Impact case study database

It is a fundamental duty of governments to implement policies that improve social welfare. Policies that affect risks to human life and health are often cross-cutting in departmental reach and are examples of how welfare can be improved. Through commissioned research, high-quality outputs, and the participation of its world-leading research experts in high-level policy committees, Newcastle’s research has had a significant impact on government understanding and implementation of policy in this area. Newcastle’s robust, transparent, and evidence-based values are used to inform project appraisal across a wide range of UK government departments and agencies. The research has brought about significant change in the following diverse areas:

Work-related cancers: changing understanding and valuations in cost-benefit analysis

Understanding the economic and wider impacts of work-related cancer is important to inform the Health and Safety Executive’s regulatory decision making in respect to the case for proportionate risk management in the workplace. Prior to 2016, the HSE valued deaths from cancer by applying a factor of 2 to the standard road-based VPF. However, as a direct result of the Newcastle findings – documented in PUB5 – that ‘ there was no evidence to support HSE’s approach of applying a “x 2 multiplier” to the roads VPF’ [IMP1, p. 81], HSE now has robust evidence to justify valuing deaths from cancer at the same level as other premature deaths in cost-benefit analysis. In addition, HSE changed its advice on valuing the other health impacts of cancer, so that the morbidity associated with cancers was valued directly rather than implicitly within a broad ‘cancer premium’. This was due to Newcastle’s finding that ‘ There was evidence that the greater aversion to cancer is associated with illness or morbidity prior to death that is associated with cancer, rather than dread of the cancer label per se’ [IMP1, p. 82].

Air pollution: providing valuations for VOLY and hospital admissions

DEFRA's impact pathway assessments and damage costs are calculated using PUB2’s values for the value of life years (VOLY). The guidance [IMP2, p.16] states that ‘ The value of life years lost due to the chronic effects of air pollution are monetised using values estimated in a study by Chilton et al. (2004) … The value is £42,780 (2017 prices) and is based on life years lost being in normal health’. Also, ‘ Life years lost due to the acute effects of short term exposure to air pollution are valued at £22,110 per life year lost, also based on values estimated in a study by Chilton et al. (2004)’. IMP2 also uses this source to calculate the value of hospital admissions, noting that ‘ The research conducted by Chilton et al. (2004) … also asked respondents about their willingness to pay to avoid hospitalisation and these values are used in damage cost pathways, rebased to current prices. The values are £8,296 for a respiratory hospital admission and £8,471 for a cardiovascular admission (2017 prices)’ [IMP2, p. 18].

Project appraisal: valuations for avoidance of premature fatalities and injuries

As noted in HM Treasury Green Book (A2.50, p. 72), ‘ Monetary valuations of a VPF have been used in transport appraisals for several decades. They derive from research conducted on behalf of DfT’. DfT continues to use values generated by Newcastle in its Web-based Transport Analysis Guidance (WebTAG). This is significant because development of cost-benefit analysis using WebTAG guidance is a requirement for all interventions that require government approval and serves as best practice for interventions that do not require government approval. Within the WebTAG, the mortality effects of changes in physical activity and the mortality effects of air pollution (NOx and particulate matter) are based on PUB2. The May 2019 WebTAG UNIT A3 Environmental Impact Appraisal [IMP3] states at para 3.4.5, p. 25, that ‘ The valuations are based primarily on the health impacts of air quality pollutants … A detailed derivation is contained within Defra’s Impact Pathway Approach [IMP2] guidance’. This, as detailed above, clearly and extensively references PUB2.

Impact on policy formation, agenda-setting, and policy delivery: advisory roles

Over the REF period, based on their research expertise and work conducted at Newcastle, Chilton and Nielsen have served as Expert Panel Members to governments. They have been directly engaged to contribute expert advice to high-level national and international bodies, overseas ministries, and the private sector. Their efforts have led to changes in the agendas, understandings, and approaches of these organisations. For example:

• *Joint Air Quality Unit/DEFRA Delivery and Impacts Independent Review Panel: By invite, Chilton is a member of this panel, which is comprised of academics and civil servants. In 2017 the UK Government named 28 Local Authorities (LAs) that were required to produce local plans to improve air quality by reducing nitrogen dioxide. Chilton’s experience was sought and used particularly ‘in assessing what impact these changes may have on an area and its residents, and if the proposed options would actually deliver environmental benefits’ [IMP4].

• *DEFRA Economic Advisory Panel: Since 2018, by competitive application, Chilton has been a member of this panel, which ‘provides independent challenge and support for Defra’s economic analysis and economics profession’ and ‘is a vital tool to ensure the Department’s economic analysis continues to be of high quality and impactful’ [IMP5].

• *The Environment Agency (EA): Through commissioned work (Contract Ref 1070087322), Chilton supported the EA in developing their valuation of, and guidance for, dealing with the mental health costs of flooding in project appraisals. This was essential for the EA as robust values were needed for the 2019 Public Spending Review.

• Organisation for Economic Cooperation and Development (OECD) and European Chemicals Agency (EHCA): Since 2016, Chilton and Nielsen have had extensive reach with their work on cancer risk values, through repeat invites to expert workshops hosted by OECD and EHCA relating to the health impacts of chemicals. In particular, their participation in expert workshops has increased understanding of the WTP approach to avoid negative chemicals-related health impacts

• Danish Economic Councils (an independent advisory body for policymakers) has drawn on Newcastle research, following an invited presentation by Nielsen in 2015. Newcastle research is cited extensively in their policy report on the Value of a Statistical Life [IMP6]. International uptake of Newcastle research has also led to involvement with the Department of Transport and the Treasury in New Zealand.

• Private sector organisations have also sought out Newcastle expertise. The gas pipeline industry did so on public perception of risk, and the consumer organisation Which? commissioned a review of its methodology for its Consumer Impact Index. The Senior Economist at Which? acknowledged the impact of the research by saying that they sought out Chilton and Nielsen because of their ‘ international reputations as recognised experts in benefit-cost analysis and the valuation of non-market goods’ [IMP7].

Influencing government discussions on the need for updated values and methodologies in respect of life expectancy gains

As mentioned in Section 2, Newcastle academics contributed to a cross-government workshop on Estimating the Monetary Value of a Life Year (VOLY); this led to the commissioning of a scoping study to ascertain the need for updated values and methodologies in respect of life expectancy gains. The tender document specifically drew on PUB4 to justify the need for the research: ‘ a limitation in several studies aimed at valuing changes in life expectancy to date is that they have not specified how the life expectancy gain is generated (Nielsen et al 2010)’ [IMP8, p. 3]. Newcastle led the scoping study (Grant 7) and the findings of the resulting report were presented at a workshop hosted by the DfT for potential suppliers of a primary study to derive up-to-date values for the appraisal of life and health. Without the Newcastle findings, the UK government would not be undertaking this extremely significant piece of work, which will lead to better and more informed policy decisions and have major implications for the efficiency of government spending and equity in population wellbeing.

The significant impact that Newcastle research has had on the Chilean social economy has been enabled by extensive engagement with Chilean policymakers, social entrepreneurs and incubators. The Chilean social economy is relatively underdeveloped, and the potential and challenges for the sector were largely unknown prior to Kimmitt and Muñoz’s research (PUB2) in 2016. Targeted dissemination activities of this research and Newcastle’s SIB research were the initial trigger for significant and far-reaching impact, both in high-level Chilean government policy adoption and implementation relating to SIBs and Social Entrepreneurship, and ‘on the ground’ amongst entrepreneurs and incubator managers.

1a. Initiating SIB Policy Change

In 2016, a series of public seminars, workshops and media appearances were organised by Kimmitt in conjunction with colleagues from Universidad del Desarrollo and CORFO, to stimulate policy debate and initiate policy-level discussions amongst social entrepreneurs, investors and policymakers regarding investment in Chile’s social economy and its key challenges. A senior advisor to presidential candidate Sebastián Piñera and former Vice President of the Chilean Enterprise Development Agency (CORFO) saw Kimmitt present the findings of the UK SIB research (PUB1); this led to the adoption and implementation of a new policy initiative in Chile. The key recommendation that Kimmitt presented was the potential facilitating role of SIBs in developing the investment market in Chile’s social economy. As a direct result, the incoming Chilean government committed, in their 2017 election manifesto, to spending USD50,000,000 (October 2017) on SIBs [IMP1]. This represented the most significant public policy commitment to SIBs from any emerging-economy government globally. A letter from the senior advisor states, ‘The government program of the current President of Chile, Mr Sebastian Piñera included SIBs in its manifesto as a new instrument for social policy to be implemented during his term … Certainly Dr Kimmitt’s aforementioned research contributed in trying this innovative tool’ [IMP2].

1b. Supporting SIB Policy Implementation

Once the Piñera government came to power in 2018, the focus shifted to the development and implementation of SIBs within Chile’s social enterprise economy. CORFO, Chile’s principal economic development agency, was tasked to implement the programme. As a result of the research conducted by the Newcastle team in the UK (PUB1) and the Chilean social economy research (PUB2), CORFO commissioned Kimmitt and Muñoz to produce a report to support the implementation of the SIB policy. This was because, as the Director of Early Investment at CORFO writes in the foreword, ‘ despite the relevance that SIBs have gained during the last few years, they are still perceived as a “black box” … this report comes during an inflexion point in Chile where it is critical to design better tools that lead us to a better future and a better society. How to achieve it? Through a set of policies and innovations that steer us to be more entrepreneurial and experimental in the way social challenges are solved. Thus, in order to unlock the “SIB effect”, more evidence is needed’ [IMP3a].

Kimmitt and Muñoz, working alongside government officials, produced a ‘diagnostic tool’ (subsequently documented in PUB6) for SIBs in emerging economies. This tool, based on lessons from the UK SIB research, allows public-sector organisations that commission SIBs to decide when a SIB model may be an appropriate investment vehicle and when it may cause more harm than good. This research has had a positive impact on the implementation of SIBs in Chile, as the following quotes from senior policy officials illustrate. One senior policymaker at the Ministry of Economy stated, ‘ The [diagnostic] tool was useful. We used it as [a] baseline to learn how to evaluate social impact contracts, to see which ones are feasible and which ones aren’t’ [IMP4]. In the Ministry of Social Development, the Head of Public-Private Cooperation stated that the tool helped them to diagnose the potential for SIBs, and that they used its dimensions for further evaluations of such projects. He stated, ‘ It [the diagnostic framework] is a model, a structure for others, it’s useful to visualize and see the concept, the idea of a social impact contract and to check whether [a] certain idea can be converted into a SIB or not. That was excellent ... It [the diagnostic tool] gives you some dimensions and based on that one, we built our own that we use … in every stage of development. You need to do that in order to move on to the next stage because we’ve realized that it’s a lot of work, right. Every stage, coordination and work between the ministries, legal aspects, etc.’ [IMP4].

2a. Improving Social Entrepreneurship Policy

The 2016 report (PUB2) proposed that social entrepreneurs in Chile should focus on improving their social impact measurement techniques and approaches to investment through collaboration. These recommendations had been disseminated by Kimmitt and Muñoz through public seminars and workshops in 2016, and a series of public seminars and media appearances in 2017 and 2018, to engender further policy debate around the findings. CORFO’s Director of Early Investment explains how the research came to influence social entrepreneurship policy in Chile: ‘ Because social entrepreneurship has gained such traction in Chile in recent years, evidence of industry trends, needs and challenges was needed to improve our decision making in this area. The findings from the report emphasise two interrelated issues: (1) the measurement of impact and understanding of social issues and (2) investment needs and readiness of entrepreneurs. Dr Kimmitt’s published research has provided the empirical basis for understanding these issues’ [IMP3b].

This improved understanding prompted a significant decision by CORFO to redesign their social innovation seed funding (‘SSAF-Social’) programme (SSAF). SSAF was launched in 2015; by November 2020, it had supported 178 social entrepreneurship projects administered through incubator programmes, investing approximately GBP3,000,000. SSAF was modified and relaunched in October 2018 to focus on impact measurement, as recommended by Kimmitt and Muñoz’s research. CORFO’s Director of Early Investment states that ‘ Dr Kimmitt’s research has helped to foreground debates around social entrepreneurship in Chile. Consequently, the findings from this research have been instrumental in the redesign of our funding programme for social entrepreneurs: the Seed Subsidy for Social Innovation Enterprises (SSAF-Social). Based on this research, we decided to change the basis of our legal documents that applicants must satisfy to be eligible to apply and progress through. This was strategic’ [IMP3b]. Based on Kimmitt’s research, SSAF now has specific focuses on social impact measurement tools and collaborative approaches. Firstly, incubators train social entrepreneurs to develop impact assessment methodologies to an international standard, due to Kimmitt’s research emphasising the importance of this for being able to compete and attract necessary investment (PUB 5). Secondly, entrepreneurs are required to work with a ‘co-executor’ to help develop their ventures, as the research suggests that this allows them to understand the complexity of their operating environment (PUB4). The changes to the legal documents detailed above by CORFO’s Director of Early Investment are evidence of the impact of the research. He also reports that ‘ We have seen that the entrepreneurs, the business incubators and managers are very happy with these changes. They feel there is institutional support and we have encouraged the whole ecosystem to follow this’ [IMP3b].

2b. Directly impacting social entrepreneurs’ ventures and incubators’ practices

This change to SSAF has also had a significant positive impact on social entrepreneurs and incubator managers. Evidence from follow-up interviews conducted between May and July 2020 highlights that social entrepreneurs have learned about social impact measurement tools, which has improved organisational planning. As one social entrepreneur notes: ‘ Well, the project is at an early stage yet but I believe that the most important difference is that developing impact assessment tools has provided us with a roadmap. I believe that they are going to be useful in all of the aspects you mentioned and also when planning daily management of our organization’ [Entrepreneur A, IMP5, p. 1–2].

Overwhelmingly, participants in the fund felt that a focus on impact assessment led them to consider aspects of the business that were critical, but to which they had not previously been able to devote much attention: ‘A fter we participated in CORFO and COLAB [the incubator], and with all the workshops that have taken place, etc., we have incorporated new methodologies that have helped us to assess some things that we have never assessed before. It has helped us to conceptualize ideas and to assess other things’ [Entrepreneur B, IMP5, p. 8].

Another entrepreneur noted: ‘to me it was like opening my eyes. I love using these tools, it gives you a wider perspective of the impact on the community, the context. For example … We went to the workshop and they made us create a value chain, the different areas of your business and think about how we could measure social impact’ [Entrepreneur C, IMP5, p. 18].

Although the impact measurement workshops were important for developing the entrepreneurs’ understanding of social impact measurement, they were also vital for allowing them to be more competitive in their market: ‘ To be honest… [we] did not carry out impact assessment [beforehand]. We were part of those organizations that hold workshops and used a satisfaction survey at the end. And that was all … The impact assessment was null. Now, it is a factor that helps us to distinguish ourselves from others, that is, other organizations’ [Entrepreneur D, IMP5, p. 22–23].

The funding’s focus on social impact assessment was also an interesting learning experience for the incubator organizations, which had not placed much emphasis on this area in prior work they had done for CORFO. Incubators felt that it helped them to understand the industry much more: ‘ We didn’t take it [social impact measurement] into account [before] … But thanks to CORFO and this initiative to strengthen this idea, for us, as Incubator, it was valuable. We began working on a new methodology and thanks to CORFO, the SSAF, the consultant, this coworking with the entrepreneurs, it was useful to understand and to explain the importance of this area in a social project’ [Incubator A, IMP5, p. 30]

In summary, research at Newcastle University has had a significant impact on socio-economic policy in Chile, by (1a) initiating SIB policy adoption and (1b) supporting implementation of SIB policy, whilst instigating efforts to improve (2a) social entrepreneurship policy and (2b) the impact assessment efforts of social entrepreneurs. This high-quality research has formed the basis for relevant and timely policy interventions that have led to far-reaching positive changes in the Chilean social economy.

Across all OECD countries, between 70% and 95% of all enterprises are micro-businesses, and the figure for North East England is 95%. ‘Captured’, developed through research at Newcastle, was recognised in 2018 by AACSB International (a non-profit association which accredits more than 840 business schools worldwide) as one of 30 initiatives in their ‘Innovations that Inspire Challenge’ [IMP1], and the model has had significant short-term and long-term impact on the businesses it has supported. It has also been a source of policy learning and awareness and influenced the practices of the managers who have supported the micro-business owners.

Enhancing the Capabilities of Micro-Business Owners

Since 2016, ‘Captured’ has recruited more than 120 micro-businesses owners (MBOs), matching them with managers from over 30 large regional businesses, including Virgin Money, Sage plc, HSBC and IBM. To ascertain changes in their capabilities, several weeks after participation the MBOs were asked questions in a survey adapted from the European Union’s EntreComp framework [IMP2]. This was completed by 52 participants. As a result of participating, 94% agreed or strongly agreed that they were more able to believe in themselves and keep developing; 88% were more able to ‘communicate a compelling value proposition’; 87% to ‘stay focused and not give up’; 79% to ‘prioritise, organise and follow-up’; and 88% to ‘reflect and learn from both success and failure’. When asked if they would recommend ‘Captured’ to a fellow MBO, the average score was 9.1 out of 10.

Quotes evidencing increased confidence and belief, and a subsequent increase in performance, included the following: ‘ I’ve been able to take myself and my business more seriously. It has springboarded me onto other areas of work that I had considered were out of my reach’ [IMP2#15]; ‘ I have been confident enough to put my prices up’ [IMP2#12]; ‘ Boosted confidence, made new business contacts, increased sales’ [IMP2#21]; ‘ Certainly helped me gain confidence and clarity. I’ve learnt to business forecast and plan for events more successfully’ [IMP2#40].

Many participants described how their decision making had improved, and that they had gained a drive to move forward, predominantly emanating from discussions with the manager from the larger organisation. This is identified in these illustrative quotes: ‘ The process has given me the perspective to make some big decisions and the confidence to push through with them’ [IMP2#29]; ‘ Captured allows you time to focus on working on the business instead of in the business, with the support of industry professionals who can see the bigger picture and help direct and motivate your actions to achieve success in chosen areas’ [IMP2#39]; ‘Captured has given me a lot more confidence to develop myself and business … I have a far better idea of planning and the steps needed in developing the business’ [IMP2#27].

Micro-business owners are frequently criticised for insufficient strategic planning, but many participants emphasised the benefits of ‘Captured’ in terms of planning and structuring their business: ‘ We now have a detailed plan of the growth objectives of the business and the strategy to employ to achieve them’ [IMP2#38]; ‘It’s enabled me to gain some traction developing our business plan and I’m better able to articulate the vision (and what it means!) to my fellow business partners and employees’ [IMP2#25]; ‘My mentor helped me to view the organisational aspect of my company in a very pragmatic way and help to structure how it can move forward in an efficient manner’ [IMP2#22]; ‘We now “capture” our sales figures on a daily basis. This has given us an insight into our performance. It has also enabled us to act quickly if sales have fallen and has given us the confidence to finance more equipment and take on a new member of staff in the run up to Christmas’ [IMP2#52].

Other examples of impact were more personal. A 2019 participant, already coping with long-term post-traumatic stress disorder, had permanently lost her speech due to an attack outside her shop in 2018. She was concerned about taking part as she struggled to go to unfamiliar venues on her own but, due to the supportive environment that ‘Captured’ created, she completed the programme. Three months later she sent an email [IMP3a]: *‘I thought you would like to know that I won an award this week, the entrepreneurial spirit award at the regional finals of the great British entrepreneur awards … Doing capture [sic] has definitely made me realise I do have skills and perseverance that others don't have. It's also given me the confidence to do more.*’

Longer-Term Impacts on Business PerformanceThere is evidence that the impacts of ‘Captured’ are sustained and that business owners attribute the improved performance to their participation. In a follow-up survey conducted in 2020, participants were asked about changes they had made to their business practices as a consequence of participating in ‘Captured’. Examples included: ‘ growing class sizes and marketing opportunities. It also gave me confidence to implement changes, for example bringing in new teachers to enable growth’ [IMP4#16]; ‘ Generally utilising technology more. Installing a practice data management system and diary. Installed new software and harnessed new NHS e-payments system which allowed us to go paperless for NHS payments. Saving significant admin time’ [IMP4#12]; ‘ The main change has been in my role where I made a conscious decision to step away from getting involved in every day-to-day activity and solving every problem’ [IMP4#15]; ‘ we import our fair-trade goods directly from the makers now. This gives us more flexibility and allows us to pay the makers better prices’ [IMP4#2]. When asked whether they had gained customers or clients from participating, 9 of the 16 respondents said they had. Illustrative quotes included: ‘ Yes without doubt the business grew, we increased our numbers of classes and customers attending by over 20%’ [IMP4#16]; ‘ I have gained two clients as a direct result of the Captured programme’ [IMP4#8]. Others identified indirect effects: ‘ I have used the lessons gained to deliver successful pitches for work’ [IMP4#11]; ‘ Our team has also grown significantly ... Whether this growth is directly attributable to Captured is hard to say, but Captured definitely provided the space to think more about the business and the on-going conversations with my mentor helped to keep this discipline’ [IMP4#15]. There are examples of longer-term relationships developing; for example, ‘ I have continued to work with [my mentor] beyond the programme, developing business growth planning and governance. The positive impact on [the business] and relationships with my fellow directors and staff has been invaluable’ [IMP3b].

Impacts on regional, national and international policy learning and business support

Regionally, the North East Local Enterprise Partnership has been influenced by ‘Captured’. Their Business Growth Director notes: ‘ We have been involved with ‘Captured’ from its inception, including providing funding to continue the UKCES pilot and being an integral part of its industry chaired steering group. Seeing the results from Captured, where there was evidence that, contrary to what might be expected, small firms could benefit from being paired with managers from larger firms … encouraged us to be involved in an early pilot of the UK Government backed Mentoring for Growth programme which matches experienced business professionals with the leaders of small and medium-sized businesses’ [IMP6]. The ‘Captured’ intervention was successfully adapted by Whitehurst and Richter as part of a European Regional Development Fund project to work with micro-businesses in the creative sector, and supported a further 12 micro-businesses in North East England. In 2019 funding was secured to develop the intervention in partnership with a local charity to deliver it to women in deprived areas across North East England, although this has been paused due to the pandemic. ‘Captured’, as a project funded by UKFP, was required to deliver policy learning for future national business support interventions [IMP7, p. 27]. One lesson, specifically from the ‘Captured’ project, was that it was ‘apparent that the larger firms could benefit from being involved in these types of programmes’ [IMP7, p. 5]. A longer-term evaluation published in 2019 noted that for the larger businesses in ‘Captured’, ‘ the act of mentoring a smaller business encouraged greater self-reflection of their own performance or business management practices and helped to keep the larger businesses engaged in the project’ [IMP8, p. 22]. Internationally, ‘Captured’ was cited in a May 2018 report by IFF for the British Council as a potential model that could be used during their five-year Creative Spark programme [IMP9]. Overall, ‘Captured’ has become a recognised novel model of micro-business support, emerging from a small pot of funding, which has leveraged in substantial valuable private sector time.

Influencing the practices of the ‘mentor’ managers from the larger firms

As detailed above, there is evidence from independent evaluations that the ‘mentor’ managers and their businesses benefitted; this is also evidenced by from case studies commissioned by the ‘Captured’ team. Representative quotes from case studies [IMP5] show that the managers felt their management practices had been positively influenced by taking part. The Commercial Director of a regional bus company felt ‘Captured’ had ‘highlighted the importance of making time to step back from the day to day operations of running a business, to give yourself headspace and much needed strategic thinking time’ . A lawyer said it had been ‘fantastic for my personal development. To actually be able to apply what I do on a day-to-day basis to benefit somebody has been absolutely brilliant.’ Another experienced manager said: ‘I know that it built my confidence in my own skill set and the ability to offer good guidance’. ‘Captured’ also helped the managers understand issues faced by small firms in their supply chain and customer base: ‘The programme has also been beneficial in enhancing my own role at Virgin Money, helping me gain a deeper understanding of the issues facing our supply chain of small businesses’ [IMP5].

Supporting micro-businesses through pandemic times

As mentioned above, further research has been undertaken with 20 of the MBOs in 2020. The FSB (Federation for Small Businesses) estimates that at least 250,000 small businesses will go out of business in 2021. However, the video reflections produced as part of the research have helped participants build confidence and resilience, adapt to an ever-changing situation and make difficult decisions which will help them survive. Unsolicited emails [IMP10] include comments such as ‘Thank you so much for all your support and helping to build confidence and resilience in we small business owners’, and ‘It's really useful to keep reviewing and reflecting on this situation and the best way to adapt and progress going forward’. In the 2020 follow-up survey, one MBO said that participating in the research was ‘ like therapy, through the darkest of times and helped me immensely. It helped me clear my mind, assuage my grief and clarify the need to make difficult decisions in the best interests of saving the business’ [IMP4#12].

This case study is an example of how high-quality research can achieve change at different organisational levels and through different processes of engagement. The team have partnered with government-level agencies, ministries, food producers and growers, social enterprises and community groups, as well as interacting at the EU policy level. Four areas of impact are detailed below. These show that Newcastle’s research has significantly influenced national policy, practice and law, changed the practices of a major grocery retailer, shaped the EU policy agenda on unfair trading practices and food quality policy, and developed alternative markets and short food supply chains. These impacts have improved economic returns to small-scale producers across a wide range of countries, enabled consumers to benefit from better access to quality foods, and allowed over 30,000 children to receive more nutritious school meals.

Influencing national policy and practice to benefit local food producers and consumers

Armenia: Using evidence from the collaborative research with Gorton (Grant 1/PUB1), ICARE (the Armenian NGO mentioned in Section 2) obtained funding from United Nations and EU bodies to implement a training and capacity-building programme to develop milk-marketing co-operatives, delivering training to 667 farmers. This led to the establishment of 18 marketing co-operatives with 232 members [IMP1]. Follow-up interviews conducted in 2019 by ICARE with 14 of the marketing co-operatives that had continued to function, now with 459 farmer members, demonstrated the financial benefits to farmers of joining a marketing co-operative membership – especially when combined with allied training and business advice, as recommended by Gorton's team (PUB1). ICARE’s Research Director states: ‘ The creation of marketing co-operatives and the growth in membership has positively impacted the fortunes of dairy farmers in Armenia and the research with Professor Matt Gorton provided a research evidence base for impact activities’ [IMP1]. The research also informed recommendations to Armenia's Ministry of Agriculture, which developed a new Law on Agricultural Cooperatives following advice from a Ministry Special Working Group of which the then Director of ICARE was a member. The working group accepted ICARE and Gorton’s recommendations relating to the need for, and organisational design of, marketing co-operatives. The new Law on Agricultural Cooperatives was accepted by Armenia's Parliament in December 2015; ICARE’s Research Director explains that all 14 marketing co-operatives appreciated this new Law as it ‘ helps clarify the operating structure of co-operatives, profit taxes and working procedures’ [IMP1].

Hungary: Research on regional foods (PUB2, PUB3, Grant 2) informed the Hungarian Ministry of Agriculture’s strategy on the promotion of quality food products under EU Food Quality Schemes. The testimonial from the Ministry notes that the ‘ evidence has informed the Ministry’s policy to promote registration of Hungarian traditional speciality food products’ and that ‘ the research highlights the importance of developing effective marketing arrangements’. It goes on to say that, as a result of the research, they have worked with Hungary’s association of retailers, thereby benefiting ‘ several producer consortiums such as Szentesi paprika (fresh pepper) and Gyulai kolbász (sausage), which are now sold widely in multiple retailers in Hungary’ [IMP2].

Serbia: The opportunities for small-scale local food producers to supply high-quality products in Serbia have been improved via action-based research within the Strength2Food project, jointly managed by Gorton and Quarrie, a visiting professor at Newcastle University Business School and Head of Education at the European Training Academy. Pilot actions targeted primary schools in Serbia and helped small-scale growers bid for school food procurement contracts, while improving school meal nutritional standards. Serbia’s Ministry of Education, Science and Technological Development (MPNTR) notes that ‘ Professor Gorton's project team based in Serbia ... provided the Ministry with the first comprehensive assessment of meal provision by nearly 1000 of Serbia's 1200 primary schools ... this led the Ministry in 2017 to embark on a project to prepare regulations for the provision of meals in Serbia's primary schools’. MPNTR confirms that the implementation of the 2018 regulation on meal nutrition is benefiting over 30,000 schoolchildren [IMP3]. In addition, it documents that ‘ The Ministry continues to benefit from Professor Gorton's expertise through the Strength2Food project, as his staff in Serbia are now close to achieving the first primary schools in Serbia in the province Vojvodina to have locally grown organic fruit and vegetables regularly in their school meals’ and notes that in August 2020, the first contract for organic vegetables was awarded by a Serbian school [IMP3].

Developing retail partnerships to benefit local producers

Croatia: As part of Strength2Food, Gorton and Tocco worked with an international grocery retailer (KONZUM, a Strength2Food partner) and researchers from the University of Zagreb on in-store experiments and market strategies to improve sales of local fruits and vegetables in Croatia. An in-store field experiment, using point of sale materials, increased like-for-like sales of local fruit and vegetables by 22%. As detailed in their testimonial, in response to this successful marketing strategy, KONZUM strengthened its local food offering and launched a ‘local store within a store’ in two superstores in Zagreb, supporting over 100 local small-scale producers and strengthening retailer-supplier relations [IMP4]. A further Strength2Food activity, tested in-store by KONZUM and empirically validated by Gorton’s team, was a marketing campaign, aimed at families, to promote the sale of local fruit and vegetables. Customers buying selected fruit and vegetables could collect stickers redeemable for ‘healthy healer’ soft toys. In all Croatian stores, the campaign increased sales of local stickered fruit and vegetables by 10–15%. Over a 9-week period in 2018, more than 300,000 customers participated, with over 570,000 soft toys being collected. As a result, in 2019, the campaign was expanded to stores in Bosnia, Montenegro and Serbia [IMP4].

Shaping the EU policy agenda on unfair trading practices and food quality policy

Gorton’s research has contributed to shaping the European Commission (EC) agricultural and food policy agenda. Research on improving the position of small-scale producers within agri-food supply chains informed the design of EU Directive 2019/633 on Unfair Trading Practices in agri-food chains [IMP5a], and evidence drawing on PUB1 was cited in the EC’s impact assessment conducted ahead of the new EU Directive’s adoption [IMP5b].

Newcastle’s research on EU Food Quality Schemes has informed the Association of European Regions for Products of Origin (AREPO)’s work on Geographical Indications (Gis). AREPO is an association of over 700 producer associations across 33 European regions. Their testimonial [IMP6] notes this research has been ‘ pivotal in the work AREPO has been doing on Gis’. Gorton and Tocco, invited by AREPO, have shared Strength2Food’s findings and provided policy recommendations on improving the valuation and effectiveness of Gis during various engagement events, for example to 11 experts from EC DG Agriculture and Rural Development. AREPO’s testimonial confirms that these events are particularly important in ‘ achieving effective Food Quality Policy at both national and EU levels’ [IMP6]. Indeed, the findings and recommendations from Strength2Food are extensively referenced in an evaluation of the EU’s policy on Gis published in December 2020 [IMP7].

Developing alternative markets and short food supply chains (SFSCs)

United Kingdom: PUB5 showed that SFSCs can boost the fortunes of small-scale food producers, but in the case of seafood in the UK, three main operational barriers to increasing scale were identified: suboptimal skills in the catering sector, consumer reluctance to try novel species, and poor connections between fishers and consumers (PUB6). To overcome these barriers, Gorton and Tocco worked with Food Nation (a social enterprise and Strength2Food partner) and regional fishing industry stakeholders to develop new local markets for seafood in North East England. Several of the pilot initiatives are featured in a YouTube video [IMP8a]; these include the use of Food Nation’s restaurant, Harissa Kitchen, as a pilot venue for testing new recipes with locally caught and lesser-known species. Here a pioneering Seafood Cookery Programme gives employability skills to young people aged 16 to 25, teaching them seafood-based preparation and cooking, which they then showcase at Supper Clubs. Food Nation’s Youth Programme Manager explains: ‘ We have been making all kinds of different stocks and different seafood dishes, which have been amazing things that the trainees haven't tried before, or ever been able to make before. I’ve also seen huge increases in confidence and self-esteem … it gives them up to date experience, which means they can go start a career in the kitchen’ [IMP8a]. Food Nation’s Head of Social Delivery confirms that the Strength2Food pilot initiatives have brought ‘ behavioural and cultural change in the region and beyond and bridge the gap between the fish industry and the wider public, via the development of new markets for quality food, improved consumer exposure, knowledge and perceptions towards different species of local and sustainable seafood’ [IMP8b].

Strength2Food research also informed Food and Drink North East (FADNE), a Community Interest Company. As noted by FADNE, their ‘Local Heroes’ campaign, initiated in March 2020 to raise the profile of and safeguard regional food and drink businesses in the North East of England, ‘ implemented lessons from Strength2Food’s research on short food supply chains. Specifically, the need to provide a convenient ordering platform for consumers that brings together offerings from multiple, high quality local food producers’. FADNE note that in the 8 weeks of the campaign, around GBP10,000 sales were generated, impacting over 63% of their producer base [IMP9].

Gibbon’s research conducted in partnership with SERIF has produced a solid evidence base of the social value of social enterprise activities in prisons, and a framework for recognising the social value of these activities in custodial settings. The research has had an impact in four main ways: (1) through targeted dissemination activities, it has enhanced understanding of the role of social enterprise in custodial settings and increased the confidence of prison leaders in their approaches to social enterprise; (2) it has directly built the capacity of the public prisons that took part in the research to measure and promote the value of social enterprise to stakeholders (including those who inspect prisons); (3) it has contributed to a more joined-up approach to social enterprise in North East England public prisons; (4) it has supported skills development in a group of prisoners in a high security prison by providing social audit training.

Recognising the value of social enterprise in a custodial setting: enhancing understanding and motivation of practitioners

Reducing Re-offending Through Social Enterprise, a 2009 report commissioned by the Ministry of Justice’s National Offender Management Service (NOMS) and the Cabinet Office’s Office of the Third Sector, had called for the creation of a solid evidence base to help those working in the prison service to understand the benefits of social enterprise within criminal justice settings. The Newcastle and SERIF research intentionally set out to address this gap and provide evidence of the social benefit and impact of particular social enterprise interventions within public prisons, including the wide range of stakeholders positively impacted by social enterprise activities (e.g. prison management, prison staff, the prisoners themselves and the general public).

Through a series of planned dissemination activities – including distribution of the findings of Grant 2 in report form through the Clinks network (a charity which supports voluntary sector organisations working in the criminal justice system) and the findings of Grants 2 and 3 through four regional and three national practitioner events – the research has enhanced the understanding and motivation of prison staff and practitioners working in custodial settings on social enterprise activities. Feedback from a national practitioner event attended by over 30 staff from 8 prisons in March 2019 evidences this impact. When asked in a feedback survey what they had gained from the event, participants’ replies included, ‘The will/desire to make social enterprise work in prisons’; ‘Understanding that we are not alone in trying to make social enterprise work in prisons’; ‘Gained more background about where social enterprise sits in a prison context’ and ‘New contact; renewed impetus’ [IMP2]. Following the event, a member of the research team was invited to visit HMP Drake Hall, a women’s prison, which offers opportunities for women to use and develop their own enterprise skills within the prison by running and managing a charity shop, linked to the local hospice, selling clothes, gifts and toys to fellow prisoners. This invitation was extended because those who had attended the event were inspired to learn more about the Newcastle research. The Head of Reducing Reoffending confirmed in a communication that the dissemination of the Newcastle/SERIF research had given them confidence in the work they were doing: ‘ The event was beneficial to us both as an opportunity to share learning and solutions with others working in the prison service and to broaden our understanding of what is meant by social enterprise. What we learned at the event and the subsequent visit by [one of the SERIF team] helped us appreciate that many of our practices and policies to encourage self-agency and personal resilience for our residents at HMP Drake Hall already reflect good social enterprise principles’ [IMP3].

Building the capacity of public prisons to measure and promote the value of social enterprise to stakeholders

Impact has occurred in the North East public prisons which were the focus of the first stage of the prison project. The case study of Kirklevington Grange Prison (Grant 2) was presented to the National Offender Management System (NOMS) National Research Committee, who acknowledged it as showing ‘ *that the Grange [the café outside the prison gates at Kirklevington] is having a rehabilitative effect and is valued by the many people that use it.*’ [IMP4]. The research has reinforced the case for continuation of social enterprise activities at Kirklevington by demonstrating the range of stakeholders positively impacted by the social enterprise activities. The HM Inspectorate of Prisons’ report of the Kirklevington Grange inspection in 2019 notes that ‘ Managers had developed community enterprises outside the prison gate, including a café, craft shop, and car valeting service. These provided work for prisoners and developed positive relationships between the prison and the local community, who used and valued the services’ [IMP5, p. 50].

Contributing to a more joined-up approach to social enterprise in North East England public prisons

Impact through facilitating knowledge exchange between prisons has been recognised in a communication from the Tees and Wear Prisons’ Group (part of HMPPS), which states that ‘ the social enterprise activities in the Tees & Wear Prisons Group have been informed by the best practice sharing made possible through SERIF’s action research programmes [i.e. Grant 2 and 3]’ [IMP6]. [text removed for publication]

Supporting skills development of long-term prisoners through enabling them to demonstrate the impact of social enterprise

In 2018, social audit workshops for skills development in social accounting and social value measurement were provided by Gibbon and a SERIF research team member working with prisoners in the Virtual Business and Innovation Centre (VBIC) at HMP Frankland; a long-term high security category A adult male prison. In this challenging environment, the VBIC supports the Social Enterprise scheme, and the workshops enabled the prisoners to co-produce their social account of how social enterprise works for long-term prisoners within this high security custodial setting [IMP8]. Despite a context of restricted communication between prisoners working in different areas, the VBIC prisoners carried out stakeholder research on the impact of social enterprise on the prisoners who participated in three of the social enterprises in HMP Frankland: Ugly Duck Designs, One Day Designs and In-Wood.

The report [IMP8] was used to support recommendations given to the prison management and staff. Social enterprise is recognised in HMP Frankland Inspection Reports: IMP9a (p. 18–19) confirms that ‘The Social Enterprise scheme provides real work opportunities and enables new skills to be developed. Prisoners take pride in producing high quality goods such as greeting cards, gift bags, gift boxes and tags and a wide range of wooden items. These are sold in a variety of retail outlets. The concept of groups of prisoners (approx. 10) forming a “business”, leaning on individual pathways, enterprise skills and personal development targets is well established.… The co-ordination of this by prisoners is overseen by the Virtual Business Innovation Centre (VBIC). This is a good example of the Rehabilitative Culture introduced last year in HMP Frankland.’ IMP9b notes that ‘ prisoners produced good work in art and social enterprise' (p. 47). The Strategic Lead, Learning, Skills and Employment, for Tees and Wear Prisons’ Group is also including the prisoners’ social account with the action research when she refers to ‘best practice sharing made possible through [the ESRC IAA] action research programmes’ [IMP6].

Research conducted by Professor Hughes over a sustained period of time led him to be appointed as an External Advisor to a significant UN body, and subsequently to be commissioned to conduct a key evaluation for the ILO of its integrated approach to the Decent Work agenda. Through these high-level policy reports and direct involvement with the ILO, Professor Hughes has reinforced UN organisations’ commitment to Decent Work as a global and national priority, recognised in the UN 2030 Sustainable Development Goals, and influenced the strategic approach the ILO now takes to promoting the Decent Work agenda among UN agencies. In doing so, Professor Hughes has also significantly shaped subsequent follow-up actions by the ILO, which continue to guide its engagement with organisations across the multilateral system.

Shaping UN strategy for mainstreaming Decent Work

As a result of Hughes’s extensive research on the ILO, in 2014 he was appointed as an External Advisor to the UN Joint Inspection Unit (UNJIU) on mainstreaming the Decent Work agenda in the UN system. The UNJIU is the only independent external oversight body of the United Nations system mandated to conduct evaluations, inspections and investigations system-wide, and Hughes’s appointment as an External Advisor is highly noteworthy as his was the first appointment of an expert from outside the UN to the UNJIU. He was one of five members of an advisory group constituted to provide substantive and strategic advice to the UNJIU on what was the first-ever evaluation of a system-wide UN policy initiative. This required brainstorming on conceptualisation, advice and comments on the inception paper, and comments on preliminary findings and the draft report [IMP1a, p. 10]. The outcome of this process was a major report by the UNJIU, Evaluation of Mainstreaming Decent Work by United Nations System Organizations [IMP1a], submitted to the UN General Assembly/Economic and Social Council and the United Nations Chief Executives Board for Coordination (CEB). The report assessed how UN organisations have implemented resolutions aimed at mainstreaming the Decent Work agenda into their own strategic planning and different levels of operations, in preparation for the 2030 Agenda for Sustainable Development.

In response to the JIU report, UN organisations noted that Decent Work and full employment will continue to be global and national priorities recognised in the UN 2030 Sustainable Development Goals [IMP1b]. The emphasis in the JIU report on the right to work as universal also led UN organisations to ‘strongly advocate’ inclusion and mainstreaming of this right to refugees, asylum seekers and irregular migrants within the United Nations Development Assistance Framework (UNDAF) at country level, and into Decent Work efforts across the UN system. Specific responses focused on JIU Recommendations to provide proactive activities on the Decent Work agenda for UN staff, which will enhance ‘broader United Nations system knowledge and capacity’ [IMP1b, p. 4].

Influencing the ILO’s strategic approach to its Decent Work Agenda

In 2008, the International Labour Organisation and the 187 ILO member states (represented through tripartite constituents representing government, workers and employers) had committed to the adoption of an integrated approach to the promotion of Decent Work. In 2014, the ILO Governing Body decided to place the evaluation of the impact of the 2008 Declaration on the agenda of the 105^th Session of the International Labour Conference 2016 (ILC 2016). This was significant because the International Labour Conference (ILC), meeting once a year, sets the broad policies of the ILO. Based on Hughes’s extensive research on the ILO and its Decent Work agenda (PUBS 1–6), he was commissioned (Grant 1) to conduct new primary research to support this exercise. The ILO Director of Multilateral Cooperation at the time the research was undertaken said, ‘ The combination of Professor Hughes’s academic work and his experience through the JIU of the challenges and potential of enhanced policy integration made him a logical first choice to assist the office in its dialogue with other agencies’ [IMP2].

Findings and recommendations from the confidential report Hughes produced for the ILO were incorporated into Advancing Social Justice: Reviewing the impact of the ILO Declaration on Social Justice for a Fair Globalisation [IMP3], which was tabled at the ILC 2016. In a testimonial, the ILO Deputy Director-General for Management and Reform said that Hughes’s work ‘provided a valuable independent assessment of the evolution and current state of the policy debate on social justice within the partner international institutions of the ILO … It also assisted in preparing an interactive exchange on Decent Work and sustainable development with representatives of international organizations at the [2016] Conference’ [IMP4]. The ongoing significance of Hughes’s research was also acknowledged in IMP4: ‘Professor Hughes paper will be of continuing value as the Organization prepares for its Centennial Conference in 2019 which, amongst other things, will examine the implications for the ILO of the Future of Work’. Key conclusions and recommendations from Hughes’s report for the ILO have been incorporated into various follow-up documents from 2016 to 2019, as demonstrated in the next section.

Impacting ILO and UN policy development and implementation through partnership building

Hughes had identified a continuing challenge of translating ‘high-level commitments’ to the Decent Work agenda into policies and programmes at regional and country levels; he called for greater policy coherence among UN agencies in the promotion of Decent Work and the 2030 SDG Agenda. In response, the ILC 2016 Resolution [IMP5] included the need to promote Decent Work as an integrating platform for greater policy coherence among UN agencies (SII.6 and SII.11; Part B.15.6). The importance of research evidence to inform policy dialogue and as a platform for collaboration was also acknowledged (Part B.15.5), as was the need to utilise the ILO International Training Centre in Turin to promote understanding and awareness of Decent Work. The Implementation of the ILC Resolution 2016 [IMP6] called on the ILO to develop a strategy to promote partnership with other UN organisations, with a special focus on economic and financial institutions, and to foster policy coherence at country level in pursuit of the 2030 Sustainable Development Goals. The influence of Hughes’s work on these outcomes was acknowledged by the ILO Director for Strategic Programming and Management: ‘ Your report highlighted the institutional and in-country challenges the ILO and other UN agencies face developing an integrated approach to decent work. Partnerships are central to this approach and a key part of the ILO development cooperation strategy. You helped us reflect on the importance of providing adequate capacity and enabling environment in support of the ILO decent work agenda. We are grateful for the analysis and recommendations provided in your report. It helped shape our thinking on the important roles of partnership and leadership the ILO can play in promoting decent work and their related goals of the 2030 SDG agenda’ [IMP7].

A report to the ILO Governing Body in 2017 [IMP8] drew on the 2016 Resolution – which, as noted above, had been shaped by Hughes’s analysis and recommendations – to focus on promoting Decent Work and social justice through a strategy of partnerships and policy coherence with international and regional financial institutions at the country level. A subsequent paper presented to the ILO Governing Body in March 2019 [IMP9] proposed a strategy to develop ILO-wide institutional capacity to deliver the 2016 Resolution. This called for the training of ILO staff, delivered by the ILO International Training Centre (ITC) in Turin, on the common capacity development approach of the UN and its application to the ILO’s own work with social partners and labour administrations in-country (Section III C.22, 26 and 27). The ILO Senior Coordinator on UN and Sustainable Development, who worked with the ITC/ILO on the development and launch of the training programmes, acknowledged the influence of Hughes’s work: ‘The report you wrote for the ILO team that prepared the 2016 Conference reports helped to identify the need for training and awareness raising to deepen collaboration on the implementation of the aims and principles of decent work at the institutional, as well as country level ... The ITC/ILO courses such as “Decent Work and the 2030 Agenda for Sustainable Development: how to achieve the sustainable development goals through Decent Work”, are an important means to increasing the capacity of ILO constituents, staff and other UN agencies’ officials to integrate Decent Work in national programmes. Now, several years later, we can see that your report helped the ILO and its partners to move forward on an important component of the integrated approach to the promotion of decent work’ [IMP10].

Newcastle research has been disseminated and delivered impact via a strategic partnership with a sector-leading philanthropic foundation, high-profile public events and events targeted specifically at philanthropy professionals, and a website curating extensive research and memorializing the achievements of philanthropy. The impact of this research stems from the original insights that have (1) shaped the work and strategy of the UK’s largest community foundation; (2) significantly enhanced public awareness, understanding and debate over the role of philanthropy in society; and (3) inspired and educated philanthropists and philanthropy professionals (the term philanthropy professionals encompasses those engaged in fundraising and other development activities at grant-making foundations and frontline charitable organisations), thereby increasing commitment and leading to enhanced practices.

Shaping the work and strategy of a sector-leading philanthropic foundation

The realisation of impact from the research owes much to partnership working with the Community Foundation Tyne & Wear and Northumberland (CFTWN), the largest community foundation in the UK and one of the largest in Europe. The CFTWN formally endorsed the partnership with REWP on 20 March 2017, when the Board accepted the proposal of its Chief Philanthropy Officer ‘ to invest in delivering a programme in 2018 to showcase “Philanthropy: The North East Story”… designed to support our new communications strategy and the 2017–20 growth plan by enabling us to communicate our message to a wider audience’. This would provide, during its 30^th anniversary year, the opportunity for CFTWN to tell its story ‘ as an important and growing part of a broader movement for social betterment through philanthropy … highlighting the past, present and potential future achievements of philanthropy’ [IMP1]. This would become the GeNErosity Festival, the impact of which is detailed below; the research impacted on the strategy and work of CFTWN as an organisation in two main ways.

Firstly, Newcastle research was crucial to informing the new communications strategy underpinning the GeNErosity Festival: the highlights from the Newcastle research, reported by Harvey to the CFTWN Board on 13 March 2018 [IMP1], informed the three main themes of the Festival. These were: 1) Philanthropy is a force for good in North East England (NE). The research had shown that philanthropy enriches individual lives and is a source of community solidarity, a contribution that had been underappreciated and undervalued. 2) Philanthropy has a long history in the NE that can be traced back to early medieval times. Until the Newcastle research this was not well understood. 3) Philanthropy did not disappear with the welfare state. It found new roles and new expressions and needs to be repositioned as a partner, alongside government, not-for-profit organisations and the private sector, in the enterprise of social renewal, reconnecting with its historic role. The Board Minutes show that the goal of the Festival was to inspire people to become philanthropic and to encourage existing philanthropists to increase their commitment to social renewal through philanthropy, with Harvey emphasising that social innovation and supporting social activism are the two main future roles of philanthropy. The CPO updated the Board ‘ on how the Festival will benefit us [CFTWN] and [CPO’s] work strategically to position us as leaders in the field’ [IMP1].

In a letter to Harvey dated June 2020, the CEO of CFTWN, reflecting on the impact of the Newcastle research on CFTWN, states: ‘ I hold your research in the highest esteem for its exceptional interest and quality … [It] has impacted on the work and strategy of the Community Foundation in two main ways. First, it inspired the board to invest heavily in the massively ambitious Generosity Festival as one of the main vehicles of our new strategy. Bringing the story of philanthropy in the North East to a wide audience has elevated our profile, inspired our donors and boosted the confidence of our staff. It has yielded numerous benefits, including increased funding and funding applications’ [IMP2].

The second main impact on CFTWN has come from research findings in PUB4 which stress the role of a ‘guide’ – typically an established philanthropist or wealth adviser who can win an entrepreneur’s trust and indicate how others have navigated the philanthropic journey. The CEO’s letter states: ‘ Second, the insights from the philanthropic journey paper on the role of the guide have greatly helped in strengthening our services to new and existing donors’. It concludes: ‘ In short, your research has improved our work and enabled delivery of our strategy’ [IMP2].

Enhancing public awareness and understanding of entrepreneurial philanthropy

The research has greatly enhanced public awareness and understanding of entrepreneurial philanthropy and its role in social innovation, not only through the GeNErosity Festival and the Philanthropy North East website, but also through other targeted events and communication mechanisms.

In November 2017, Suddaby co-organised the ‘Private Philanthropy, Civil Society and Inclusive Development’ theme at the inaugural Victoria Forum, Canada@150: Promoting Diversity & Inclusion, a three-day policy forum organised by the University of Victoria and Global Affairs Canada. The Forum attracted 476 delegates from across Canada and internationally, including philanthropists and philanthropy professionals. Harvey presented on ‘philanthropy and social innovation’, using historical and contemporary illustrations from REWP’s research. This led to the Forum organisers recognising the need to increase public awareness of philanthropy. One of the evidence-based recommendations within the Forum report, launched in Ottawa on 21 March 2018, is that ‘ There is a need to better educate Canadian citizenry on the critically important role of philanthropic foundations in processes of social innovation and institutional change’ [IMP3].

The GeNErosity Festival itself was a series of events based on REWP’s research, capturing ‘the story of philanthropy in the North East more comprehensively than has been done before’ [IMP1]. It comprised 44 events organised by 23 charities, 4 universities and 3 companies at 41 venues in 15 towns and cities across the North East during November 2018 [IMP4]. The Festival was organised by a delivery group of 9 people, including 4 from CFTWN and 2 from REWP, meeting monthly, with financial support of GBP135,000 from 5 companies and 12 philanthropic foundations. Besides organising, inspiring and contributing to several other events, including a debate and fundraising concert, REWP team members delivered their research insights at three of the Festival’s best-attended events: GeNErosity Festival Launch (Harvey); Transformational Philanthropy in Action (Maclean); and Philanthropy and the Making of Newcastle University (Helen Berry, based on REWP’s research). Overall, the Festival’s 44 events attracted an audience of 2,603, including live streams; 30,387 unique website page views; 5,300,000 impressions for #poweredbyphilanthropy tweets; 3 BBC TV Look North news reports; a BBC Sunday Politics Show 5-minute segment; 4 radio interviews; 15 newspaper and magazine reports; and 49 e-newsletter listings and reports [IMP4]. Harvey’s launch event lecture attracted the biggest audience of 1,514, including livestreams.

The published evaluation report [IMP4] of the GeNErosity Festival states that the festival aimed to (1) celebrate and raise awareness of what philanthropy has achieved; (2) question, debate and inform the future role of philanthropy; and (3) encourage more philanthropy and philanthropists [IMP4]. High mean evaluation scores from 384 survey respondents strongly suggest the Festival achieved its goals. On a 1–10 scale, where 10 is high, mean responses were 8.1 for increased awareness (aim 1), 8.2 for better informed (aim 2) and 7.7 for inspiring philanthropy (aim 3). The evaluation report notes that the REWP research provided ‘ invaluable historical context … allowing [CFTWN] to tell the story of philanthropy in North East England to a depth that was previously unknown’ [IMP4, p. 4]. REWP’s historical research was described by one respondent as ‘ phenomenal’ [IMP4, p. 8].

REWP and CFTWN launched the Philanthropy North East website in June 2019 [IMP5] to permanently memorialize the achievements of philanthropy and philanthropists in the North East. Described by the CEO of CFTWN as a ‘ treasure trove’ [IMP2] of research, it currently comprises profiles of 108 philanthropists, 58 beneficiaries, and 33 trusts and foundations; 4 downloadable research papers, including Philanthropy – The North East Story and Understanding Philanthropy; 7 videos of Festival events; and the GeNErosity Festival archive. Its impact on public awareness can to an extent be demonstrated: since its launch on 31 July 2020 the site has had 14,450 visitors, 2,521 research paper views, and 652 full paper downloads, with 4 picked up by news outlets. At Durham School, the video of Philanthropy – The North East Story has been selected to be part of its COVID-19 lecture series for sixth formers [IMP6].

Inspiring and educating philanthropists and philanthropy professionals

Philanthropists and donors report that they have found the research inspirational, and that is has changed their perspectives and increased their commitment. The founder of the Mowgli Foundation records in a letter to Maclean that he had been urged to read PUB4 by a fellow entrepreneur and had ‘ found it both inspiring and revealing’. He considered that ‘ if I had read this before I began my own philanthropic journey, I could have avoided a lot of mistakes and been more effective more quickly’ [IMP9]. The research motivated him to tell his story as a source of learning and inspiration for others at an event hosted by Maclean and broadcast from Prior Park School in June 2020 [IMP10]. An alumna attendee at that event, who runs a venture philanthropy fund investing in women and girls globally, was inspired to contact the School the next day to say: ‘ I would love to stay more involved and hear more about the idea … about gathering a cohort of alumni entrepreneurs’ [IMP9].

Feedback elicited from attendees at the GeNErosity Festival [IMP6] shows it made a difference to their understanding of philanthropy in the North East of England and their role within it. The co-founder of the Shears Foundation gained from ‘ learning how philanthropy in the North East started way back’ and ‘ seeing young people understanding philanthropy and embracing it.’ Another philanthropist was ‘ inspired by the collective endeavours of the past’. The Chair of OnSide Youth Zones said, ‘ the seminar I attended reinforced my desire to make a difference.’ Another business owner and philanthropist commented that she had used part of Harvey’s opening lecture ‘ as an easy way to initiate conversation about philanthropy, which can sometimes be difficult’ [IMP5].

It can also be demonstrated that philanthropy professionals have benefited substantially from REWP’s research. Participants at the Council for Academic Support of Education (CASE) ‘Development for Academic Leaders’ workshop, London, March 2020 (23 attendees), at which Harvey spoke, were unanimous (n = 23) in rating the value of what they learned as excellent (mean score 5 on a 1–5 scale). One remarked that the ‘research is really fascinating stuff and could have been a much longer session’ [IMP10].

A senior professional at CFTWN observed that ‘ *Being so closely linked with the University Research, many of us have learnt a huge amount about our regional philanthropic history, which adds to our knowledge of the field.*’ Her colleague felt it was ‘ like pressing fast forward on the big picture stuff’ [IMP7]. One Development Director reported that the research had ‘ inspired me to “raise my game” as a fundraiser, and to gain a deeper understanding of the patterns and relationships that have helped support causes across the North East, and use that understanding to drive changes in my own fundraising and philanthropy’ [IMP6]. In establishing the Oxford University Institute of Charity, its Director found the research ‘ extremely useful and helpful’, ‘rare in academic circles’ and something he hoped the Institute ‘ would be able to emulate’ [IMP6].

Tilba’s pioneering research, which unearthed substantial concerns regarding the governance and investment practices of UK pension funds, has had a significant impact on the process of regulating pension funds and the organisations involved in pension fund investment chains. Her research has profoundly changed the understandings of regulatory bodies and influenced their recommendations to government. Tilba’s research findings were influential throughout the Law Commission’s investigation of the fiduciary duties of investment intermediaries, which reported in 2014. This led the Financial Conduct Authority (FCA) to conduct an Asset Management Market Study in 2015, to which Tilba actively contributed, to investigate concerns raised regarding the asset management market. This process led the Competitions and Markets Authority (CMA) to investigate investment consultancy and fiduciary management services. The CMA’s final report (December 2018) made a significant recommendation to government, reflecting Tilba’s research, to extend the FCA’s regulatory remit over investment consultants. There is also evidence that her research has changed the behaviour of a range of organisations operating in the fields of fund management and investment advice. These impacts are detailed in turn below.

Shaping the Law Commission’s investigation of the fiduciary duties of investment intermediaries

The Kay Review of UK Equity Markets and Long-Term Decision Making (2012) had recommended that the Law Commission be asked to review the legal concept of fiduciary duty within the investment chain. The Law Commission, conducting an initial search of academic literature, identified that Tilba’s research was the first to look in depth at the investment chain, and they used it extensively to inform their consultation paper [IMP1].

As a result of her research, Tilba was invited to be a member of the five-person Advisory Committee for the Law Commission’s review; the other four members were senior academics and industry experts. A testimonial letter from the Law Commission states, ‘ Drawing on her research findings Dr Tilba actively contributed to numerous roundtable discussions and advisory group meetings’ [IMP2]. The Final Report [IMP3] published following the review cites PUB 1 and refers to Tilba’s role on the Advisory Committee. The testimonial from the Law Commission [IMP2] also states that ‘ Dr Tilba’s paper addressed some of the key issues we were investigating’ and that ‘ Dr Tilba’s research filled gaps in our knowledge about the contractual relationships between the various parties in the chain’. The testimonial concludes, ‘ Overall, Dr Tilba’s research has helped to shed light on pension fund investment practices, particularly around contractual relationships within pension fund investment chains’.

The Law Commission Report’s [IMP3] findings, and its clarification of fiduciary duties, particularly for pension fund trustees, informed by Tilba’s research, generated wide support within the pensions industry. For example, the UK Sustainable Investment and Finance Association (UKSIF) coordinated a letter signed by investors from organisations with over GBP550,000,000,000 in assets under management endorsing the final report, stating that it did an excellent job of clarifying trustees’ fiduciary duties, and asking the government to make those clarifications statutory [IMP4].

The Law Commission also consulted with Tilba during their review of Pension Funds and Social Investment, and cited her research in their report on Pension Funds and Social Investment [IMP5] presented to Parliament in 2017.

Shaping Financial Conduct Authority and Competitions and Market Authority recommendations for the regulation of investment intermediaries

In response to pension fund and financial services industry concerns, including those raised by the Law Commission’s consultation and final report, the Financial Conduct Authority (FCA), the UK’s independent financial services regulator, launched a comprehensive Asset Management Market Study to investigate concerns raised regarding the asset management market. On the basis of her research expertise, the FCA commissioned Tilba and colleagues (Grant 1, PUB3) to ‘ explore the dynamics of, and obstacles to effective investment decisions by oversight committees’ [IMP6, p. 68], with a particular focus on pension fund trustees. This research (PUB3) was cited in and published alongside the FCA Asset Management Market Study Interim Report [IMP6] as evidence that ‘ trustees have a tendency to rely heavily on investment consultants, Chairs of Trustees and/or professional trustees that they perceive as having greater investment knowledge. This dependency can result in trustees accepting proposed investment strategies without critique or challenge’ [IMP6, p. 68]. Also, ‘trustees may be unwilling to challenge as a result of the fear of complexity and looking unknowledgeable in front of peers’ [IMP6, p. 167]. This influential research was also cited in the Financial Conduct Authority Final Decision in respect of the Asset Management Market Study [IMP7, p. 8] as evidence ‘ that trustees have a tendency to rely heavily on investment consultants’, a finding which contributed to the FCA’s Final Decision to make a Market Investigation Reference in relation to investment consultancy services and fiduciary management services.

As a result of the FCA’s Final Decision, the Competitions and Markets Authority (CMA) launched an investigation into investment consultancy and fiduciary management services. CMA’s final report, published in 2018 [IMP8, p. 121], also referenced Tilba’s work, stating that ‘ Dr Anna Tilba submitted that her research into fund governance and trustee investment decision-making confirms this lack of challenge of the investment consultant(s)’. It found adverse effects on competition in these markets, from which substantial customer detriment could be expected to result. The report recommended that the government should extend the FCA’s regulatory perimeter to include the relevant services provided by investment consultancy and fiduciary management firms. In 2019, as a result of these recommendations, a package of measures passed into law to remedy, mitigate and prevent the adverse effects on competition and resulting customer detriment: this significant regulatory change reflects Tilba’s research conclusions and recommendations.

Influencing commercial behaviour in the fund management and investment advice sector

The Chair of the European Federation of Financial Analysts Societies’ Research and Bond Commission, which has 29 national member societies, which in turn have around 160,000 financial analysts as their professional members, wrote in a testimonial letter dated 1 December 2017: ‘ There can be little doubt that Dr. Tilba’s research into pension fund investment practices has contributed to the changed behaviour of some commercial institutions operating in the fields of fund management and investment advice. This is true not just in the UK, but also in Europe and the US to my knowledge. There’s absolutely no doubt that it has been a factor in the investigations and practices of the UK public regulatory and supervisory authorities’ [IMP9].

On the basis of her research, Anna has been an invited member of the Transparency Taskforce (TTF), a not-for-profit forum with the sole purpose of driving positive, progressive and purposeful finance reform, since its formation in 2015. It has 1,600 members and is growing globally, with members and ambassadors from 21 countries. In 2019 she became the first female academic to be awarded the Transparency Trophy in recognition of her commitment to improving governance, transparency and accountability standards within the UK's financial services sector through her role as a Transparency Ambassador and her policy impact. The award was presented by the former Pensions Minister, Baroness Ross Altman.

This section demonstrates how Newcastle research has been mobilised and adopted in two significant organisations in the North East of England: one of the largest private motor dealerships in the UK and the only remaining steel mill producing bespoke steel pipes. The collaborations with both organisations have substantially increased competitiveness by improving productivity, operational efficiency, and lead-times.

Hartlepool Steel Mill

The first example emphasises how a transformational change strategy based on Newcastle research, implemented from 2004, enabled Hartlepool Steel Mill to be saved from closure by its purchase by Liberty Steel in 2017. To set the context, Hartlepool Steel Mill, under various ownerships from British Steel to Corus to Tata Steel, had attempted several turnaround strategies based on Lean methodologies, but none had resulted in a sustained period of improved performance. The Managing Director (MD) of Hartlepool Steel Mill, then under the ownership of Corus, was an early adopter of the research detailed in PUB1 and PUB2. The MD subsequently enrolled in a part-time PhD with Hicks and McGovern to develop a deeper understanding of transformational change. He states in a letter dated 14 January 2021: ‘ This enabled me to implement a holistic transformational change programme that encompassed an enhanced people strategy in combination with a comprehensive, continuous improvement programme based on the PNA/MNA/TNA analysis’ [IMP1]. He goes on to say that this combined approach enabled Hartlepool Steel Mill to develop a continuous improvement capability under his leadership.

In 2015–16, there was a steep decline in the market for specialised steel pipe caused by a collapse in the oil price from USD120/barrel to USD28/barrel. This precipitated announcements of reductions in UK production capacity from major steel producers. Tata Steel had decided to divest, or if necessary, close the Hartlepool Steel Mill. However, in 2017 Liberty House acquired the Hartlepool Steel Mill. The MD states: ‘ Liberty House acquired the Hartlepool Steel Mill because they perceived it as a world class asset that could be restored to its former glory. Liberty were inspired by the significant improvement in productivity due to the successful transformational change capability which was embedded in the Company’ [IMP1]. The MD notes that this protected the employment of 200 people in Hartlepool, which is the fourth most employment-deprived local authority in England, according to the English Indices of Deprivation 2019. The MD comments that ‘ The improvement capability established and sustained through the transformational change programme made the Company sufficiently resilient to survive and compete in a declining and highly competitive market’ [IMP1].

The MD completes his testimonial by stating that ‘ The Hartlepool Steel Mill is continuing its journey of enhancing its capability in process improvement and transformational change’, noting that since 2014 productivity has improved by a further 8% [IMP1].

Therefore, during the current REF period the Company was saved from closure, thereby protecting employment, and productivity was improved by a further 8%. This demonstrates that the transformational change strategy informed by the collaboration with Newcastle researchers has had the sustained impact that previous strategies failed to achieve.

Benfield Motor Group

The second example details the significant impact of a transformational change intervention in an automotive dealership. In 2014, Benfield Motor Group had 1,500 staff and was one of the largest and best-known private companies in the motor retailing market, with a chain of 34 franchised dealerships. Strong aftersales performance is a crucial outcome of a successful business model in motor distribution. It provides a stable source of profit and insulates against seasonal and other fluctuations in the car sales market. In line with the sector, the contribution that Benfield enjoyed from this area was falling relative to overall costs. To address this and to increase customer satisfaction, the Company had taken a strategic decision to introduce a programme of transformational change but did not have the expertise in-house. Previous attempts to introduce change with the support of consultants had failed. As noted in Section 2, the automotive manufacturers’ national sales organisations decouple distributors from automotive manufacturing expertise in Lean (PUB5). Therefore, Benfield’s CEO commissioned the Newcastle team to assist with transformational change. An ESRC/Innovate UK-funded Knowledge Transfer Partnership (KTP) with Benfield (Grant 4), launched in January 2014, increased productivity and improved customer service as part of Benfield’s ‘Work Smart’ programme (detailed in PUB6).

The KTP adopted ‘the three-legged-stool’ approach to transformational change (PUB4), encompassing, vision, people (role specifications, job design, reward structures, and training), and process improvement. The KTP Associate led teams of technicians to design and implement process improvements in the Aftersales Department. Employees were trained in using problem-solving tools, understanding value streams, and the importance of managing workflow to meet customer requirements. This was based on previous research conducted by Herron and Hicks (PUB2), the ERIP project (Grant 1 and PUB3), and transformational change in the NHS (Grants 2 and 3 and PUB 4). The aftersales work was segmented into a ‘green stream’ for fully predictable work (such as services for relatively new cars), an ‘amber stream’ for semi-predictable work (such as servicing slightly older cars), and a ‘red stream’ for unpredictable, reactive work. Improved efficiency enabled the Company to service more cars with their existing resources.

The KTP was rated as outstanding (the highest possible rating) by Innovate UK [IMP2] and is featured as a case study on the ESRC’s website [IMP3]. The ‘Company Partner’ element of the Final Report [IMP4], which has been independently assessed by Innovate UK, and the case study published on the ESRC website [IMP3] both attribute the following impacts directly to the KTP:

• Increase in the Company's annual sales turnover of GBP720,000;

• Customer waiting time at the dealership for routine services reduced from 2 hours to less than 45 minutes;

• Process improvements reduced booking lead-time from 1–5 days to 1 day;

• Where a courtesy car was requested, lead-time was reduced from 1–15 days to 0–9 days.

Benfield’s Strategic Development Director explains in the Final Report [IMP4] that the KTP had been initiated due to the former CEO’s view that Lean was the future of aftersales. He comments: ‘ Over the two-year project, we have developed a clear vision for the transformation of aftersales, and have developed a plan and training package to achieve this’ [IMP4] . In assessing the impact on the Company, he makes the following comments regarding staff: ‘ The method of implementation has allowed many individuals across the organisation to have benefited from acquiring knowledge of process improvement tools and techniques that has informed the KTP’; ‘Staff have been upskilled and have been able to contribute to making improvements. Communication channels between different departments have been substantially improved’; and ‘ Staff have been motivated to identify and continually make improvements to their work areas and help colleagues make improvements in other areas of the business. These improvements have resulted in increased productivity and efficiency throughout the aftersales function’ [IMP4]. In terms of customers, he comments, ‘Customers have appreciated the fast service offered by the green lane innovation that the KTP has produced’, and ‘ Customers have received a quicker, more efficient service’ [IMP4].

In his concluding remarks to the Final Report, the Strategic Development Director comments, ‘ Due to the complexities of implementing transformational change, the KTP was vital in developing the strong foundations for what we see as a long journey. The academic team was able to provide guidance to the project owing to their prior experience of, and engagement with, this type of change initiative’ [IMP4].

The significant impacts on both Hartlepool Steel Mill and Benfield Motors are examples of impact arising from Newcastle’s long track record of interdisciplinary operations management research combined with extensive collaborations with organisations.