achieve, able to give more consistency and co-
herence to the overall picture.
of changes from the pres- coupled with their
ent time to the future? Do feasibility and the
you think you are now better influence you can
equipped to plan? Would you
have used other criteria to
put on them to
assess changes and actions? happen.
If so, which criteria?

Find out more

Do you think you can draw up
a strategy for action based on
the second radar? Is the prior-
itisation you did a good
http://www.transitions-hub.org/library

VISUAL TOOLBOX FOR SYSTEM INNOVATION 133

Defining a reginal
policy for biomass
management.
Public participation
workshop. Castellón,
2015 (Spain).
http://goo.gl/Q8vzeH
Future radars The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.
Tool 14
Socio-technical
roadmap
Backcasting
Mapping pathways from the future
 VISIONING AND BACKCASTING

Socio-technical roadmap
What it is impact) and sudden shocks in the
economic, social and environmental
Socio-technological roadmap spheres. Predicting the future under
(STRM) is a collaborative backcast- these conditions can be a daunting
ing tool for multiple stakeholders to task full of alternatives and ambi-
plan together. After envisioning the guity.  If you think about an envi-
desired future, stakeholders can ronmental challenge or a project
jointly set out different pathways somehow related to the dynamics
to bridge the gap between such a of global change, you will have one
future and the present time. of these wicked problems.

Socio-technical roadmap is In these cases, you should iden- HOW MANY From 1 person to groups of 6 people.
based on the technical roadmap- tify and analyse alternative path-
HOW LONG 90-150 min.
ping technique, largely used in ways form the present time to
industry to support technology the future, before getting into DIFFICULTY Medium-High.
strategy and planning. your action plan.
WHAT YOU GET A set of pathways from the future to the
present time and vice-versa, made up of
When to use Why it is useful changes and actions. As a result of them
you can end up with a strategy for different
As we saw in the radars tool, there Socio-technical roadmap helps stakeholders.
are a variety of reasons why to use you generate innovation path-
backcasting, depending on your ways for the future based on WHAT YOU NEED A collaboratively built vision, a clear descrip-
specific role. Yet, generally speaking, chains of change. At the same tion of your current system and situation as
STRM is to be applied whenever you time, it leads you to identify op- well as sources of information about trends
are working with complex problems portunities and risks in market, or even potential breakthroughs.
which also entail long-term goals technologies and social environ- WHAT IS NEXT After carrying out a backcasting exercise you
and a high degree of uncertainty ments. By doing that you can are ready to move into action. You can opt
throughout the process. start identifying, prioritising and for fine-tuning your action plan or getting
planning your future action as well right to the action. In both cases you should
This coupling of complexity and as the resources and partners you take a look at the system management
uncertainty will probably comprise will need. STRM provides you with or niche management project to develop
breakdowns, breakthroughs, “wild a visual picture of the changes in a learning and reflection strategy for the
card events” (events with low the future, making it easier to project lifetime.
probability of occurrence but high come up with your action plan.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 137

 Steps
STEP 1. exerting pressure on the mar- for the vision to be reached. micro-level. The lower seg-
ket and might be identified as Those changes can be tech- ment ultimately accounts for
The canvas the macro-level of the com- nological, in the physical infra- the activities that different
STRM canvas is made up of a plex system. structure, in social habits, reg- stakeholders have to carry out
main rectangle, in which the ulations, etc. This row mainly to bring changes about. These
horizontal axis accounts for The middle part depicts main refers to the meso-level, but activities or resources that
time, starting from the pres- changes needing to happen also includes changes in the are needed, can be plotted in
ent at the left hand side, and
ending with the future vision.
The vertical axis accounts
for the changes that should
come about over time. This
axis is broken down into three
parts or rows. The upper row
represents social and techni-
cal trends and drivers in the
market, now and in the future.
They depict the broad context

Socio-technical
roadmap helps you
generate inno-
vation pathways
for the future
based on chains
of change. At the
same time, it leads
you to identify
opportunities and
risks in the market.

138 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Stakeholder management
workshop. Innovation
Building Block series. The
Climate- KIC. Frankfurt,
2015 (Germany).
http://goo.gl/MTSuTW
 VISIONING AND BACKCASTING

both, the meso-level and the part of the canvas, that is ferent pathways, alterna- row at a proper time scale
micro-level. the “changes” part. The goal tives and possibilities. These and then draw the relation
is for you to identify which changes comprise any of between the trend and the
STEP 2. changes must become real the different components change.
for the vision to happen. Try or dimensions of the mar-
Vision and Calendar to imagine the last change ket place from technical to STEP 4.
First of all, put your vision just before achieving the social, as well as changes
on the right hand side of the complete vision in which in trends or drivers: social
Prioritising
canvas and write down the you are right now. From that habits, technologies, physi- If the backward process has
date for such a vision. You change on, imagine other cal infrastructure, industrial been fruitful enough there
might use the cover story if changes that were necessary capacity, products, services, will be quite a number of
you have done it, or any oth- to happen before it. Each regulations, institutions, etc. changes. Then, prioritize
er description of the vision. plotted change will trigger Throughout this process, dif- some of them as essen-
It is important to have it in other earlier changes that ferent trajectories of change tial for the pathway(s) to
mind while applying the tool. were necessary to move the towards the vision will arise be taken forward. You can
Once you place the vision vision forward. Write down providing a scenario with a prioritise changes within
with its date, draw a times- one change on one post-it set of alternatives to reach the same trajectory or not,
cale in the horizontal axis and stick them on the canvas the vision. but always keep in mind the
drawing vertical lines every at the proper temporal dis-
five or ten years. This scale tance. As you identify causal As you are working on this
will help you to place chang- relations between changes, middle part, on identify-
Socio-technical
es and activities. draw a line linking them to ing changes, you might roadmap is based
map out those relations. For also identify some social, on the technical
STEP 3. instance in order for a new economic or environmen- road mapping
product to be adopted a new tal trends or drivers that
Stepping Backwards regulation may be necessary could be affecting the whole
technique, largely
Starting from your future or a new infrastructure. In the system included in your used in industry
vision, you are going to step same way for a new product changes. For instance, you to support
backward. Therefore, place to be developed, a new tech- might identify that for some technology
yourself in such a vision. nology might be a necessary changes to happen, the
Imagine you are in that fu- condition. economy needs a steady
strategy and
ture and then look at the ​ upward trend. If that is the planning.
most recent past and focus Step by step you will build a case, write it down on a
your attention in the middle chain of changes with dif- post-it, place it on the upper

140 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Train the Trainers event. Training
coaches for the Pioneers into
Practice programme. Utrecht,
2015 (The Netherlands)
 VISIONING AND BACKCASTING

causality relation between several times identifying and in chronological order. peat the process.
changes. Use sticky dots the forward pathway for Move forward to the next STEP 6. Allotting
or any other system to vote each of them. change you prioritised for
and rank options. Whether your stakeholder role and
time frames
it comes to the changes or With your identit y, role and proceed the same way. The last step is for you to
their prioritisation, these objectives in mind, place Again, it is important to start your action plan. Once
steps are independent from yourself in the present time map out relations between you have your chain of ac-
your role as stakeholder. It and step for ward until the actions, given that they will tions you need to work allo-
doesn’t matter if some of first change you have linked comprise the foundations cating time frames for each
you are policy makers, tech- to your role. Then identi- for strategy settings. of those actions. As if it were
nological suppliers or con- f y the activities to be car- a gantt chart, draw a time-
sumers; for the vision to be ried out to bring about that Bear in mind that the same line for each activity paying
reached those changes have change as well as the re- activity can encompass attention to which activities
to happen. sources you will need. more stakeholders than should finish before start-
yourself. If that is the case, ing others, which activities
These activities can entail identify those stakeholders
STEP 5. on a different post-it and
running dif ferent exper-
Going Forward iments, conducting new put them next to the activi- As you are
With the chain of changes on R&D processes, adopting ties or resources. working on the
a new par tnership policy
the canvas it is time to iden- middle part,
tify activities and resources bet ween par tners, gain- Stay with the process until
ing new skills, etc. As for you reach the last change identifying
to bring about those chang-
es. You can assume that it is the resources, these might (under your influence) be- changes, you
not possible for one single be physical resources or fore reaching the vision. might also
others such as acquiring By this moment you should
stakeholder to handle all identify some
the changes; start by defin- physical resources. You can have a chain of resources
run a fast-paced and shor t and activities that leads you social, economic
ing who you are and what
your role and objectives are. brainstorming session to from the present moment to or environmental
Depending on that, you will identif y these activities the vision. Remember that trends or drivers
and resources. Then, pick this chain is strictly related
focus on those changes that that could be
you might help to provoke. out those you decide as the to one stakeholder. There-
best, write down one per fore, if you might want to affecting the
If there is more than one
stakeholder in your team, post-it and place them on identify activities for other whole system.
then you can run this step the lower row of the canvas stakeholders you should re-

142 TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

 Stakeholder management
workshop. Innovation
Building Block series. The
Climate-KIC. Frankfurt,
2015 (Germany).
TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 127
http://goo.gl/MTSuTW
 VISIONING AND BACKCASTING

Tips
might be carried out at the think that prioritization of
same time, etc. Don’t spend changes should be done dif-
too much time with the de- ferently according to each
tails, this is only the basis stakeholder? Or do you think
for action planning, not the it is independent from the
plan as such. stakeholders? Did you easily
find the chain of cause-ef-
STEP 7. fect in changes? Were there
any changes with no rela-
Debrief tion to others? If so, what do
Once you have completed you think is the role of that
the canvas, spend time re- change? • Stepping backwards, identifying changes, is the
flecting on the process and key part of this process and it can be done in two
the outcome you got. Use What are the biggest risks, different ways.
the following questions as and the biggest uncertain-
• First method: As described earlier, you can go
sparks for further discus- ties you found? If you re- step by step, identifying one change and then those
sion. peated the session on these previous ones triggered by it. If that is the case, the
issues in a half year, do you causality chain comes out easily and quickly, yet the
How did the process go? Did think there would be many changes cannot be so obvious to identify. If you do
not feel that you have enough ‘changes’ to complete
you find it clear, straightfor- differences? Why? Did you
a timeline, then maybe you should try the second
ward, difficult? Which parts run the step forward for dif- way of doing this exercise (below).
were more difficult to carry ferent stakeholders? If so,
out? What does the canvas did you find out many differ- • Second method: Brainstorm individually or collectively: identify changes that
look like? Does it look coher- ences? Did you find a lot of need to happen for your preferred future to become reality. Don’t fixate on the
chronology or causal relationships; just get the changes on the canvas. Don’t
ent, understandable, con- interdependencies between
try to sequence the events first. It is essential that you “free flow” the changes
fusing…? Do you think there the activities and different needed as people place them on the canvas. Finally, put them in a logical order. In
was something missing in stakeholders? If so, what do this non-linear generation of ideas, you will generate a lot more changes and find
the canvas? Would you add you think it means in terms it more difficult to put them in order. However, this second way will give you a lot
or leave anything out? of system analysis? of ideas/changes to play with and you may unravel something hidden until now.

Find out more

Did you find it difficult to Do you think it would be
spot the changes? Were necessary to do the process
there any discussions about over once in a while through-
the prioritisation? Do you out the project lifetime?
http://www.transitions-hub.org/library

144 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 Socio-technical roadmap The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 145

Niche
management

4
In the absence of any blueprints for
guiding socio-technical transitions it is
necessary to rely on a management
strategy to ensure the quality and
alignment of the process of leveraging
the project from the experimentation
level to the dominant system.
 NICHE MANAGEMENT introduction

Niche management
What is Niche the right direction and takes ad- and suggested action lines. text and (3) Six strategies for
vantage of the new knowledge the process.
management? acquired as a consequence of How to apply it to
Socio-technical innovations the process itself. Niche Man-
your project? 6 Elements from
change society and your project agement brings a combination
innovation could too. However, of essential elements from tra- The 6-3-6 Model.
the project
when your project is embed- ditional project management To be effective, societal change When it comes to systemic
ded in a system and is intended and more innovative approach- projects need a broad, long- change, the project elements to
to trigger or to contribute to a es from Strategic niche man- term perspective. Otherwise consider differ from tradition-
transformative change in soci- agement to help project man- the influences of the cur- al project management. In this
ety, the classical project man- agers to keep a project on track rent environment can make way, for instance, due to the
agement tools are not enough with societal change processes the project become busi- long-term perspective and the
to steer the project process. and embrace the actions need- ness-as-usual and conform to complexity of the system, much
While an innovation project ed to trigger transformational the environment. The project
may be considered to be a suc- change. team needs to analyse the ele-
cessful standalone project, the ments beyond the project itself
project may not necessarily Why is it in the wider system, and create
bring about changes in an entire a strategy to bring about soci-
system. For example, an energy
useful? etal change. The 6-3-6 Model
efficient car component project Niche Management tools help is aimed/designed to bring es-
may be innovative and success- you to position and develop sential elements of the Niche
ful, but it does not bring about your project in a strategic way, Management approach to a
a sustainable transport system. to contribute to the transition practice-oriented application.
​ process for a wider goal. That
This system transformation is is, Niche management can give The 6-3-6 Model explores the
not linear but rather charac- you the right direction to take wider system via three top-
terised by a complex interplay and the strategy to keep the ics: the project, the context in
between your project and the project on track. At the same which it is embedded and the
plethora of factors such as time some of the tools lead you strategies to steer the process.
stakeholders, other projects, to identify actions that can take In return, each component is
technologies, infrastructures, your innovations from a project broken down into different el-
regulations, etc. Therefore we level to a core part of the larger ements to be analysed: (1) Six
need new tools to make sure system. Therefore, Niche man- elements for the project, (2)
that the project goes forward in agement gives you strategies Three perspectives for the con-

148 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction NICHE MANAGEMENT

more effort on reflecting and Vision the project is developed with 3 Perspectives from
learning has to be made. Con- There is a shared and inspiring active involvement of socie-
sider the following questions vision that transcends the proj- tal stakeholders. At the same
the context
as a hint of the project elements ect itself, affecting the entire time, participants in the project As explained before, in a sys-
you should pay heed to. What’s sociotechnical system. This vi- consortium should have some tem project you need to anal-
the wider goal for society? sion should have been co-cre- training, or indeed a designat- yse and learn from the rela-
What system(s) is the project ated by a broad network of ed person, to be able to infuse tions between your project and
part of? What and how are you stakeholders and pervade the the transition perspective into the different components of
learning and sharing? How are project approach. planning activities and projects the system in order to lever-
you involving your stakehold- to make sure that the ideas do age your project from being an
ers? Do all your outcomes relate System not get bogged down in busi- innovation experiment to be-
to the overall goal? What’s the In transition processes, the ness-as-usual.
project’s overall vision? Based project looks around to under-
on that, the 6-3-6 Model uses stand itself as a node in a wider Learning Niche
these 6 elements for project system. Project managers have Learning is of paramount im- management
analysis: (1) Goal, (2) Vision, (3) to pay attention to the relations portance in system and tran- can give you the
System, (4) Stakeholders, (5) that the project has with oth- sition projects. Within trans-
er innovative experiences, and formative change processes
right direction
Learning and (6) Outcomes.
with the players in the domi- you learn while you’re doing, to take and the
Goal nant system to actually under- and do while you are learning. strategy to keep
In transition/system projects stand the process and evolution Managers are aware of knowl- the project on
the goal is strongly linked to a of their own projects. edge gaps and consciously plan
a strategy to keep an ongoing
track.
societal challenge which goes
beyond the project itself. In this Stakeholders and project learning process, including a
regard, projects are often em- consortium strategy to share and commu- coming mainstream. Adopting
bedded in a wider programme In system projects, stakehold- nicate new insights. this system perspective entails
whose goal might not be pre- ers and the relations amongst paying attention to the context
cisely defined at the beginning them are seen more as part- Outcomes around your project.
but clarified throughout the ners, with valuable knowledge In transition projects, outcomes First, you have to go deeper
programme lifetime. It is es- and insights, that might im- have to be linked to the societal into the new innovation you
sential to have in mind both el- prove the process and the out- challenge; they are shared and are developing. Then you have
ements; the societal challenge comes. That means the work communicated to the network to see what is going on around
and the possibly fuzzy goal of is somehow done from the of stakeholders inside and out- you. That is, other innovative
the broader programme. outside to the inside, that is, side the project. experiments bubbling up at the

VISUAL TOOLBOX FOR SYSTEM INNOVATION 149

 NICHE MANAGEMENT introduction

micro-level. They might be rep- for. Therefore, there are three ting the project embedded in are necessary in the wider sys-
licated or connected with yours perspectives to adopt so as to the dominant system. tem to move your project into
to gain influence and impact. understand the context around the mainstream?
Eventually, those radically new your project: (1) Deepening, ac- Deepening
ideas set out by your project counting for yourself, (2) Broad- Learning as much as possible 6 Strategies for the
may get embedded into the ening, accounting for the other from your project and inno-
dominant system, triggering innovations and (3) Scaling-up, vation in the specific context.
process
the change you were looking accounting for the way of get- What is the radically new way The Process aspect of the 6-3-
of thinking, doing and/or organ- 6 Model encourages you to
ising that your project devel- reflect on your analysis of the
ops? What can be learned from project and context areas. Con-
the specific local context? How sider what actions you can take
does the local context make the to make sure your project cre-
project distinctive? ates changes in the system and
becomes mainstream, instead
Broadening of being trapped by the busi-
Replicating your project in other ness-as-usual approach. The
contexts and/or connecting it to answer to this question gives
other functions and/or with oth- six different strategies man-
er innovation initiatives. What agers can adopt to move the
possible connections does the project forward in the system
project have with other innova- change direction.
tion projects or transition initia-
tives? In what other niches or 1. Shielding
domains could your project be Does your project need a tax
repeated? What can be gener- excemption? A specific subsidy
alised about this project? policy? Could it be necessary
to move to another region in
Scaling-up which the project is welcome?
Embedding the project in the Shielding accounts for those
dominant system. How can strategies aimed at creation of
your activities be embedded in a “protected space” to prevent
society and the dominant ways projects from mainstream se-
of doing things? What changes lection pressures and prema-

150 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 introduction NICHE MANAGEMENT

ture failure. Ways of shielding: improve the quality of the vi- 6. Empowering by stretching
financially, geographically, insti- sion? How to engage people and transforming
tutionally, socio-cognitively, po- with such a vision? How to Do you have opportunities to
litically, culturally, etc.. leverage the vision to differ- compete and transform the cur-
ent networks? How to factor in rent system? Can you change
2. Nurturing networks others’ expectations? Nurturing the social system in certain ex-
How can you reinforce and en- expectations; strategise how to tent and scale? Can you reach
rich your networks of stake- articulate and negotiate expec- out to big players or lobbies?
holders? Is it necessary to look tations. The stretching and transform-
for critical partners/stakehold- ing strategy aims at leverag-
ers providing resources 4. Nurturing learning ing institutional reforms which
or knowledge to fuel Can you improve or make ex- change the system in favour of
the project? How plicit the learning process? Are the niche innovation.
to actively en- there windows of opportunity
to learn from other contexts
or technologies? Is there,
in the mainstream system,
new trends from which
you can draw lessons for
the project? Nurturing learning
aims to keep an on-going learn-
ing process.

5. Empowering by fitting and

conforming
gage stakeholders? Is there any feature or process
Nurturing networks of your project that makes it
aims to create di- adaptable and competitive in Tool 15
verse and powerful
actor networks.
the current mainstream? Can
you plan or foresee a window Niche Transition waves

3. Nurturing vision/
of opportunity for your proj-
ect? This strategy helps you to management Tool 16
Six systemic strenghts
expectations achieve competitiveness within
How can you unchanged environments.

VISUAL TOOLBOX FOR SYSTEM INNOVATION

Tool 15
Transition waves
Niche Management
Transition waves uses the 6 elements from
the project and the 3 perspectives from the
context to yield an image of the weaknesses and
strengths of the current process management.
 NICHE MANAGEMENT

Transition waves

HOW MANY From 1 person to groups of 6 people.

What it is a transition perspective, or to
define actions that increase the HOW LONG 60-120 min.
Transition waves is a visual potential of the project to con-
DIFFICULTY Medium-High.
tool that helps you to check the tribute to a transition.
strengths and weaknesses of WHAT YOU GET A straightforward and comprehensive
your project with regard to the Why it is useful graph of the main system perspectives in
system approach. It sets each which your project elements are shown
element of the project against Even though the Transitions to be competitive enough or should be
the three perspectives of the waves method is surprisingly enhanced.
context which emphasizes the simple to use, it prompts deep
WHAT YOU NEED A project document (either a proper docu-
weak points in which you can thought on how your project is
ment or a draft or a general idea) in which
adopt different strategies. performing against the project
the six elements included in the tool are laid
and context elements from the
out, as well as a description of the system
When to use 6-3-6 Model. It allows you to
(micro, meso and macro-level) in which the
spot windows of opportunity for
project is built.
Use Transition waves when you improvement in different areas
want to make sure your project or elements. WHAT IS NEXT With the graph in your hands, you are ready
keeps on the track of system ​ to go for strategy design. To do that you can
innovation, preventing it from By combining the three curves in opt for any tool at your disposal, and then
business-as-usual approaches. one graph you can also identify adapt it to the six main niche management
It can be applied to assess an patterns in the weaknesses or strategies. Alternatively you can go for
ongoing project, both in terms of strengths which may lead you to the Six systemic strengths tool, especially
process and content, to reflect on take advantage of synergies when designed for that.
the projects characteristics from it comes to strategising.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 153

 NICHE MANAGEMENT

Steps
STEP 1. The canvas perspective in mind you will go
through a questionnaire that will THE DYNAMICS
and the dynamics help you assess how the proj-
The canvas ect elements fit within a system 1.- QUESTIONING
The canvas is a simple matrix in perspective. Your answers will be DEEPENING vs. GOALS
which the columns accounts for the base to assess that level of Are the project goals linked to
each one of the six project ele- performance (or how well each societal challenges that are
ments analysed: (1) Goal, (2) Vi- project element fits within the made explicit?
sion, (3) System, (4) Stakeholders, system approach). Once you have
(5) Learning process and (6) Out- gone through the questions and 2.- SKETCHING OUT
comes. The three rows represent sketched out the graph, you will re- Based on your answers assign
the level of performance of each peat the process for another per- a low/medium/high level of
of those areas when you com- spective and questionnaire. Bear in performance of your project
pare them against the three per- mind that this is not an exhaustive goals.
spectives of the context. These list of questions designed to con-
levels are consciously fuzzy and duct a quantitative assessment. 3.- KEEP ON GOING
accounts for low, medium and Instead, they are meant to spark Move to the following set of
high performance. In the depict- and guide your reflection. questions.
ed canvas we have emphasised
the area taken up by the low lev- Eventually with the three graphs
el and the lower half side of the completed, you are ready for a deep
mid-level as the critical zone. This reflection and strategy designing.
zone is highlighted to make man-
agers to reflect on the areas fall-
ing in there. Depending on your
Even though
projects and your specific levels the Transitions
of warning, you can opt to make Waves method is
this critical zone larger or smaller. surprisingly simple
The dynamics
to use, it prompts
To apply the tool, you will start deep thought on
by singling out one of the three how your project is
context perspectives: scaling-up, performing.
broadening, deepening. With that

154 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Train the Trainers event. Training
coaches for the Pioneers into
Practice programme. Utrecht,
2015 (The Netherlands)
NICHE MANAGEMENT

Boosting sustainable economy

in rural areas. Innovator Catalyst
series. The Climate- KIC.
Budapest, 2015 (Hungary).
http://goo.gl/iufdY4
 NICHE MANAGEMENT

STEP 2. The deepening perspective checklist STAKEHOLDER AND PROJECT CONSORTIUM

Did the project perform an actor analysis to produce a list of the key stake-
Go through the questions, project element by project ele- holders? Did you map out their stances and relations? Do you count on an
ment, and sketch out the level of performance of your project in engagement strategy for different stakeholders? Do you plan to review such
relation to the deepening perspective, according to your answers an analysis every now and then? Did you include external participants with
from the exercise. First, go through the goal questions and try visions and perspectives different than yours in the consortium? Do you have
to individually respond to them in silence.  After a couple of min- any governance system for both stakeholders and partners?
utes start an open discussion and decide if your project goals
are highly, middle or poorly aligned with the deepening perspec- LEARNING
tive. Then mark that level of alignment or performance on the Does the project design include a broad and reflexive learning process? Did
canvas.  It is a good idea to use a post-it to write down the main you identify the main gaps in knowledge and incorporated possible conse-
reasons that led you to decide such a level and then put it on the quences? Are explicit learning goals defined with regard to the desired chang-
mark. In this way, when it comes to reflecting you will have a safe es?
anchor to guide future decisions.
OUTCOMES
GOALS Is the connection between project results and the social challenge clear? Is
Are the project goals linked to societal challenges that are made explicit? a distinction made between generic and context specific results? Is there
Does the project’s process design allow for reflection? Did you foresee a pro- any correlation between project outcomes and how they contribute to the
cess to adapt the vision and the learning goals if necessary? transformative change?

VISION
Do participants in the project share a long-term sustainability vision? Is such a STEP 3. The broadening perspective checklist
vision relevant, compelling and specific enough? Is the project explicitly deal- Go through the questions project element by project element and sketch
ing with the stakeholders’ expectations? out the level of performance of your project according to your answers.

SYSTEM GOALS
Have project participants shared their perception about the dominant system Is the system innovation project tuned to relevant related innovative projects? And are
in the sector? Do you know if it is necessary to protect the project so that it those projects, in turns, somehow linked to each other by a (common) societal challenge
can move forward? Have you identified geographical, financial, regulatory ex- that is made explicit?
ceptions or any other conditions that are actually protecting the project from Have you identified similar and related innovative projects and potential new partners?
competitors? Did you identify the main barriers in the system against your Have you spotted other application domains and functions for your project? Have you
check-list

check-list
innovation (remember that those barriers can come from technology, infra- identified other initiatives and technologies that could feed your project? Do you have
structures, organizations regulations, user habits, etc.)? If so, have you drawn any strategy to replicate your project in other regions? Is there enough room planned for
up a contingency plan or similar? joint reflection with potential partners?

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 157

 NICHE MANAGEMENT

STAKEHOLDERS AND PROJECT CONSORTIUM VISION

Has the project broadened the network of stakeholders? Did you look for Is the overarching vision brought to the attention of the big and key players
partners out of your own network? Are the consortium participants open in the dominant system? Is the vision promoted and explained among stake-
to others’ experience? Are they willing to explore and take on board other holders in any way? Can you link the vision with any pressure or event from
perspectives and technologies? the macro-level? Is your vision geographically restricted?

LEARNING SYSTEM
Has it been explored if the system innovation project could be done in Did you gather Information about general social trends and events that could
another context? Is there any plan to systematically check any other confirm or contradict your innovation (either the importance, the need or the
location or context for the project? Does the learning process include urgency of it)? Did you identify the main barriers and bottlenecks in the dom-
the identification of other related and relevant projects? Do you fore- inant system? Have you identified system players that could lobby for the
see exploring other domains and technologies to learn from their pro- project? And those who can fight against the project? Do you already have a
cesses? Are you looking for synergies? Are you sharing insights and specific strategy to deal with them? Have you planned how to build bridges
experiences with participants in other projects so as to learn about with the big players in the system? Or have you decided not to build them?
methods, problems and solutions?
STAKEHOLDERS AND PROJECT CONSORTIUM
OUTCOMES Does the network include actors from the mainstream system, even those
Has it been envisaged to share project results with participants of similar proj- not in favour of the project? Does the network include actors from other sec-
ects? Do you have a strategy to share the learning outcomes within the project tors that are not innovation and technology? Has the project identified key
consortium and beyond? Do you take part in conferences, workshops and sum- people with the power and willingness to influence the dominant regime? Do
mits to explain and share your partial outcomes? you have any strategies to draw key mainstream stakeholders to your project?

STEP 4. The scaling-up perspective checklist LEARNING
Does the learning also focus on how experiences could be anchored into the
Go through the questions project element by project element and dominant system? Do you have an on-going plan to learn from the barriers in
sketch out the level of performance of your project according to ways of thinking in the meso-level? And what about the ways of doing or or-
your answers. ganising? Are infrastructures and regulations in the learning goals? Have you
analysed if your project can fit within society current values or user habits?
GOALS
questions list

questions list
Is the project adapted to societal trends and other new developments? Do OUTCOMES
you have any plans to take advantage of any window of opportunity provided Do you count on a plan to communicate your results? If so, does it include
by societal trends and other new developments? Are your goals in conflict resources and budget? Are you going to share the outcomes from the learn-
with the mainstream trends? ing process, as well? Do you plan to communicate to a mass audience in the
meso-level?

158 TOOLKIT FOR SYSTEMIC INNOVATION TRAINING

 Green skills for boosting
transition in water management
Innovator Catalyst series. The
Climate-KIC. Valencia, 2014
(Spain). https://goo.gl/llq0oS

TOOLKIT FOR SYSTEMIC INNOVATION TRAINING 159

 NICHE MANAGEMENT

Tips
STEP 5. Debrief
After completing the Transition
waves canvas, spend time to
reflect on the outcome as well
as the process.

Generally speaking, would you

say that your project fits within
a system approach? Have you
found any patterns in the weak- • The Transition Waves method provides a
nesses and/or the strengths? guide, not quantitative assessments, so don’t
Is there any repeated weak- spend too long working out the most accurate
ness in the system area or a level for each item.
steady strength in the broad-
ening wave? Or in any others? • You’re mostly looking for elements in the
Do you think you have a better critical zone.
and a deeper understanding of
your project? Did you manage • In the early stages of a project, it is common
to spot the main risks for your to find low performance relating to scaling up
project to keep the system ap- or broadening. This is natural. Teams haven’t
proach? Where do you think had the time yet to place their project in a
you have more opportunities to broader context.
improve your project?
• The tool can be very time and effort demanding. Therefore you
After applying the tool, has your might want to apply it only for one of the three context perspectives:
perception about the impor- deepening, broadening or scaling-up. If that is the case, try to apply to
tance of the learning process areas that you feel it are weaker.
changed? Do you think a formal
learning and reflecting plan is

Find out more

needed? If you want, you can
brainstorm ideas about how to
design such a process: who to
involve, what activities to do…
http://www.transitions-hub.org/library

160 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 Transition waves The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 161

Tool 16
Six systemic
strengths
Niche Management
Conceiving a tailored action plan to reinforce
systemic project management.
 NICHE MANAGEMENT

Six systemic strengths

HOW MANY From 1 person to groups of 10 people.

HOW LONG 60-90 min.
DIFFICULTY Medium.
What it is Why it is useful
WHAT YOU GET A comprehensive identification of actions
Conceiving a tailored action plan to Two common reasons why inno- to improve the way your project performs
reinforce systemic project man- vation projects don’t create societal within the system.
agement. change are that the projects get stuck
in ‘business as usual’ or it is not able to WHAT YOU NEED You should start with a clear vision of your
challenge and the Transition waves graph.
When to use mature enough because of external
Transition waves gives you a strategic vision
conditions or lack of connections.
Generally speaking you should of the weaknesses and strengths of your
apply this tool after developing Six systemic strengths helps you project in the three context perspectives.
the initial document for your identify actions to avoid this and al- Alternatively you might start with a descrip-
project and before getting into lows you to develop system manage- tion of your project, the system (multi-level)
operative plans. ment strategies to keep the project on and the barriers for innovation you are
the track to the dominant system. dealing with.
When you are working on the WHAT IS NEXT If you got here, you probably went through
project management plan you The Transition waves provides you many of the tools of this booklet. Now it
should also develop your system with a collection of weaknesses and is time to ‘do’. You may opt for developing
management plan, this helps strengths; Six systemic strengths a long-term strategy comprising the main
steer the project process and to allows you to build a strategy or actions conceived or get into the operative
navigate through the different action plan on the Transition waves pan right after the tool.
levels of the system. outcomes.

VISUAL TOOLBOX FOR SYSTEM INNOVATION 163

 NICHE MANAGEMENT

Steps
STEP 1. Understanding as many actions as possible explaining their ideas, new ones ers. As there are three areas,
about how to protect your can arise because they trigger you may want to spend more
the canvas project against the current new links with other ideas. Let than ten minutes for individ-
The canvas is made up of three competitors or just the current those ideas in and include them ual ideation, before starting
different areas, accounting for market rules that keeps it from on the canvas. As you stick cards brainstorming. Sometimes the
each of the three context per- growing. Actions can range on the canvas, some overlaps of same or similar idea can be
spectives described in Niche from tax protection, regula- clusters can appear. If so, draw linked to different categories.
Management. The central part tions, etc. For instance, since those clusters and remove re- For instance, you can organ-
is a circle which represents the flying drones and many drugs peated cards if necessary. ise workshops with potential
protection against current com- have restrictive regulations, stakeholders for both broad-
petitors and conditions that your research activities involv- STEP 3. ening your network and learn-
project has or should have. ing those devices might have ing from others’ experiences.
​ some exemptions (a universi-
Nurturing actions
If so, use two cards with the
Starting from the circle, there ty may be granted a license to Repeat the same process, but same idea repeated. It is also
are three expanding arrows on fly a drone in an urban area. this time thinking about actions normal to collect more ideas
the left hand side. These arrows The general public are NOT to nurture and improve the vi- about one category than an-
represent the actions you have allowed to do this) to develop sion, the learning process and other, in terms of project stage
already taken or could take to new products or services in the your relations with stakehold- and characteristics.
improve the way your project future. You must think of both
relates to other innovative ini- actions to be taken and actions
tiatives in the micro-level. that you have already taken,
​ and are necessary to keep.
On the left hand side, two more ​
arrows point outwards. These Write down one idea per post
tools will hold the actions relat- it, making an effort to be suc-
ed to the way you plan to scale- cinct, specific and descriptive.
up and break into the dominant Then start an open discussion
system. explaining each card and put-
ting them on the canvas. During
STEP 2. Protecting/ this step it is essential to avoid
judgements on the ideas or to
shielding actions criticise them, it is time to un-
Spend five to ten minutes leash creativity not to analyse
to work individually, think up proposals. As participants are

164 VISUAL TOOLBOX FOR SYSTEM INNOVATION

 NICHE MANAGEMENT

STEP 4. all the action. It is time for anal- tools is not the outcome as such,

Empowering actions ysis, relationships and prioritiza- but mainly the deep discussion When you are
tion. With this big picture in mind, that can be triggered as a con-
Now it is time for actions that start analysing actions proposed sequence. And, also remember
working on
lead your project to step into in each category, looking for con- that the following questions are the project
the dominant system. Think nections among ideas or clusters not a checklist to fulfil but rath- management
of two different approaches of ideas, in different categories. er a spark of inspiration for a plan you should
to scale up to that dominant Identify those relations in terms fruitful discussion.
market. On the one hand, of actions subordinated to oth- ​
also develop
think of those actions to com- ers, or those you should do at Did you find it easy to think up your system
pete against the current solu- the same time, etc. Eventually actions related to each strat- management
tions, infrastructures, reg- rank the ideas in each category egy? Did you see the straight plan, this helps
ulations... How can you take to come up with the most im- relation between the Transition
advantage of your innovation portant two or three actions per Waves tool and the Six System-
steer the project
and the windows of oppor- category (strategy). As the dis- ic Strenghts tool? Was there process and to
tunity? What is your system cussion is playing out, new ideas any additional information you navigate through
competitive advantage? can emerge, maybe as a merger would have liked to have had? the different levels
of previous ideas or maybe as Is there one dominant strategy
Then think of potential ways of something new. It is important (category) in terms of number
of the system.
adapting your solution to the to write them down and place of ideas or importance? Is there
current conditions. Can you build them on the canvas. For priori- any strategy with no actions or more efforts to keep your proj-
it on some existing solutions? tising proposals in each catego- very few? Why? Did you find it ect from stalling? What is the
Can you take advantage of any ry, sticky dots can be used as a easy to reach a consensus on weakest project position, the
current processes and build your simple method (three dots each the prioritisation of actions? Is relations with other innova-
solution in it? participants…). there one action considered as tion projects or the capacity to
having paramount importance break into the market? Do you
Proceed in the same way as in STEP 6. and standing out from the rest? think it is possible to draw up an
the previous steps. In which area should you make action plan from the outcome?
Debrief
STEP 5. Once you have completed the

Find out more

canvas and the prioritisation,
Prioritisation spend some time to reflect on
Now take a step backwards and the outcome and the process.
have a look at the big picture with Remember that the goal of the http://www.transitions-hub.org/library

166 VISUAL TOOLBOX FOR SYSTEM INNOVATION

Six systemic strengths The Canvas

De Vicente López, Javier and Matti, Cristian (2016) . Visual toolbox for system
innovation. A resource book for practitioners to map, analyse and facilitate
sustainability transitions. Transitions Hub series. Climate-KIC, Brussels 2016.

167
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VISUAL TOOLBOX FOR SYSTEM INNOVATION 169

 Visual
toolbox for system
innovation
A resource book for practitioners
to map, analyse and facilitate
sustainability transitions.

Edited by Climate-KIC Transitions Hub and Climate-KIC Professional Education

Transitions Hub Climate-KIC Education
Alice Bauer. Transitions Hub Manager Ebrahim Mohamed. Director of Education
Cristian Matti. Learning and Knowledge Manager Christoph Auch. Professional Education Lead
Jon Bloomfield. Advisory Board Anne Bartens. Education Manager
Aled Thomas. Advisory Board
Christoph Auch. Advisory Board
Fred Steward. Advisory Board
Hannes Utikal. Advisory Board

Coordination
Cristian Matti and Alice Bauer

Author
Javier de Vicente

Technical review
Bence Fülöp, Boelie Elzen, Dave Green, Jose Andringa, Kati Berniger, Lydia Sterrenberg, Markus
Allbauer, Richard Bubb, Roberto Colucci, Sergio Belda, Suzanne van den Bosch and Tijmen Altena.

Graphic Design
Paula Rincón de Arellano

Copy Editor
Lee Monk

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Professional Education Transitions Hub