Bibliography of Academic Papers on Social Entrepreneurship Prepared by
Jeffrey A. Robinson Assistant Professor of Management & Entrepreneurship
Jan Lo Doctoral Student
Management ad Organizations Department 40 West 4th Street New York, NY 10012-1119
----- First Draft ----JANUARY 12, 2005 This bibliography was made possible by a research grant from the Satter Social Entrepreneurship Fund of the NYU Stern School of Business and the continued support of the staff of the Berkley Center for Entrepreneurial Studies.
Table of Contents Introduction............................................................................................................................ 1 The Early Stage Social Entrepreneurship Research Project .............................................. 1 The Social Entrepreneurship Academic Papers Bibliography Project .................................. 2 Selection Methodology ...................................................................................................... 2 Criteria ........................................................................................................................... 2 Search............................................................................................................................. 2 Results of Search.................................................................................................................... 3 Suggesting Additional Papers for Inclusion in the Bibliography ...................................... 3 Bibliography of Academic Papers in Social Entrepreneurship.............................................. 4 Category: Defining Social Entrepreneurship ..................................................................... 4 The Meaning of “Social Entrepreneurship”................................................................... 4 Category: Peer Reviewed Theoretical and Empirical Papers ............................................ 5 Social Entrepreneurship - A New Look at the People and the Potential ....................... 5 Social Entrepreneurship: Managerial, Finance and Marketing Aspects........................ 5 The World of the Social Entrepreneur ........................................................................... 6 Social Entrepreneurship: Towards Conceptualization................................................... 6 Social Entrepreneurship and Societal Transformation: An Exploratory Study ............. 7 Toward Nonprofit Organization Reform in the Voluntary Spirit: Lessons from the Internet ........................................................................................................................... 7 Nonprofit Arts Organizations: Do Funding Sources Influence Spending Patterns?...... 8 Factors Influencing Women Entrepreneurs of NGOs in India ...................................... 8 Social Entrepreneurial Leadership................................................................................. 9 Category: Working Papers............................................................................................... 10 Social Entrepreneurship: What Are We Talking About? A Framework For Future Research....................................................................................................................... 10 Social Entrepreneurship: How Intentions to Create a Social Enterprise Get Formed. 10 Entrepreneurship and Public Service Management: Definitions, Competencies, Obstacles and Examples .............................................................................................. 11 Social Capital, Social Entrepreneurship and Entrepreneurship Education.................. 11 Appendix I ........................................................................................................................... 12 12 areas for potential research papers in social entrepreneurship.................................... 12
Introduction Social Entrepreneurship has become a global phenomenon that impacts the lives of citizens by using innovative approaches to solving social problems. Academic interest in the topic has focused on practitioner events (such as show case conferences, best practice cases, popular press publications) and teaching in MBA and undergraduate electives. However, there has hot been the same level of activity around academic papers discussing theoretical explanations of social entrepreneurship or rigorous empirical analysis of the phenomenon. There are many unanswered questions that should be addressed by research as practitioners, funders, and universities move forward with social entrepreneurship initiatives. (See Appendix I for a list of research questions related to social entrepreneurship.) As part of the Early Stage Social Entrepreneurship Research Project at the NYU Stern School of Business, we have conducted a preliminary scan of the academic literature on social entrepreneurship. Our first pass at the relevant papers has revealed to us that there is very little academic research being conducted on social entrepreneurship. As a result of this lack of research, we have a limited understanding of the processes involved in creating social ventures and the specific challenges faced by social entrepreneurs. We conclude that there are excellent opportunities for research in this area.
The Early Stage Social Entrepreneurship Research Project The Early Stage Social Entrepreneurship Research Project explores the motivations and processes of social entrepreneurs by conducting path-breaking qualitative research of 100 social entrepreneurs in the United States. We have committed to three specific outcomes of this research project. 1. To conduct path-breaking qualitative research that investigates the challenges and opportunities of early stage social entrepreneurs 2. To develop a research paper and a research report that documents our findings 3. To create a website for our finding This project has been generously funded by a research grant from the Satter Social Entrepreneurship Fund of NYU Stern School of Business’s Berkley Center for Entrepreneurial Studies. This research project is consistent with the third objective of the Satter Fund – “To provide thought leadership in the field of social entrepreneurship.
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The Social Entrepreneurship Academic Papers Bibliography Project The purpose of this bibliography is to identify the academic papers written on social entrepreneurship. We distinguish academic papers from other research oriented work that target practitioners and materials used for teaching purposes (e.g. research reports and case studies). In this bibliography we highlight recent papers that attempt to make theoretical and empirical contributions to entrepreneurship, management, marketing, sociology or other academic fields. Below we disclose the selection methodology that we used to create this listing and the initial results of our search.
Selection Methodology Criteria We established the following criteria for inclusion in the bibliography before conducting the search. Each paper included in this bibliography is • a paper related to social entrepreneurship or social enterprise (e.g., issues facing pure for-profits, pure non-profits, and hybrid forms as they seek to innovative approaches to social problems) • a paper structured in an academic format (e.g., theoretical development, hypothesis, propositions, theories and/or citations) • a paper targeted at a research audience, not solely practitioners (e.g. social entrepreneurs, funders, policy makers). Search Our search for these academic papers was conducted using the Internet. First, we used several on-line research databases (e.g. Proquest/ABI Inform, Ingenta) using the key words, “social entrepreneurship” and “social enterprise” for the years 1990 to 2004. Second, we visited the websites of seven schools with large social entrepreneurship program and/or initiatives: Stanford University, Oxford University, Columbia University, Harvard University, Duke University, IESE University, and Yale University. Each of these websites had links to various reports and papers that we considered for inclusion in our bibliography. All of the papers included in this bibliography fit these criteria.
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Results of Search On the following pages we present 14 papers that met the criteria detailed above. The format of the entries is: Title Author(s), Citation Web address (if applicable) Abstract: Additionally, we divided the 14 papers into three categories: Defining Social Entrepreneurship (1 paper), Peer Reviewed Theoretical and Empirical Papers (9 papers), and Working Paper(4 papers)s.
Suggesting Additional Papers for Inclusion in the Bibliography Because of the methodology we used to compile this listing of papers, we may have inadvertently overlooked sources of papers not covered by on-line databases we searched. We are open to suggestions for additional papers to list in our bibliography. Please forward citations that fit the above criteria to us via e-mail at
[email protected]
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Bibliography of Academic Papers in Social Entrepreneurship Category: Defining Social Entrepreneurship The Meaning of “Social Entrepreneurship” J. Gregory Dees http://www.fuqua.duke.edu/centers/case/documents/dees_SE.pdf
Abstract: The idea of “social entrepreneurship” has struck a responsive chord. It is a phrase well suited to our times. It combines the passion of a social mission with an image of business-like discipline, innovation, and determination commonly associated with, for instance, the high-tech pioneers of Silicon Valley. The time is certainly ripe for entrepreneurial approaches to social problems. Many governmental and philanthropic efforts have fallen far short of our expectations. Major social sector institutions are often viewed as inefficient, ineffective, and unresponsive. Social entrepreneurs are needed to develop new models for a new century. The language of social entrepreneurship may be new, but the phenomenon is not. We have always had social entrepreneurs, even if we did not call them that. They originally built many of the institutions we now take for granted. However, the new name is important in that it implies a blurring of sector boundaries. In addition to innovative not-for-profit ventures, social entrepreneurship can include social purpose business ventures, such as for-profit community development banks, and hybrid organizations mixing not-for-profit and for-profit elements, such as homeless shelters that start businesses to train and employ their residents. The new language helps to broaden the playing field. Social entrepreneurs look for the most effective methods of serving their social missions. Though the concept of “social entrepreneurship” is gaining popularity, it means different things to different people. This can be confusing. Many associate social entrepreneurship exclusively with not-for-profit organizations starting for-profit or earnedincome ventures. Others use it to describe anyone who starts a not-for-profit organization. Still others use it to refer to business owners who integrate social responsibility into their operations. What does “social entrepreneurship” really mean? What does it take to be a social entrepreneur? To answer these questions, we should start by looking into the roots of the term “entrepreneur.”
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Category: Peer Reviewed Theoretical and Empirical Papers Social Entrepreneurship - A New Look at the People and the Potential John Thompson, Geoff Alvy, & Ann Lees. Management Decision. London: 2000. Vol.38, Iss. 5; pg. 328 Abstract: Much has been written about entrepreneurship, mainly as a driver of capitalism and economic activity. However, when economic decline has adversely affected local communities, these communities are likely to need both economic and social regeneration. As well as business entrepreneurs, we need social entrepreneurs, people who realize where there is an opportunity to satisfy some unmet need that the state welfare system will not or cannot meet, and who gather the necessary resources and use these to "make a difference." Thompson et al consider the crucial role of private sector social entrepreneurship in the context of a state welfare system stretched beyond its means. They define social entrepreneurship, recount a number of key points from relevant research projects, reflect upon current developments and initiatives, describe a number of cases and use these to draw a set of tentative conclusions about social entrepreneurs and social entrepreneurship in the context of the current government's aim of fostering rapid growth in the sector. They conclude that while such growth is highly desirable, a number of hurdles have to be overcome.
Social Entrepreneurship: Managerial, Finance and Marketing Aspects John T Zietlow. Journal of Nonprofit & Public Sector Marketing. Binghamton: 2001. Vol.9, Iss. 1,2; pg. 19 Abstract: Nonprofit organizations are being urged to take a more "businesslike approach" to their operations, and to add earned income ventures to offset cash shortfalls due to lower donation or grant and contract revenue. This "social entrepreneurship" impetus started around 1980, grew rapidly in the late 1980s, and continues to accelerate in the new millennium. Entrepreneurial ventures are not only seen in commercially-oriented health care, arts, and education organizations, but churches, youth organizations, soup kitchens, and other donative non-profits. This article introduced the field of social entrepreneurship, surveys major contributions from the leading thinkers, and spotlights key managerial, finance, and marketing issues.
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The World of the Social Entrepreneur John L Thompson. The International Journal of Public Sector Management. Bradford: 2002. Vol.15, Iss. 4/5; pg. 412, 20 pgs Abstract: The term "social entrepreneurship" is being adopted and used more extensively, but its meaning is not widely understood. In particular, the scope of social entrepreneurship in both business and the voluntary sector has not been mapped effectively. This paper begins by defining social entrepreneurs and social entrepreneurship. Then, using projects considered for a charter award under the Duke of York's Community Initiative, it looks at what social entrepreneurs do and achieve for the community, at the wide scope of their world, and at the help that is available and needed. The paper includes two case studies of successful social entrepreneurs as a means of drawing out a number of important issues and lessons. It provides a new map for understanding the complexity and the many facets of the world of the social entrepreneur and the voluntary sector. It questions whether the UK government's stated desire for an "explosive act" of volunteering can happen without more substantial support, and concludes that whilst the growth of this sector is urgent and vital, a number of hurdles remain to be overcome.
Social Entrepreneurship: Towards Conceptualization Gillian Sullivan Mort, Jay Weerawardena, & Kashonia Carnegie. International Journal of Nonprofit and Voluntary Sector Marketing. London: Feb 2003. Vol.8, Iss. 1; pg. 76, 13 pgs Abstract: The marketing in strategy dialogue and the emerging marketing/entrepreneurship interface paradigm stress the need for marketers to research entrepreneurship. Social entrepreneurship, the entrepreneurship leading to the establishment of new social enterprises and the continued innovation in existing ones, is much discussed but little understood and, given the increasing importance of such organizations, should be addressed. This paper conceptualizes social entrepreneurship as a multidimensional construct involving the expression of entrepreneurially virtuous behavior to achieve the social mission, a coherent unity of purpose and action in the face of moral complexity, the ability to recognize social value-creating opportunities and key decision-making characteristics of innovativeness, proactiveness and risk-taking. The paper discusses implications for policy and practice, and concludes with a consideration of theoretical issues and directions for future research.
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Social Entrepreneurship and Societal Transformation: An Exploratory Study Sarah H Alvord, L David Brown, & Christine W Letts. The Journal of Applied Behavioral Science. Arlington: Sep 2004. Vol.40, Iss. 3; pg. 260, 23 pgs Abstract: This study provides a comparative analysis of 7 cases of social entrepreneurship that have been widely recognized as successful. The article suggests factors associated with successful social entrepreneurship, particularly with social entrepreneurship that leads to significant changes in the social, political, and economic contexts for poor and marginalized groups. It generates propositions about core innovations, leadership and organization, and scaling up in social entrepreneurship that produces societal transformation. The article concludes with a discussion of the implications for social entrepreneurship practice, research, and continued development.
Toward Nonprofit Organization Reform in the Voluntary Spirit: Lessons from the Internet Lori A. Brainard & Patricia D. Siplon. Nonprofit and Voluntary Sector Quarterly, September 2004, vol. 33, no. 3, pp. 435-457(23) Abstract: This article identifies two models of nonprofit organization roles: the economic model, which emphasizes business-like methods, and the voluntary spirit model, which emphasizes participation and membership. Highly visible, professional nonprofit organizations must constantly struggle with the extent to which they are to emphasize their role as efficient and competitive economic actors or their role as institutions important to our democracy. After years of shifting toward the economic model, professional nonprofits may be ripe for reform. Simultaneously, they are confronting and engaging with the Internet. This article draws on examples of health-based citizen cyber-organizations to derive lessons for how professional nonprofit organizations can recapture their voluntary spirit generally and places an emphasis on participation and membership. Also derived are specific lessons on how professional nonprofits can use cyber-strategies to do so.
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Nonprofit Arts Organizations: Do Funding Sources Influence Spending Patterns? Patricia Hughes & William Luksetich. Nonprofit and Voluntary Sector Quarterly, June 2004, vol. 33, no. 2, pp. 203-220(18) Abstract: Concern over the funding of nonprofit organizations has raised issues concerning the amount of money available for the provision of services and the potential that changes in the nature of funding will compromise organizational goals. Because of increased competition and government cutbacks, nonprofits will be forced to place more reliance on commercial ventures. This has the potential to negatively affect the behavior of recipient organizations. The question addressed in this article is whether greater reliance on private funding and commercial ventures will ultimately cause nonprofit arts organizations to place less emphasis on program services and more emphasis on fundraising and management expenses. The analysis is focused on three categories of nonprofit arts organizations: museums, performing arts, and media and communications. Overall, the provision of program services appears to be the primary goal of organizations in these three sectors, and greater reliance on private funding does not divert funding from program service delivery.
Factors Influencing Women Entrepreneurs of NGOs in India Femida Handy & Shree Ranade. (2002). Nonprofit Management and Leadership. Vol. 13, No. 2 pp. 139-54. Abstract: This article examines women entrepreneurs in the nonprofit sector. Entrepreneurial activity attracts certain kinds of individuals. Such self-selection is not a random event but is influenced by personal characteristics as well as socioeconomic and cultural factors. This article examines women entrepreneurs in a particular segment of the nonprofit sector in India to determine which factors influence such self-selection. Our research confirms findings by other scholars that nonprofit entrepreneurs receive a high payroll from promoting social causes. Furthermore, we find that previous experience in the sector, beliefs, culture, social class, education, and family background also play an important role. We explore some policy implications of our findings.
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Social Entrepreneurial Leadership Prabhu, Ganesh N. (1999) Career Development International, Vol. 4, No. 3, pp. 140-145. Abstract: Social entrepreneurial leaders are persons who create and manage innovative entrepreneurial organizations or ventures whose primary mission is the social change and development of their client group. The social enterprise's activities and its client group's activities can primarily be either economic or non-economic, but the mission is social change and development. This paper examines research prospects in social entrepreneurial leadership and its relevance to mainstream entrepreneurship research and proposes useful cross-fertilization opportunities.
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Category: Working Papers Social Entrepreneurship: What Are We Talking About? A Framework For Future Research Johanna Mair and Ignasi Marti, University of Navarra- WP No 546 http://www.iese.edu/research/pdfs/DI-0546-E.pdf
Abstract: This paper introduces a framework to guide papers and systematically enhance our understanding of social entrepreneurship. Drawing from traditional entrepreneurship literature, this paper presents social entrepreneurship “opportunities” as an important concept to differentiate social entrepreneurship from other social initiatives as well as from business entrepreneurship. I also addresses important issues – level of analysis, methods, and performance measures- that the field will have to attend to if it is to develop into an independent field of research. Finally, the paper argues that a dual approach- combining analytical and systematic thinking- is required to capture the complexity of the phenomenon.
Social Entrepreneurship: How Intentions to Create a Social Enterprise Get Formed. Johanna Mair and Ernesto Noboa. University of Navarra Business School- WP No 251 http://www.iese.edu/research/pdfs/DI-0521-E.pdf
Abstract: Social Entrepreneurship has raised increasing interest among scholars, yet we still know relatively little about the particular dynamics and processes involved. This paper aims at contributing to the field of social entrepreneurship by clarifying key elements, providing working definitions, and illuminating the social entrepreneurship process. In the first part of the paper we review the existing literature. In the second part we develop a model on how intentions to create a social venture- the tangible outcome of social entrepreneurship- get formed. Combining insights from traditional entrepreneurship literature and anecdotal evidence in the field of social entrepreneurship, we propose that behavioral intentions to create a social venture are influenced, first, by perceived social venture desirability, which is affected by attitudes such as empathy and moral judgment, and second, by perceived social venture feasibility, which is facilitated by social support and self- efficiency beliefs.
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Entrepreneurship and Public Service Management: Definitions, Competencies, Obstacles and Examples Nick Llewellyn, Charles Edwards, Alan Lawton & Geoff Jones http://www3.open.ac.uk/oubs/download/WP00_3.pdf
Abstract: This paper reports key findings from two structured practitioner panel seminars, convened at the Open University Business School (OUBS) as part of a three year study assessing the meaning and significance of social entrepreneurship for the practice of public management. The paper is based upon a systematic ‘content analysis’ (Boyle, 1994) of field notes made during the panels by the research group. The seminars were structured around issues emerging from a detailed literature review already conducted into social entrepreneurship. Mirroring the structure of the seminars, findings are presented around three themes: (a) definitions of entrepreneurship, social entrepreneurship and innovation, (b) competencies that relate to entrepreneurial public management and (c) obstacles to, and examples of, social entrepreneurship. In the initial section of the paper we contrast traditional theories of the entrepreneur with the way in which entrepreneurship has recently been linked to social, rather than individual or economic goals. Methodology is then discussed, exploring the way in which field notes were generated and analysed. In the discussion section we argue entrepreneurship is entering the discourse of public management whilst our data suggests entrepreneurial behaviours are playing a role within the delivery of a range of public services. We also argue cultural and structural organisational factors impact upon the way in which entrepreneurship is enacted by public managers. Finally, a number of propositions are presented around which we are attempting to generate theory in this area. Social Capital, Social Entrepreneurship and Entrepreneurship Education Calvin Kent & Lorraine P. Anderson (Marshall University, USA) http://www.senatehall.com/paper.php?article=3&journal=1
Abstract: This paper integrates the concepts of "social capital" and "social entrepreneurship" into the study of entrepreneurship. It contends that understanding the role that social organizations play in the process of innovation is essential to fully understand how ideas become new ventures. Moreover the paper makes the case that solving the social problems of the day requires the same type of risk taking and innovative thinking which characterized the production of new products and services. It calls attention to the significant volume of research which illustrates how the formation of social capital is essential for economic growth and provides the framework in which entrepreneurship can take place. Closing the paper is a discussion of how the concepts of "social capital" and "social entrepreneurship" should be integrated into the entrepreneurship curriculum at all levels of instruction.
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Appendix I 12 areas for potential research papers in social entrepreneurship 1. Innovation: What types of social impact innovations are developed in social ventures? Where do they come from? How are they implemented? 2. Performance Metrics: How do social entrepreneurs understand success and which measures do they use to assess their performance? What are the possibilities and limits of approaches such as the social return on investment (S-ROI) analysis? 3. Social Venture Capital Markets: Are the financing mechanisms and criteria for social venture capital different from those from traditional venture capital? What theories might explain the underdevelopment of the social venture capital markets? 4. Demographics: What are the typical sectors social ventures emerge in? Are there differences by country? What is the typical size, growth, and ownership structure? 5. Networks: Can the characteristics of social networks influence the sustainability of social entrepreneurial ventures? 6. Public policy: In what way would policy measures differ, if at all, for facilitating the sustainability of social entrepreneurial ventures? 7. Values: What role can values (ethical or moral) play in ensuring the sustainability of newly formed ventures? 8. Strategic considerations: How do social ventures establish their value net? Do social ventures require specific resource strategies? 9. Organizational development: What role do systems and processes play in ensuring the sustainability of the social venture? 10. Governance: What role do governance mechanisms play in ensuring the sustainability of the social entrepreneurial venture over time? 11. Exit: What are typical exit strategies for social ventures? How do these differ from traditional ventures? How can social ventures maintain their mission beyond the exit of the founding team? 12. Sustainable Development: How can social entrepreneurship play a role in sustainable development? 12
