Integration and Implementation Sciences: Improving Effectiveness in Tackling Complex Issues

1. Research Topics in Sustainable Development Seminar Center for International Development Kennedy School of Government, Harvard University October 2, 2003 Integration and Implementation Sciences: Will Developing a New Specialisation Improve Our Effectiveness in Tackling Complex Issues? Gabriele Bammer National Centre for Epidemiology and Population Health, ANU Hauser Center for Nonprofit Organizations, Harvard University

2. Seminar outline * Focus is on a framework; still in development * Broad sweep, rather than detail or examples * Background paper • Overview of Integration and Implementation Sciences • Rationale for and ‘location’ of a specialisation • Challenges: - developing solid foundations in theory and method - honing ability to engage with practical problems - embedding the specialisation in universities

3. Bottom line questions • Does the framework of Integration and Implementation Sciences hang together? • Is the rationale for a specialisation convincing? • Can you see the specialisation improving practice? • Is the way forward – intellectually, practically, politically – clear?

4. Overview of IIS • What is the problem for which Integration and Implementation Sciences is the answer? • Components • Defining elements

5. Type of problem…1 … it must be recognized that the relationship between scientific research, education, technological innovation and practical benefits is much more diverse and complex today than in the past, and frequently involves many players other than researchers. The progress of science cannot be justified purely in terms of search for knowledge. In addition, it must be defended … through its relevance and effectiveness in addressing the needs and expectations of our societies. UNESCO (1999) Introductory note to The Science Agenda--a framework for action, In Science for the 21st Century: a new commitment, World Conference on Science, UNESCO, Budapest. pp.469.

6. Type of problem…2 “Development by doing”, e.g. - best developed in research on environmental issues - Social Learning Group – learning to manage global environmental risks - World Commission on Dams (dams and development) - SPARC - slum resettlement in Mumbai - action research projects - soft systems and critical systems approaches

7. Type of problem…3 • Complexity, uncertainty, change, imperfection • Need for integration across - disciplines - sectors, organisations - different ways of knowing, cultures • Need for research engagement in implementation in policy, practice and product

8. Components • Inter- and trans-disciplinarity (specific focus on integration) • Transfer, translation, transformation (specific focus on implementation) • Systems thinking • Participatory methods • Complexity science • Diverse epistemologies

9. Defining elements • Rooted in practical application • Collaboration is essential

10. Application in a specific sector HEALTH ENVIRONMENT Methodological development with respect to a single sector INNOVATION & BUSINESS EDUCATION Theory and methods RISK & SECURITY POLICY & GOVERNMENT INTERNATIONAL DEVELOPMENT SOCIETY, HUMAN BEHAVIOUR & CULTURE Rooted in practical application(courtesy of Lorrae van Kerkhoff)

11. Rationale for a specialisation Reinvention of the wheel; ignorance of useful approaches Fragmentation Privatisation of knowledge Marginalised, unrecognised, unrewarded Critical mass of researchers and of knowledge Critical “college” of peers; quality control Complement not replacement for existing disciplines

12. Location of a specialisation Analogy with statistics (develops through engagement with practice): • home base • spread through other disciplines • individual competence

13. Challenges • developing solid foundations in theory and method • honing ability to engage with practical problems • embedding the specialisation in universities

14. Developing solid foundations…1 • Emphasis here on each individual approach • Bringing approaches together • Focus here on overarching issues • No good catalogue • Now have unconnected evolving traditions

15. Developing solid foundations…2 • Inter- and trans- disciplinarity • Transfer, translation, transformation • Systems thinking • Participatory methods • Complexity science • Diverse epistemologies

16. Inter- and trans-disciplinarity…1 Two types of integration: • Inter-disciplinarity – different disciplines work together on the same problem, looking particularly for areas of overlap and synthesis • Trans-disciplinarity – develop a new common conceptual framework that provides a new level of coherence for the different disciplines

17. Inter- and trans-disciplinarity…2 Klein - four models for interdisciplinary integration: • Common group learning • Modeling • Negotiation among experts • Integration by leader

18. Inter- and trans-disciplinarity…3 Higginbotham et al. - two models for transdisciplinary integration: • individual synthesises findings from a multitude of disciplines to provide a comprehensive explanation of a complex health issue • constructing a team who bring their combined resources to focus on problem-solving

19. Inter- and trans-disciplinarity…4 More work needed on: • Fleshing out methods for integration • Describing successful case studies • Interaction with other approaches eg - modeling and systems thinking - common group learning and participatory methods

20. Developing solid foundations…3 • Inter- and trans- disciplinarity • Transfer, translation, transformation • Systems thinking • Participatory methods • Complexity science • Diverse epistemologies

21. Transfer, translation, transformation…1 • van Kerkhoff – 4 dimensions of integration in research • Gibson – transformation of research into policy (not translation or transfer) - Requires more than changing timing and format of communication about research, or even creating joint projects - For research to influence policy it must be transformed into knowledge that is invested with meaning and power that binds government to a particular view or course of action – complex social process

22. Transfer, translation, transformation…2 • Gibson continued: - needs advocacy coalitions that are inspired to see policy reflect their beliefs and values - research is either ‘minted’ into valuable currency for policy arguments or muted depending on the social context of justification, the irrefutability of the data, and the immutability of the policy - research is transformed into knowledge/power when it becomes part of a policy discourse that simultaneously shapes the thing that is the be governed and provides the reason and authority for government

23. Transfer, translation, transformation…3 Starts to set a context for key issues like: • framing • building of alliances • role of research in advocacy • role of research in improving lay enquiry • new positions eg knowledge brokers, boundary spanner

24. Transfer, translation, transformation…4 More work needed on: • constructing a frame for these approaches • do we always need transformation; can transfer or translation be enough? • fleshing out methods for transformation • describing successful case studies for transformation

25. Developing solid foundations…3 • Inter- and trans- disciplinarity • Transfer, translation, transformation • Systems thinking • Participatory methods • Complexity science • Diverse epistemologies

26. Systems thinking…1 • Twin of analytical thinking – deals with wholes rather than parts • Range of systems methods developed and adopted • Hard to get a good overview of theory and method: tend to be historical, anti-reductionist, (anti-positivist), different system ‘tribes’

27. Systems thinking…2 Checkland: • emergence and hierarchy, and • communication and control

28. Systems thinking…3 Hierarchy: • provides a structured way of thinking across scale • shows that systems are not closed • provides a big picture view, including interactions between local and global • shows linkages, including between sectors and stakeholders • sets the context for emergent properties Communication and control: • vicious and virtuous cycles • effective points of intervention • sources of unintended effects.

29. Systems thinking…4 Troncale (general systems: unify physical and life sciences): • Hierarchies and emergence – scale • Flows, interactions, networks – supply • Boundaries, limits and fields – identity • Symmetry and duality – form • Feedback and regulation – adjustment • Stability and equilibrium – constancy • Cycles and cycling – tempo • Chaos and origins processes – beginnings • Variation, development and evolution – change

30. Systems thinking…5 More work on: • what each school (eg systems dynamics, cybernetics) would do with each concept eg critical systems thinking makes boundary critique central; determines what’s included, excluded and marginalised • interfaces eg soft systems with participatory methodseg with epistemologies: much is positivist, soft systems is interpretivist, critical systems is critical

31. Developing solid foundations…4 • Inter- and trans- disciplinarity • Transfer, translation, transformation • Systems thinking • Participatory methods • Complexity science • Diverse epistemologies

32. Participatory methods…1 • various forms of structured engagement between researchers and relevant social actors, such as community representatives, business groups and policy-makers • extensive range of documented and undocumented methods • rationale includes: - important sources of information - empowerment for action; democratisation of knowledge - share burden of decision making in face of uncertainty and imperfection

33. Participatory methods…2 Framework by Brown et al. (2003) has four key elements: • paradigms, goals and interests • relationships and organization • methods and technologies • contextual forces and institutions

34. Participatory methods…3 More work on: • developing practical guides for these framework concepts eg building trust, managing power differences • classifying approaches as focused puzzle solving, long-term domain development etc • participatory methods to bridge between powerful and powerless

35. Developing solid foundations…2 • Inter- and trans- disciplinarity • Transfer, translation, transformation • Systems thinking • Participatory methods • Complexity science • Diverse epistemologies

36. Complexity science…1 Systems that display complex behaviour share some or all of the following characteristics: • Comprise many elements or subsystems connected together in irregular ways • Span a large range of dimensions and scales • Connections between the elements of the system are non-linear • Systems exhibit hysteretic or irreversible behaviour • Interaction between simpler elements allows self-organisation, that is the emergence of complex behaviour that is not determined by information or controls imposed externally

37. Complexity science…2 More work on: • examples of what this means in real world problems • examples of how it helps intervention in real world problems

38. Developing solid foundations…2 • Inter- and trans- disciplinarity • Transfer, translation, transformation • Systems thinking • Participatory methods • Complexity science • Diverse epistemologies

39. Diverse epistemologies…1 Two aspects: • Tools for better understanding different world views and for improving transnational competence (link with participatory methods) • Different approaches to research eg positivist, interpretivist, critical, feminist, post-structuralist

40. Diverse epistemologies…2 Value of Neuman (2003): • Reason for research: Positivism – discover natural laws so people can predict and control events Interpretive social science – understand and describe meaningful social action Critical social science – smash myths and empower people to change society radically

41. Diverse epistemologies…3 Value of Neuman (2003) in comparing on: • Reason for research • Nature of social reality • Nature of human beings • Role of common sense • Theory looks like • An explanation that is true • Good evidence • Place for values

42. Diverse epistemologies…4 More work on: • Describing epistemological base of different case studies and how epistemology affects approach and outcomes • Development of hybrid epistemologies

43. Challenges • developing solid foundations in theory and method • honing ability to engage with practical problems Integration and Implementation Sciences is rooted in practical application; collaboration is essential • embedding the specialisation in universities

44. Ability to engage with practical problems • Models for location of practitioners in universities – time-out for reflection, learning skills, developing partnerships, teaching transformation skills • Models for location of researchers in practice • New institutional locations for practice-research partnerships (Mode 2) • Research capacity building in practitioners

45. Research collaboration…1 • The Collaboration Guidebook: Research Partnerships and the New Production of Knowledge (in preparation) • Defining element of collaboration is reciprocity • Collaboration involves understanding and harnessing difference

46. Research collaboration…2 Understanding difference: • nature of relationships and disparities in power • differences in world views, interests, skills, styles of operating Harnessing difference: • reciprocity and accountability • leadership and other roles • trust • principled negotiation • communication

47. Challenges • developing solid foundations in theory and method • honing ability to engage with practical problems • embedding the specialisation in universities

48. Embedding the specialisation • Key role for universities • More than a specialisation? • Critical college of peers • (Balancing leadership and ownership)

49. Next steps • Intellectual challenges - defining the field - applying the approaches - evaluating their effectiveness - coping with the volume of relevant knowledge • Promoting networking and collaboration • Early partnerships/involvement of developing countries • Political challenges of embedding specialisation in academy and getting funding

50. Bottom line questions • Does the framework of Integration and Implementation Sciences hang together? • Is the rationale for a specialisation convincing? • Can you see the specialisation improving practice? • Is the way forward – intellectually, practically, politically – clear?