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The role of knowledge in governing complex systems
Sandra Nutley
Strategies for central governments as they seek to set up effec7ve knowledge systems for priority se:ng, steering and accountability in the context of decentralised decision making
In a 7me of more decentralised decision making, the need for 7mely, accessible and reliable evidence is becoming ever more important.
With local autonomy comes an enormous opportunity for innova4ve approaches to thrive, but we need to share evidence to improve outcomes and help prevent duplicated efforts and wasted resources
1. What knowledge is of interest? 2. Nature of the challenge/task 3. Different approach to se:ng up
knowledge systems 4. Reasons for differences in approach 5. Concluding remarks
1. What knowledge is of interest?
My viewpoint and interests
Research Unit for Research U4lisa4on
Developing cross-‐sector knowledge on research use Educa4on Healthcare Social Care Criminal Jus4ce
www.ruru.ac.uk
• Know-‐about problems: the nature and forma7on of social problems.
• Know-‐what works: what policies, strategies or interven7ons will bring about desired outcomes
• Know-‐how (to put into prac7ce): e.g. knowledge about effec7ve programme implementa7on.
• Know-‐who (to involve): e.g. ge:ng stakeholder buy-‐in and building alliances for ac7on.
• Know-‐why (requirements of ac7on): rela7onship between values & policy/prac7ce.
• Know-‐whether having any impact: monitoring, evalua7on and accountability
Knowledge required for effective services
Five main sources of knowledge
• Research knowledge • Prac77oner knowledge • Policy community knowledge • Organisa7onal knowledge • User knowledge
Source: Pawson et al (2003) Types and quality of knowledge in social care, London: Social Care Institute for Excellence
Research-based knowledge worthy of particular attention because
• Careful delibera7on about how observa7ons and inferences are made
• Pays aSen7on to robustness and replicability
• Open to peer scru7ny and appraisal
However • Research needs to be ‘integrated’ with other forms of knowledge
Not a technocra7c process of integra7on -‐ Uncertain process because engages with values, exis7ng (tacit) knowledge and experience… -‐ socially and contextually situated…
-‐ may create conflic7ng knowledge and/or knowledge in incommensurate domains.
Working with diverse sources & types of knowledge
And, not just what knowledge/evidence, but crucially, who's knowledge/evidence? -‐ knowledge/power intertwined
2. Nature of the challenge/task
Addressing supply and demand
Stocks or reservoirs of knowledge
Knowledge demand in political and professional worlds, and wider society
Addressing supply and demand, and that in between
Stocks or reservoirs of research knowledge
Knowledge demand in political and professional worlds, and wider society
Research translation, research brokering and boundary spanning, partnerships of all kinds,
sustained interactivity…
Mul7ple interests and many connec7ons in effec7ve knowledge systems
Adapted from Sanderson (2009)
Government analysts
Service delivery organisations
3. Different approaches to setting up knowledge systems
Five factors underpinning approaches to improving research use in service se:ngs • Emphasis placed on different types of knowledge • Emphasis placed on instrumental uses of research • Assump7ons made about importance of local context in: – Appraising relevance of research – Developing strategies for ‘applying’ research findings
• Extent to which research produc7on and use are seen as separate ac7vi7es
• Who or what is seen as main target for research use ac7vi7es
Three models or strategies for improving research use
Research-‐based prac77oner model
Embedded research model
Organisa7onal excellence model
Research-‐based prac44oner model
• Role and responsibility of individual prac77oners to keep up-‐to-‐date with and apply research
• They access, appraise, apply research alongside their cra` knowledge and exper7se
• Assumes professional autonomy • Emphasises professional educa7on and training
Research based practitioner
Individual craI knowledge and experience
Research based
knowledge Prac4ce
Research-‐based prac44oner model: Role of central governments
• Ensuring supply of relevant and accessible research
• Regula7ng ini7al and con7nuing professional educa7on, occupa7onal standards and registra7on to prac7ce
Embedded research model
• Research is embedded in systems and processes -‐ standards, programmes, guidelines and specific tools
• Responsibility for research use lies with policy makers and managers
• Funding rules, performance management and regulatory regimes encourage or demand the use of resul7ng standards, programmes, guidelines and tools
Proba4on system redesign in UK Surveys, audits and forecasts
Research on what works
Risk & needs assessment tools
Case Management
Na7onal set of core offender programmes
Staff & programme accredita7on
Scru7ny regime
Embedded research model: Role of central governments
• Lead role in dis7lling implica7ons of research evidence, par7cularly ‘what works’
• Accredita7on of evidence-‐based programmes • Roll out of evidence-‐based standards, programmes, guidelines and tools
• Design of incen7ve, performance management and regulatory systems to encourage or demand uptake
Organisa4onal excellence model
• Leadership, management and organisa7on of service delivery organisa7ons is key
• Local adapta7on of exis7ng research findings and co-‐produc7on of new research
• Importance of developing a “research-‐minded” learning and improvement culture
• Partnerships with local universi7es or other sources of research and evalua7on exper7se
UK School-‐based research consor7a
Schools
LEAs HEIs
Select improvement
focus
Test out findings of others
Conduct own
research
Monitor progress & evaluate success
For another example, see Project Oracle reported in NESTA 2011
Organisa4onal excellence model: Role of central governments
• Funding and suppor7ng collabora7ve working
• Developing the capability and capacity of public service leaders
• Enabling and encouraging the par7cipa7on of service users in learning and improvement projects
No single model appropriate in all circumstances
Other models, combina4ons and hybrids Mul4-‐level approach
– Prac77oner level – Organisa7on level – System of care level – State, County and Local Context
Horizontal as well as ver4cal knowledge sharing Complementari4es and tensions
4. Reasons for differences in approach
Some explanatory factors • Popula4on size and density – ease of interac7ons vs capacity • Poli4cal culture factors – e.g. shared or conflic7ng values,
adversarial or consensual poli7cal frameworks, extent of deference to technical exper7se
• Policy domain factors – e.g. seSled or conten7ous problems, actors, structures and issue histories
• Coordina4on and integra4on capaci4es – e.g. extent of central control, system capaci7es for policy development and implementa7on
• Organisa4onal capaci4es and processes – e.g. supply of analy7cal skills, recep7vity to outside informa7on, rou7ne requirements and procedures
• Cross-‐sectoral rela4onships – ins7tu7onalisa7on of cross-‐sectoral processes such as bridging organisa7ons and networks
Adapted from Head (2010)
5. Some concluding remarks
• Research-‐based knowledge important but cannot be considered in isola7on from other sources of knowledge
• All knowledge is ‘s7cky’ and knowledge sharing is necessarily a social, interac7ve and dynamic process
• Players and processes more important than products
• Importance of context • Interac7on with other types of knowledge
(tacit; experien7al) • Mul7-‐voiced dialogue • ‘Use’ an interac7ve, non-‐linear, social &
poli7cal process
Move away from ideas of ‘packaging’ knowledge and enabling knowledge transfer – recognise instead:
• Research-‐based knowledge important but cannot be considered in isola7on from other sources of knowledge
• All knowledge is ‘s7cky’ and knowledge sharing is necessarily a social, interac7ve and dynamic process
• Different strategies with diverse implica7ons for the produc7on, transmission and use of various forms of knowledge
• Need mul7faceted strategies but beware of tensions as well as complementari7es
• Need to pay aSen7on to strengthening, legi7ma7ng and circula7ng local forms of knowledge as well as central data banks and performance data
• All this may require new ways of working that are likely to stretch the pa7ence and skills of central officials
Using Evidence: How research can inform public services
(Nutley, Walter and Davies, Policy Press, 2007)
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