ESRC UK Centre for Evidence Based Policy and Practice: Working Paper 13 Social care knowledge: SCIE-like ‘typologies’ Ray Pawson ESRC UK Centre for Evidence Based Policy and Practice Queen Mary University of London Email: [email protected] © January 2003: ESRC UK Centre for Evidence Based Policy and Practice Ray Pawson is Reader in Social Research Methodology at Leeds University, and the second visiting senior research fellow at the ESRC UK Centre for Evidence Based Policy and Practice. This Working Paper is the second in a series emanating from a research project on Types and Quality of Knowledge in Social Care, commissioned by the Social Care Institute for Excellence (SCIE). The SCIE project In June 2002 the Social Care Institute for Excellence commissioned an eight month, two stage study to devise a classification of types of social care knowledge, and develop standards for judging their quality. The research team includes members from Leeds University (Ray Pawson and Colin Barnes), Salford University (Andrew Long) and the ESRC UK Centre for Evidence Based Policy and Practice (Annette Boaz and Lesley Grayson). The project is led by Annette Boaz. This paper is the second in a series of three ‘starter papers’ that describe stage one of the project. Primarily intended as working documents for the team, and as background briefings for SCIE on the progress of the project, they are reproduced here to illustrate the challenges faced in identifying the kinds of knowledge that might be of value as evidence in social care, and in categorising them in a way that is useful and useable both for those who organise knowledge, and for those who make use of it. Abstract This paper moves on from the initial attempt at identifying potential categories of knowledge to be included in a classification of social care knowledge to examine what existing classifications have to contribute, in particular to the task of rationalising and simplifying the 13+ categories of knowledge already identified in Working Paper 12. A selection of eight from the many available classifications is examined. From this analysis, two possible approaches to classification are identified based on the purposes of knowledge (Route 1), and the sources of knowledge (Route 2). These are further examined, drawing on the eight existing classifications, using a matrix approach for Route 1 and a tree or lineage approach for Route 2. Key words: social care; knowledge; classification The purpose of the Working Paper series of the ESRC UK Centre for Evidence Based Policy and Practice is the early dissemination of outputs from Centre research and other activities. Some titles may subsequently appear in peer reviewed journals or other publications. In all cases, the views expressed are those of the author(s) and do not necessarily represent those of the ESRC. Social care knowledge: SCIE-like ‘typologies’ Introduction This is the first draft for another Starter Paper on ‘existing typologies’ and on scouring them for hints that we can use. Whilst our particular task is unique, there has been no shortage of previous attempts to classify and codify ‘forms of knowledge’ in social care-related activities. The selection examined below calls on typologies of ‘forms of evaluation’, ‘forms of action research’, ‘forms of social research’ and ‘forms of social work knowledge’, ‘models of professional knowledge’ and so on. The last is often accompanied by hand-wringing about whether social work is actually a profession (control of a formalised body of knowledge being one of the classic defining feature of a professional body (Thyer, 2002)). Note, that I stop short at eight typologies: there are many, many more available but they are chips off the same block and the gains to be had from considering any more are probably slight. Note also, that I found no exact parallel to our task. There is nothing out there considering itself to be a typology of ‘social care’ knowledge. Some of the frameworks are extremely detailed and I append charts and diagrams of the full typologies at the end of the document. To save the reader a lot of page flapping I duplicate the ‘horizontal axis’ from each typology as the first point of comparison – in other words I reproduce the various authors’ thoughts on key types without listing their ideas on content. It is intended that this paper be read in conjunction with Starter Paper 1 (SP1; reproduced in this series as Working Paper 12). The upshot of SP1 is that we have candidates galore (13+) for consideration as ‘types’ but that such a number would be far too unwieldy for anyone to use (or even remember). The battle is on to simplify them and this is the prime focus of the discussion in each of the eight sections below. 1. Owen and Rogers (1999) – ‘Forms’ of evaluation and their ‘primary orientation’ Pro-active synthesis Clarificative clarification Interactive improvement Monitoring justification/ fine-tuning Impact justification/ accountability This example is, perhaps, the nearest I have found to a ‘model’. It has probably the most comprehensive range of ‘orientations’ that I have uncovered. As well as being presented in a rather formidable table (see Appendix 1) it is used as the framework for an entire book, which goes on to spell out in further detail the approaches, issues and standards that are entailed within each approach. The main problem with the 13+ types lurking in SP1 is that the organising framework (the horizontal axis) is expressed in terms of ‘forms of knowledge’. This terminology is part of the brief, of course, but in classification terms it is too open-ended and ambiguous. It fetches in orientations that are basically ‘techniques’ (consultation) as well as others that are ‘epistemologies’ (post-modernism). It also fetches in orientations that are part of the organisational chassis of social care (the legal framework) as well as others that are almost subliminal (tacit knowledge). 1 Owen and Rogers avoid this initial typological fuddle by formulating the horizontal axis more narrowly. The five headings are clearly formulated with respect to ‘purposes’ – clarification, fine-tuning, accountability etc. (but note, perversely, that these aims are referred to as ‘forms’ of inquiry and ‘orientations’). Thinking in terms of the different purposes to which enquiry is put allows the authors to collapse some of the finer technical distinctions that can be drawn between approaches. So, for instance, both ‘needs assessment’ and ‘research review’ are considered as ‘proactive’ forms of evaluation in that their purpose is to dig out information on problems and potential solutions before an intervention is designed. Similarly, ‘action research’ and ‘empowerment’ are corralled together under the purpose of ‘improving practice’. The aim of these examples, by the way, is to demonstrate the simplification potential of ‘purpose’ as a classificatory device rather than to affirm these particular marriages. The Owen and Rogers format is also useful because of the insightful way that a significant range of characteristics is assembled for the vertical axis. We can borrow some of these, though we will clearly need to go beyond them. However, there are some immediate problems that prevent wholesale borrowing of the Owen and Rogers framework. The typology relates mainly to ‘program evaluation’ and therefore omits any mention of ‘tacit’ knowledge, which has a focus at the level of the individual decision. Some of the ‘audit’ and ‘regulatory’ and ‘legislative’ approaches in social care have the wider remit of ‘service provision’ and are also not covered as a form of programme evaluation. There are also some problems with mutual exclusivity and inclusivity (see SP1). Owen and Rogers do have ‘emancipatory research’ as a sub-sub-category of their interactive approach (#3). Classifying ‘empowerment’ as a form of programme improvement might be a bit wounding for the user-led radicals and a bit too low-profile in the balance of UK social care activities. On first reading, I also have problems distinguishing between ‘clarificative’ and ‘interactive’ (they both sound rather improving to me). My guess is that clarificative is in there because Owen is very fond of getting programme goals articulated and because ‘evaluability assessment’ was high on the agenda a few years back. There are also further boundary problems in placing specific techniques in this framework, e.g. should audit be in ‘monitoring’ or ‘impact’? should systematic review be in ‘pro-active’ or ‘impact’? In short – some mileage in this one (scope, purpose as framework, presentation ideas, and vertical axis content). 2. Mark et al (2000) – Four purposes of evaluation Assessing merit and worth Program and organisational improvement Oversight and compliance Knowledge development This again relates mainly to ‘program evaluation’, being from a US text that seeks an ‘integrated framework’ for understanding that mode of inquiry (see Appendix 2). And again it is a relatively clean classification because it uses ‘purposes’, in this case quite unequivocally, as the column headings. Comparing it to Owen and Rogers, it is virtually the same in terms of 2 ‘oversight and compliance’ (= ‘monitoring’). ‘Assessing merit and worth’ is almost the same as ‘impact’. ‘Programme and organisational improvement’ is the same as ‘interactive’. Perhaps the only difference in this respect is that these headings are rather clearer (partly a question of better chosen terminology, partly a question of sticking closely to the ‘purpose’ criterion). Mark et al do, however, add ‘knowledge development’ as an item not considered by Owen and Rogers. This orientation is from the academic end of evaluation and the knowledge in question is seen in terms of, and assessed by, the normal standards of social science, i.e. developing and refining theories through empirical evidence. Hence, what is catered for in this final category are the theory-driven approaches to evaluation and the long-term, ‘enlightenment’ model of research usage (Thyer, 2002). Comparing Owen and Rogers to Mark et al, the latter lacks ‘pro-active’ knowledge, i.e. assessment and problem identification. It may be that Mark et al consider this as part of their ‘oversight’ category, and this is the first of several potential overlaps within their classification system. The typology lacks even the faintest whiff of ‘emancipation’ as a legitimate purpose of evaluation research (this is America and Mark et al assume a consensual notion of ‘social betterment’ as applied to all policy making). They are also unconcerned with ‘frameworking’ knowledge like legislation. This typology is not so useful on the vertical axis. It does have a further breakdown by ‘inquiry modes’ – description, classification, causal analysis, values inquiry (see appendix). These relate in rather complex ways to the four types (if you are assessing merit and worth you need a bit of causal analysis, a smidgen of values inquiry and so on). ‘Inquiry modes’ are also presented rather narrowly in terms of research techniques and we will want to travel rather further in our search for vertical components. In short, Mark et al offer affirmation of the potential of ‘purpose’ as the classification framework and perhaps some sharper terminology. Overall, their typology is too research driven (not surprisingly given that this is the purpose) to cover the whole SCIE line. 3. Hart and Bond (2000) – Action research typology Consensus model of society Rational social management Experimental Organisational Conflict model of society Structural change Professionalising Empowering The focus of this approach is even narrower – just ‘action research’, i.e. the approach in which stakeholders and researchers intermix, and findings are introduced into, and tested out, in practice. The typology, quite properly, acknowledges that this formula has been stretched in recent years and now it carries sub-types within itself, especially in relation to which particular stakeholders call the tune and to what end. It seems to work well as a typology in the following respects. There is a clear focus to the sub-types; in this case it is about ‘purpose’ again, although it is assumed that these purposes may be directed at a much wider spectrum of political objectives and policy goals than in 3 typologies 1 and 2. The idea of defining ‘orientations’ in terms of who defines the ‘problem’ is, potentially controversial but the notion of differentiating forms of knowledge according to whether they espouse rational social management or structural political change could, of course, be handled on the vertical axis. Hart and Bond, by the way, are excellent on the vertical axis in many other respects (see Appendix 3; lots of interesting suggestions for our typology, not discussed further here). Hart and Bond’s effort doesn’t work so well in the following terms. The ‘experimental type’ of action research is arguably a bit of a sham; it is there to provide a conceptual contrast to the emancipators. Basically, in their so-called ‘experimental action research’ all the key decisions are made externally, which makes it the antithesis of action research. It goes without saying that Hart and Bond’s typology does not, and could not possibly, work in terms of the full gamut of non-action approaches and so most of the 13+ categories in SP1 are ignored. Interestingly, it is not clear whether this effort picks up on ‘tacit knowledge’. Potentially, action research is the form of research most reliant upon and friendly towards ‘everyday wisdom’. But folk ideas are not considered as knowledge until they get picked up in the action research cycle of research, negotiation and education. We could go along with this and omit knowledge-that-just-hangs-about entirely from our typology, but if we consign it to oblivion it will send out unmistakable signals that professionals won’t like. Also, in terms of documented knowledge, would it eliminate from consideration the kind of descriptive material exemplified by the 2pp Community Care article on ‘how we do it here’ or ‘what about this for a new approach to x’? In terms of comparisons with the first two typologies, Hart and Bond echo ‘clarificative’ and ‘interactive’ from Owen and Rogers as well as ‘program and organisational improvement’ from Mark et al. The ‘experimental’ and ‘organisational’ sub-forms of action research may nudge into the ‘oversight’ and ‘monitoring’ elements of the first two typologies. Given its narrower focus, it is inevitably able to discover sub-divisions within what others see as the uniform domain of action research. In short, this one provides food for thought. Whatever classification we devise, this shows that it will be prone to sub-sub-categories. It is again a model of typology presentation and has some good vertical axis content. 4. Peile (1988) – Research paradigms in social work Empirical Alternative Normative Alternative This is quite an elderly typology but also (apparently) quite famous in its time (see Appendix 4). It pulls in many of the classical binary opposites in social research (qualitative vs. quantitative, value-free vs. value-laden, cause vs. meaning etc.) in a ‘paradigm wars’ presentation before the author goes on to suggest that some newly emerging paradigms (now quite old) might ‘resolve the stalemate’. As a typology, it works well in the following respects. It does capture, in the roundest sense, the idea of ‘forms of knowledge’ or ‘orientations’ or ‘paradigms’ being comprehensive frameworks. That is to say, it shows how a simple set of organising principles can work itself 4 into all aspects (epistemological, ontological, ethical, political, methodological) of social work knowledge. Accordingly, it is another useful pointer to some items on the vertical axis. It is also, incidentally, a model for how to annotate a typology with illustrative cases (look at the footnotes). On the downside, it is a clear example of forcing a classification – there are only two polar opposites to accommodate everything. {There is, of course, another school of typology formation – the minimalist, ‘ideal-type’, one-sided-accentuation-of-reality approach that makes a virtue out of this. But I don’t think we are going down that road for SCIE}. In short, as an empirical typology it fails to reflect the full variety of forms of knowledge that we have to deal with. Sticking with just two ‘forms’ corrals widely differing approaches together like qualitative and emancipatory research, or like realism and RCTs. It also omits some ‘forms’ altogether, for example tacit and framework knowledge. Nor do Peile’s bridgeheads for the creative synthesis of the two approaches seem to have stood the test of time. They are either just different again (like the ‘creative paradigm’, an early form of relativism/post-modernism) or they are partial or unsuccessful attempts at synthesis (like the ‘new paradigm’ approach). In short. A dreadful warning that the ‘po-mos’ are correct about one thing – it’s all so much more messy these days. Once again it is a research-led typology that struggles with anything outside the academic journals but a potentially useful model in terms of annotation and presentation. 5. Hammersley (2000) – Varieties of social research: a typology Theoretical scientific research Theoretical substantive research Dedicated practical research Democratic practical research Contractbased practical research Autonomous practical research This sketches on a much bigger canvas in seeking to clarify the distinction between ‘pure’ and ‘applied’ research. Hammersley is worried about demands that investigations meet standards appropriate to both types of ‘inquiry’, and his expectation that different forms of research should meet very different standards is of obvious relevance to this project. He believes that one traditional way of perceiving the distinction between ‘basic’ and ‘applied’ research is misconceived – application is not simply the implementation of foundational knowledge. Accordingly, the pure and the applied should be distinguished in terms of the immediate goals of inquiry, which Hammersley calls ‘scientific inquiry’ and ‘practical inquiry’ (see Appendix 5). Two different ‘validating mechanisms’ are involved. In the first there is a slow, continuous, collective ‘evaluation’ by members of the research community. Practical inquiry, by contrast, is validated according its ‘relevance’ to its immediate audience, which is normally responsible for dealing with a particular phenomenon in a particular locality. Hammersley then moves onto subsets. Scientific inquiry is categorised as ‘theoretical’ or ‘substantive’. The first is about abstract, general causal relationships between concepts; the second provides explanations of perennial issues and cases. Practical inquiry gets a rather more complex set of types, distinguished first of all by whether the researcher has an 5 autonomous role and secondarily by whether the research is aimed at all stakeholders or a particular subset. This gives four sub-types as per the diagram (see Appendix 5). The paper ends at this point. Hammersley’s claim is simply that there are key differences in forms of knowledge, but details on how they are validated (i.e standards) are omitted. Is this of any use to us? The framework of the typology is an unusual mix; the types are forms of ‘research’ yet again, but distinguished by a mixture of ‘purpose’, ‘audience’, and researcher ‘autonomy’ (its nearest neighbour is probably Hart and Bond). It is certainly of potential relevance to our endeavour, in as much as the 13+ types identified in SP1 could probably be mapped onto this framework. It might thus offer another way of simplification. It also clarifies some of the distinctions involved e.g. • RCTs seek a ‘scientific’ warrant rather than a ‘practical’ one • Audit is for governance rather than enlightenment • User-led inquiry is dedicated, not autonomous • Post-modernism is strictly for the journals Against its further take up is: • The fact that it just classifies forms of ‘research’ – so pimpernel tacit knowledge, and skulking legal and organisational knowledge are missing once again • It probably involves as many borderline disputes as all the other typologies – for example, imagine trying to judge how much ‘autonomy’ a researcher has had • It lacks a vertical axis – it assumes we know the ‘kind of thing’ to which Hammersley is referring In short, half a loaf is half a loaf. It is hard to evaluate a typology without it being put to use. However, it provides more support for ‘purpose’ as the defining criterion, and a further loud hint to get ‘audience’ and ‘autonomy’ on the vertical axis. 6. Adams, Dominelli and Payne (1998) – Social work: themes, issues, critical debates This takes us a little beyond the formal attempts at typologies of knowledge. I thought it might be worth a look at how social care (social work) professionals make knowledge distinctions, using the textbook as the ‘public pronouncement’ of how wisdom has sedimented and compartmentalised. The aim is to explore the use of chapter headings as ‘prototype-typologies’ in line with the view of textbooks as the ‘footprint’ of a discipline. As a practical approach this proved difficult because social work texts mark and demarcate their territory in a massive number of different ways: • By client group – elderly, offenders, mentally ill etc. • By intervention options – therapy, education, group, community work etc. • By relationship/role – listener, empathiser, adviser, professional, problem solver etc. • By problem – drugs, homelessness, mental health, sex offending etc. • By cause of problem – moral, psychiatric, psychological, interactional, cultural, contextual etc. The nearest one seems to get to a ‘knowledge’ demarcation is the division of the field by ‘practice theories’, a term which Payne defines as follows: ‘practice theories seek to explain 6 in organised ways how social workers may usefully act, using their knowledge about the social world in which they are involved’. The idea (I think) is that these theories emerge in reflective practice about what works for clients but become institutionally hardened through training, textbooks and networks. They then provide a resource that can be continually called upon in interventions with particular cases and specific clients. Using the chapter headings from Part II of Adams et al (see Appendix 6) thus gives the following typology. (Remember that this is a ‘horizontal’ axis, I just can’t fit it all across the page) Counselling Groupwork Community work Psychosocial work Cognitive behavioural practice Task-centred work Radical social work Feminist social work Anti-oppressive practice Post-modern approaches This is potentially a very worrying classification for our task. The first half-a-dozen types have not really showed up in the 13+ SP1 categories, yet they might well constitute the key knowledge base of a great deal of social work practice. Practice theories provide the basic justifications for particular types of intervention and so they undoubtedly stand as the ‘orientations’ or ‘forms of knowledge’ in our remit. The book chapters are not written to a common format, so they are hardly in the form of a typology, but it would be possible to compare each approach systematically in terms of: how it views the problem; what it deems to be successful outcomes; what resources it calls upon; how it links with other agencies; how it collects evidence to develop its theories; and so on. In short, these practice theories have features of, or are, ‘paradigms’ in a rather classic sense. So, what to do about them? We are looking to simplify, not to add orientations, and clearly we could not manage an additional phalanx of practice theories on the vertical axis. The problem is instructive and again it lies with the ambiguity of using ‘forms of knowledge’ as the classification base. We now have ‘practice theories’ limbering up alongside ‘organisational knowledge’ and ‘tacit knowledge’ and ‘research knowledge’ and ‘user knowledge’, each one having sub-types and each one with the capacity to sustain a typology of its own. Arguments for not getting too worried about practice theories are as follows: • There are simply too many of them. The list above is only for social work and presumably mental health, probation, work with the elderly and so on will have spawned other brands of intervention. Some, of course, will be shared. No doubt there are ‘cognitive behaviouralists’ in probation and gerontology, and ‘counsellors’ in prisons and sheltered homes etc. but, given the existence of sub-sub-types across a range of clients and contexts, these practice theories are probably too numerous to handle. • They come and go. As such, practice theories may be too ephemeral for a permanent place in a typology. For instance, the chapter on ‘groupwork’ in Adams et al compares it to flares and loons. 7 However, practice theories cannot be dismissed out of hand. Some on Adams et al’s list were identified under another form of knowledge in the 13+ of SP1. Thus Anti-oppressive practice (Adams et al #9) is familiar in typological terms (SP1 #6) because it has already been identified as a form of research practice (user-led). However, I do not see that such re-location could apply to all of the practice theories (especially the individual-focused ones). In short, the ramifications of this ‘typology’ need further discussion. It suggests that it will be monstrously difficult to ignore sub-sub-types. However, it provided no clues on how we might accommodate them. 7. Trinder (1996) – Social work research: the state of the art (or science) Empirical Practice Pragmatism and Partnership Critical Research This returns us to more familiar territory. The platform of the classification is ‘social work research methodology’ and the clusters are simply the author’s interpretation of the three main tribes. It is closely related to Peile (#4) above, making room for another distinctive research orientation that emerged in the 90s. The one difference is that Trinder tries to relate each method to ‘wider, social political and philosophical changes’. In other words, the classification also covers the putative usage of the ‘findings’ of each research orientation. There is, incidentally, no formal presentation of a typology, so nothing is appended on this one. Empirical practice is very much identified with RCTs and the Macdonald/Sheldon wing of social care. Measurement and output are privileged and this serves to emphasise certain processes within social care such as risk assessment, audit, performance management and so on. Some of these activities are depicted as separate orientations in SP1, so their inclusion here is a fairly major act of compression. It probably also corrals ‘impact’ and ‘monitoring’ from Owen and Rogers (and the equivalent from Mark et al). According to Trinder, empirical practice is located philosophically in ideas about the rational management of society. Specifically, it is about the regulation of practitioners. The second grouping, ‘pragmatism and partnership’ spotlights a category that is intuitively recognisable but one that I’ve not come across in the literature expressed in quite this way. Fuller is the author identified by Trinder as the supreme pragmatist and according to him, ‘pragmatic research is the study of social work as it is?’. (Trinder’s view (and mine) is basically, ‘ah, were it all so easy’) ‘Pragmatism and partnership’ thus refers to a loose amalgam of case studies and descriptive reports, usually qualitative and usually commissioned by a government or local agency. It is quite a narrow group, identified within the qualitative research tradition in SP1 (i.e. a small bit of one of the 13+). Why it figures so large for Trinder, I think, is its political clout. She associates pragmatism with policy partnership as follows; ‘it is closely linked to the anti-intellectual traditions in mainstream social work’. Research findings are seen as self-evident truths about administrative arrangements and working practices. They are about making the system work better or more reliably (c.f. Mark et al’s ‘program and organisational improvement’). 8 The third groups is ‘critical research’, which sees ‘politics and participation’ as the domain concerns of research. Research is not fact-finding but located within a world of unequal power relations between genders, classes, races, professionals and clients. The house style is participatory, small-scale, bottom-up research designs. The wider vision of social care assumed in all this is an emancipatory/critical view of society in which issues have to be addressed from the point of view of the ‘victims’. All this is familiar from SP1 and several typologies considered above as the ‘emancipatory’ and ‘user-led’ orientations, with maybe a bit of ‘action research’ thrown in for good measure. Trinder is clearly not that enamoured with the first two approaches, and considers that the third may founder on the familiar problem of the million stakeholders’ standpoints. In short, this is a research driven typology (once again) and so ignores tacit, organisational and practice knowledge (as per usual). Despite the academic purview, the finer distinctions between some specific research methods are also crushed (c.f. Peile). The link to ‘wider social philosophies’ is interesting but is a standard matter for the vertical axis. Nothing much new here except the daunting (or haughty?) vision that government agencies are only really interested in the ‘mish-mash of descriptive pragmatism’ produced within the second stable. 8. Hudson (1997) – A model of professional knowledge for social work Theoretical Knowledge Personal Knowledge Practice Wisdom Procedural Knowledge Empirical Knowledge I get the feeling that this source might be very obscure. It is from the ‘practice forum’ section of Australian Social Work, and in the small print admits to being part of the PhD thesis of a practising social worker. Nevertheless, it has much going for it. It is very simple. Five is a good number and each type comes with a clear definition (see Appendix 7). The basic argument is that a range of different forms of knowledge has influenced social work. These have shifted over the years as different cultural and professional influences have prevailed. The author suggests that social work needs eclecticism and so needs a form of ‘professional knowledge’, which incorporates all five and which allows the practitioner to switch from one to the other as befits the needs of the problem, situation or client. In particular, the paper prescribes an increase in the use of theoretical and empirical knowledge which, according to Hudson, have tended to be dormant in social work practice. How does it stand in relation to the others? ‘Procedural knowledge’ pulls in the legal, administrative and inspection angle. ‘Empirical knowledge’ combines all the different forms of research based knowledge. ‘Practice wisdom’ is pretty near to Adams et al’s ‘practice theories’ (but perhaps a bit more folkloric). ‘Personal knowledge’ is the common sense, tacit stuff that is used on the ground. ‘Theoretical knowledge’ covers more abstract conceptual frameworks. This is the least clear – it is explained in rather abstract terms with a nod to Popper – but might include the ‘policy think pieces’ which have bothered us elsewhere. In short, this is very wide ranging. For once, tacit and organisational knowledge are not excluded. Indeed, the typology might (unsurprisingly) be rather biased towards the social 9 worker’s everyday decisions (practice wisdom and personal knowledge are a bit similar). It is also packed very, very tightly in its empirical research corner. A significant omission, however, is anything about the ‘user perspective’. One reason why this typology spans the social care knowledge field quite well (users apart), is that the five types can be thought of as ‘sources’ of knowledge. Hudson does not label them so – she too calls them 'forms of knowledge’. Emerging suggestions for us It may be useful to run the rule over a few more such efforts although I haven’t been able to locate one that stimulates a significantly different response in my brain. Thus I halt temporarily here. Two rather different typological frameworks are suggested by the examples above. ‘Knowledge’, perforce, is an unwieldy beast and it is already clear from SP1 that that it will resist any simple classification system. A typology of ‘knowledge’ is a bit like a typology of ‘everything’. Those discussed here suggest two ways to go, each starting with the obvious tactic of limiting the horizontal axis to one ‘dimension’ of knowledge: • Route 1. Typologies 1, 2 and 3 suggest that there is much to be gained by looking at ‘purpose’ as the foundation of the typology. What is knowledge for, what is it supposed to do? Using purpose has the added attraction for phase two of the project in that it gives us an immediate handle on ‘standards’. Standards, as we argued from the outset, have to be ‘fit for purpose’ and this should make the second part of the exercise fit neatly with the first. So, the course of action here would be to attempt to work with some version of Owen and Rogers, and Mark et al’s typology. • Route 2. Typology 8, and the difficulties uncovered by the (chapter headings) typology 6, suggest that it might be wise to use ‘sources’ of knowledge as the backbone. The course of action here would be to work with some version of Hudson’s model. We would have to look at ‘user knowledge’ as an additional source and perhaps think about collapsing ‘personal knowledge’ and ‘practice wisdom’ (they emerge from the same ‘source’, I think). The typology would also have to become multi-level. That is to say, each category would have to acknowledge sub- and perhaps sub-sub types. ‘Empirical knowledge’ has been dissected in detail in SP1 and clearly there are profound differences within the research strategies uncovered there. Similarly, legislation and inspection form part of Hudson’s procedural knowledge. They have the same ‘source’ at the institutional level but don’t have the same ‘orientation’ and won’t have the same ‘standards’. If we don’t acknowledge sub-types, then diversity of this kind will make life very difficult when we get to standards. I close with some preliminary thoughts on the two routes. 10 Route one: a purpose-based typology Attempt one: Adapt Owen and Rogers. Go with purpose as the identifier. Add ‘emancipatory’ and combine ‘clarification’ and ‘interactive’. Pro-active Interactive Emancipatory Monitoring Evaluation Identifying needs, problems and existing best practice Clarifying, improving and developing ongoing practice Empowering users and changing oppressive structures Managing, benchmarking, auditing and regulating provision Discovering what works, why, when and wherefore Attempt one again: Same idea using Mark et al language. Pro-active assessment and trouble shooting Programme and organisational improvement Empowerment and user control Oversight, monitoring and compliance Evaluation of programme effectiveness Identifying needs, problems and existing best practice Clarifying, improving and developing ongoing practice Emancipatory research aimed at changing oppressive structures Managing, benchmarking, auditing and regulating provision Discovering what works why, when and wherefore Attempt two: Stick with ‘purpose’ as the identifier. Add ‘tacit knowledge’ even though it will cause havoc when it comes to creating standards, and add Mark et al’s ‘knowledge development’ even though theory development and enlightenment seem small potatoes in the battle for social care. Pro-active assessment and trouble shooting Programme and organisational improvement Emancipatory research and promoting user control Oversight, monitoring and compliance Evaluation of programme effectiveness Circulating tacit wisdom for practical decisions Testing social science theory for knowledge development Measures to assess client needs, identify problem sources and chart existing best practice Action approaches to clarify, improve and develop ongoing practice Empowerment of users by adopting their values and changing oppressive structures Information management for benchmarking, auditing and regulating provision Formal research to discover what works, why, when and wherefore Promoting skills, reflexive judgement and active decision making though experience and training Generating concepts and general propositions to enlighten the policy community 11 Route two: a sources-based typology and a new way of mapping Route 2 makes the modifications noted above to Hudson’s model of ‘professional knowledge forms’ to create base-line categories that identify different institutional sources of knowledge. Knowledge deriving from users is added, ‘procedural’ is re-labelled as ‘organisational’ (better to identify the ‘source’), and practice and tacit are combined since they both emerge from practitioners’ heads. In addition I’d like to contemplate a rather different way of mapping the territories of social care. Thus far, our (my) mind has been locked into ‘typologies’, that is to say a matrix with rows and columns. However, there is another way of sorting and ordering in complex systems, based on the idea of ‘trees’ or ‘lineages’. The idea is to start with the identification of a few major ‘families’ and then detail their membership at second, third and subsequent levels. This has the great advantage of allowing for sub-types and sub-sub-types of whatever it is one is trying to classify. A first sketch is attached as Appendix 8 but I’ll build up to it step by step as follows: 1) The first level is made up of basic sources of knowledge amended from Hudson’s model. Organisational Practitioner Procedural knowledge, setting boundaries and limitations on service provision. DoH, social services, charities etc. Knowledge gained from the conduct of social care practice, tacit wisdom and professional stratagems Social workers, probation officers etc. Policy Community Grand policy themes from the wider policy community, hortative and explanatory ideas and concepts Ministers, think tanks, agencies (including SCIE) etc. Empirical Research Evidence gathered systematically by prescribed methods, process and outcome data Academics, research units and institutes Users Knowledge gained from the experience of using services, research and reflection User-led organisations and individuals 2) The second level shifts down to the ‘processes’ or ‘broad strategies’ or ‘vehicles’ through which the knowledge is created. The idea is that the same source of knowledge may utilise rather different strategies for arriving at the intelligence required to make it function. This gets us close to the realm of ‘forms of knowledge’ (our original goal) but as we are at level two of this model, we can accommodate rather more of these strategies than in a matrix. To take the simplest example – ‘organisational knowledge’: Organisational knowledge – subtypes. This is procedural knowledge about the management and legislative context that governs social care, and it is drawn from quite different strategies – inspection, audit and legislation. This gives three sub-types: Organisational Knowledge Inspection 12 Audit Legislation Following this example, each of the other four ‘sources’ can be identified with a range of strategies in a similar manner. Practitioner knowledge – subtypes. One obvious vehicle is ‘training’ which gathers up practitioner knowledge into a curriculum of experiential learning. Another is the ‘practice theories’ which organise and justify different types of interventions (Adams et al, 1998). ‘Tacit knowledge’ also belongs here but, as ever, is likely to cause problems – it is a ‘vehicle’ of sorts for practitioner knowledge, but is it a strategy? Policy community knowledge – subtypes. Here, I have in mind the products of the ‘chattering’ (or thinking) classes that surround social care. They may have power, or simply aspire to it, but in either case the main vehicle for their ideas is ideas, packaged in the form of paper which might be white, green or grey. These materials could be subdivided into the ‘academic’ and the ‘political’ (a mighty fine line to be drawn). The former would include works of longterm theory building, conceptual enlightenment etc., and the latter everything from the manifesto to the political thought piece. Empirical research knowledge– subtypes. These are usually ‘academic’ too, but distinguished from the aforementioned because these researchers get their hands dirty. The chosen vehicle is the ‘research report’. As noted throughout our discussions so far, there are potentially dozens of these research families. At this second level I would distinguish broad research strategies, leaving level three to pick up the finer technical distinctions. Possible candidates are thus ‘evaluation research’, ‘action research’ and ‘descriptive research’ (the ‘pragmatic’ or ‘qualitative’ case studies provided by agencies about themselves). User knowledge – subtypes. This is harder to grasp in terms of ‘strategies’. I suppose user views always used to be tacit (and thus completely ignored) but nowadays, the user’s voice comes to us as ‘emancipatory research’. This can be distinguished from the previous category (empirical research) in respect of who controls the research agenda, for it is the user rather than the researcher who calls the tune. The other vehicle of user knowledge is probably the campaigning thought piece, which gets it uncomfortably close to the policy community category. 3) The third level is made up of the outputs (the methods, the techniques-on-the-ground, the practical manifestations, the actual bits of paper) that constitute knowledge from that source. I will not attempt to list all the potential sub-sub-categories here but, as examples: audit has a few distinctive subtypes and techniques to do with ‘performance indicator methodology’, ‘cost-benefit’, ‘cost-utility’ analysis etc., and social care has fetched up its own specialisms here, by way of ‘joint reviews’, ‘best value audits’ and so on. Practice theories have already been covered in the chapter headings of the Adams text book, and evaluation research is also standard text book stuff. At the sub-sub-group level, we could end up with 30 or 40 distinctive manifestations of knowledge so it is bound to be more discerning than a six-headed typology, although overlaps would still occur aplenty. Exploring the third level further would be worthwhile only if we were pretty sure that the end product of this approach to classification would be useable. 13 References Adams R, Dominelli L, Payne M (1998) Social work: themes, issues and critical debates London: Macmillan Hammersley M (2000) Varieties of social research: a typology International Journal of Social Research Methodology Jul 3(3) pp221-229 Hart E and Bond M (2000) Using action research. In: Gomm R and Davies C (eds) Using evidence in health and social care London: Sage Hudson J (1997) A model of professional knowledge for social work Australian Social Work Sep 50(3) pp35-44 Mark M, Henry G, Julnes G (2000) Evaluation San Franscisco: Jossey-Bass Owen J and Rogers P (1999) Program evaluation London: Sage Peile C (1988) Research paradigms in social work: from stalemate to creative synthesis Social Service Review Mar vol. 62 pp1-19 Thyer B (2002) Developing discipline-specific knowledge for social work: is it possible? Journal of Social Work Education Winter 38(1) pp 101- 113 Trinder L (1996) Social work research: the state of the art (or science) Child and Family Social Work vol.1 pp233-242 14 Appendix 1 (Owen and Rogers, 1999) Table 3.1 Orientation Typical issues Key approaches Table 3.2 Evaluation forms: orientation, typical issues and key approaches Proactive (Form A) Clarificative (Form B) Interactive (Form C) Monitoring (Form D) Impact (Form E) Synthesis Clarification Improvement Justification/finetuning Justification/accountability *Is there a need for the program? *What do we know about the problem that the program will address? *What is recognised as the best practice in this area? *Have there been other attempts to find solutions to this problem? *What does the relevant research or conventional wisdom tell us about this problem? *What do we know about the problem that the program will address? *What could we find out from external sources to rejuvenate an existing policy or program? *Needs assessment *Research review *Review of best practice (benchmarking) *What are the intended outcomes and how is the program designed to achieve them? *What is the underlying rationale for this program? *What program elements need to be modified in order to maximise the intended outcomes? *Is the program plausible? *Which aspects of this program are amenable to a subsequent monitoring or impact assessment? *What is the program trying to achieve? *How is this service going? *Is the delivery working? *Is delivery consistent with the program plan? *How could delivery be changed to make it more effective? *How could this organisation be changed so as to make it more effective? *Is the program reaching the target population? *Is implementation meeting program benchmarks? *How is implementation going between sites? *How is implementation now compared with a month ago? *Are our costs rising or falling? *How can we finetune the program to make it more effective? *Is there a program site which needs attention to ensure more effective delivery? *Has the program been implemented as planned? *Have the stated goals of the program been achieved? *Have the needs of those served by the program been achieved? *What are the unintended outcomes? *Does the implementation strategy lead to intended outcomes? *How do differences in implementation affect program outcomes? *Has the program been costeffective? *Evaluability assessment *Logic/theory development *Accreditation *Responsive *Action research *Quality review *Developmental *Empowerment *Component analysis *Devolved performance assessment *Systems analysis *Objectives based *Process-outcomes studies *Needs based *Goal free *Performance audit Evaluation forms: all dimensions Proactive (Form A) Clarificative (Form B) Interactive (Form C) Monitoring (Form D) Impact (Form E) Orientation Synthesis Clarification Improvement Justification/fine tuning Typical issues State of program Major focus Timing (vis-à-vis program delivery) Key approaches [see Table 3.1] [see Table 3.1] [see Table 3.1] [see Table 3.1] Justification/ accountability [see Table 3.1] None Development Development Settled Settled Program context All elements Delivery Delivery/outcomes Delivery/outcomes Before During During During After *Needs assessment *Research review *Review of best practice (benchmarking) *Evaluability assessment *Logic/theory development *Accreditation *Responsive *Action research *Quality review *Developmental *Empowerment *Component analysis *Devolved performance assessment *Systems analysis Assembly of evidence Review of documents and data bases, site visits and other interactive methods. Focus groups and delphi technique useful for needs assessments. Generally relies on combination of document analysis, interview and observation. Findings include program plan and implications for organisation. Can lead to improved morale. Relies on intensive onsite studies, including observation. Degree of data structure depends on approach. May involve providers and program participants Systems approach requires availability of Management Information Systems (MIS), the use of indicators and the meaningful use of performance information. *Objectives based *Process-outcome studies Needs based *Goal free *Performance audit Traditionally required use of preordinate research designs, where possible the use of treatment and control groups, and the use of tests and other quantitative data. Studies of implementation generally require observational data. Determining all the outcomes requires use of more exploratory methods and the use of qualitative evidence. 15 Appendix 2 (Mark et al, 2000) Four Purposes of Evaluation 1. Assessment of merit and worth: the development of warranted judgements, at the individual and societal level, of the value of a policy or program 2. Program and organizational improvement: the effort to use information to directly modify and enhance program operations 3. Oversight and compliance: the assessment of the extent to which a program follows the directives of statutes, regulations, rules, mandated standards or any other formal expectations 4. Knowledge development: the discovery or testing of general theories, propositions, and hypotheses in the context of policies and programs Four Inquiry Modes for Evaluation Practice 1. Description: methods used to measure events or experiences, such as client characteristics, services delivered, resources, or client’s standing on potential outcome variables 2. Classification: methods used for grouping and for investigating the underlying structures of things, such as the development or application of a taxonomy or program subtypes 3. Causal analysis: methods used to explore and test causal relationships (between program services and client functioning, for example) or to study the mechanisms through which effects occur 4. Values inquiry: methods used to model valuation processes, assess existing values, or dissect value positions using formal or critical analysis 16 Appendix 3 Action research typology (Hart and Bond, 2000) Consensus model of society Rational social management Action research type: Conflict model of society Structural change Experimental Organisational Professionalising Empowering Re-education Re-education/training Reflective practice Consciousness raising Enhancing social science/ administrative control and social change towards consensus Enhancing managerial control and organisational change towards consensus Enhancing professional control and individual’s ability to control work situation Enhancing user-control and shifting balance of power; structural change towards pluralism Inferring relationship between behaviour and output; identifying causal factors in group dynamics Overcoming resistance to change/restructuring balance of power between managers and workers Empowering professional groups; advocacy on behalf of patients/clients Empowering oppressed groups Social science bias/ researcher-focused Managerial bias/clientfocused Practitioner-focused User/practitioner-focused Close group, controlled, selection made by researcher for purpose of measurement/inferring relation between cause and effect Work groups and/or mixed groups of managers and workers Professional(s) and/or (interdisciplinary) professional group/ negotiated team boundaries Fluid groupings, selfselecting or natural boundary or open/closed by negotiation Fixed membership Selected membership Shifting membership Fluid membership Problem emerges from the interaction of social science theory and social problems Problem defined by most powerful group; some negotiation with workers Problem defined by professional group; some negotiation with users Emerging and negotiated definition of problem by less powerful group(s) Problem relevant for social science/management interests Problem relevant for management/social science interests Problem emerges from professional practice/ experience Problem emerges from members’ practice/ experience Success defined in terms of social science Success defined by sponsors Contested, professionally determined definitions of success Competing definitions of success accepted and expected Social science, experimental intervention to test theory and/or generate theory Top-down, directed change towards predetermined aims Professionally-led. predefined, process-led Bottom-up, undetermined, process-led Problem to be solved in terms of research aims Problem to be solved in terms of management aims Problem to be solved in the interests of researchbased practice and professionalisation Problem to be explored as part of process of change, developing an understanding of meanings of issues in terms of problem and solution 5 Improvement and involvement Towards controlled outcome and consensual definition of improvement Towards tangible outcome and consensual definition of improvement Towards improvement in practice defined by professionals and on behalf of users Towards negotiated outcomes and pluralist definitions of improvement; account taken of vested interests 6 Cyclic processes Research components dominant Action and research components in tension; action-dominated Research and action components in tension; research-dominated Action components dominant Identifies causal processes that can be generalised Identifies causal processes that are specific to problem context and/or can be generalised Identifies causal processes that are specific to problem and/or can be generalised Change cause of events; recognition of multiple influences upon change Time-limited, task-focused Discrete, rationalist, sequential Spiral of cycles, opportunistic, dynamic Open-ended, process-driven Experimenter/respondents Consultant/researcher, respondent/participants Practitioner or researcher/ collaborators Practitioner researcher/ co-researcher/co-change agents Outside researcher as expert/research funding Client pays an outside consultant – ‘they who pay the piper call the tune’ Differentiated roles Outside resources and/or internally generated Outside resources and/or internally generated Merged roles Shared roles Distinguishing criterion 1 Educative base 2 Individuals in groups 3 Problem focus 4 Change intervention 7 Research relationship, degree of collaboration Differentiated roles 17 Appendix 4 (Peile, 1988) Table 1 CHARACTERISTICS OF ALTERNATIVES TO EMPIRICISM Empirical Alternative Prediction Bias limitation (value free) Separation of knowledge Observation Quantitative Measurement and testing Objective Detachment Certain knowable world absolutism Focus on content Aim for certainty Normative alternative Explanation52 Bias incorporation (value ladenness)53 Integration of knowledge and values54 Understanding55 Qualitative56 Insight and intuition57 Subjective57 Involvement57 Relativism – multiperspectives58 Focus on process59 Reliance on faith60 NOTE. Superscript numbers refer to notes accompanying text. Table 2 THE PARADIGMATIC CONTEXT OF EMPIRICISM AND NORMATIVISM Cosmological assumptions (the universe as a totality) Empiricism Normative Causal deterministic view of reality. Knowledge is contextual and a symbolic social construction. Events can be explained and their meaning for people uncovered. Parts can only be understood in context. The world is predictable, knowable, and measurable.79 Fragmentary view of reality (reality can be understood as separate parts).80 Ontological assumptions (the essence of nature and human nature) Epistemological assumptions (knowing and how knowledge is generated) Behavior can be explained in causal deterministic ways. It has a mechanistic quality.81 People are manipulatable and controllable.83 Behavior is intentional and creative.82 It can be explained, but is not predictable. Knowledge arises from experimentation and observation and is grounded in the certainty of sense experience.84 Knowledge arises from interpretation and insight and is grounded by empathic communication with the subjects of the research.85 Symbols, meanings, and hidden factors are essential to understanding. Rejection of metaphysical knowledge.86 People shape their own reality. Ethical assumptions A separation between knowledge and values.87 Science produces knowledge. How it is used is a value, ethical or moral question, and is outside the concern of science.88 Values are the subject of research Moral or ethical relativism. Leads to disinterest in ethical issues or anarchic individualism.89 Spiritual assumptions Rejection of spiritual explanations or a clear separation between science and religion. Relativism of spiritual beliefs. Such beliefs important in the social construction of meaning. Relationship and political assumptions The relationship aim between science and society is control.90 The value-free stance implicitly supports the dominations of the established order.92 Mutually supportive with both high technology capitalism and centralized industrial socialism.94 The relationship aim is empathetic communication.91 Implicitly conservative since there is no structural or historical analysis of society.93 Mutually supportive with a liberal society allowing individual freedom and selfdetermination. NOTE: superscript numbers refer to notes accompanying text. 18 Appendix 5 (Hammersley, 2000) Figure 2 A typology of social research Scientific inquiry 19 Practical inquiry The immediate audience is fellow researchers The immediate audience is practitioners and policymakers of various kinds, as well as others who have a practical interest in the particular issue The aim is to contribute to a cumulating body of knowledge The aim is to provide knowledge that will be of immediate practical use Findings are assessed primarily in terms of validity; with a preference for erring on the side of rejecting as false what is true rather than accepting as true what is false Findings are assessed in terms of relevance and timeliness as well as validity, with the latter being judged on the basis of lay as well as research-based knowledge Theoretical scientific research Substantive scientific research Dedicated practical research Democratic practical research The aim is to develop and test theoretical ideas: to produce knowledge about general causal relationships The task is to provide descriptions and explanations of particular cases relevant to perennial, value issues The goal is to provide information that is needed by a specific group of policymakers or practitioners at a particular time The purpose is to provide information that will be of use to anyone concerned with a particular, currently pressing, issue Contract-based practical research Autonomous, practical research This is commissioned on the basis of a contract to produce specific information Researchers play an autonomous role in producing practically relevant information Appendix 6 (Adams et al, 1998) 11. Counselling Helen Cosis Brown Introduction Theoretical groupings within counselling Counselling and social work Issues Conclusion Further reading 16. Task-centred work Mark Doel Introduction Task-centred work and other social work ideas The essence of task-centred work Issues Conclusion Further reading 12. Groupwork David Ward Where has all the groupwork gone? The demethoding of social work Groupwork and work-in-groups A continuing need for groupwork Re-establishing groupwork Further reading 17. Radical social work Mary Langan Introduction The roots of radical social work The radical social work diaspora The end? Conclusion Further reading 13. Community work Marjorie Mayo Introduction The context ‘Mapping’ community work: definitions and recent history Community work and social work Alternative perspectives and implications for practice Some current issues and dilemmas Conclusion Further reading 18. Feminist social work Joan Orme Introduction and context Feminist theories for social work Feminist social work practice Issues Conclusion Further reading 14. Psychosocial work David Howe Introduction The socialness of self Inner working models Attachment and relationship-based theories as examples of a psychosocial perspective Assessments Practice Conclusion Further reading 15. Cognitive-behavioural practice Katy Cigno Introduction The policy context of social work Cognitive-behavioural practice Areas of practice and links with effectiveness Assessment and intervention Conclusion Acknowledgement Further reading 20 19. Anti-oppressive practice Beverly Burke and Philomena Harrison Introduction What is anti-oppressive practice? Amelia’s story as told to a friend Theory into practice Further reading 20. Postmodernism and discourse approaches to social work Nigel Parton and Wendy Marshall Introduction What is meant by postmodernity and postmodernism? Social work and the postmodern The importance of discourse and language Possible implications of postmodern perspectives for practice Dedication Further reading Appendix 7 (Hudson, 1997) Figure 1. Model of professional knowledge forms THEORETICAL KNOWLEDGE EMPIRICAL KNOWLEDGE ‘A set of concepts, schemes or frames of reference that present an organised view of a phenomenon and enable the professional to explain, describe, predict or control the world’. ‘Knowledge derived from research involving the systematic gathering and interpretation of data to document and describe experiences, explain events, predict future states or evaluate outcomes’. PERSONAL KNOWLEDGE ‘An inherent or spontaneous process where the worker is necessarily committing him or her self to actions outside of immediate consciousness, or is action based on a personalised notion of ‘common sense’. Such knowledge includes intuition, cultural knowledge and common sense. 21 PROFESSIONAL KNOWLEDGE ‘The cumulated information or understanding deriving from theory, research, practice or experiences considered to contribute to the profession’s understanding of its work and that serves as a guide to its practice’. PROCEDURAL KNOWLEDGE ‘Knowledge about the organisational, legislative, or policy context within which social work operates’. PRACTICE WISDOM ‘Knowledge gained from the conduct of social work practice which is formed through the process of working with a number of cases involving the same problem, or gained through work with different problems which possess dimensions of understanding which are transferable to the problem at hand. Appendix 8: Route 2 typology Level I Organisational Practitioner Policy Community Empirical Research Users Procedural knowledge and management governing social care Knowledge gained from conduct of social care Grand policy themes Exhortative and explanatory ideas and concepts Evidence gathered systematically Process and outcome Knowledge gained from experience of service use and reflection Level II Inspection Audit Legal Level III Best-value Cost-benefit Practice wisdom counselling groupwork community Training cognitive Tacit anti-oppressive Political thought pieces Theoretical manifestos Evaluation RCTs Key Level I: Primary Source Level II: Knowledge Strategy Level III: Practical Manifestation 22 Process Single case Descriptive Action Research Theory-driven Empirical Emancipatory Ideological Co-opted 23 24
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