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Office of Chief Researcher Knowledge Transfer Team Briefing Paper

Gill Clark and Liz Kelly

ISBN 0 7559 2711 7

This document is also available in pdf format (215k)

Over recent years Scottish Executive Analytical Service Divisions have taken forward knowledge management ( KM), knowledge transfer ( KT) and knowledge brokerage ( KB) activity in partnership with colleagues in relevant policy, academic and practice communities across a range of social and economic public policy issues. In parallel to this activity, Office of Chief Researcher has developed a strategic dialogue on knowledge transfer with the academic sector, and other relevant partners, which resulted in the establishment of an OCR Knowledge Transfer Team in Spring 2005.

The team provides a dedicated resource which leads on Scottish Executive social research knowledge transfer issues; provides advice and support on knowledge transfer and knowledge brokerage to colleagues in Analytical Service Divisions; and collaborate with other stakeholders and partners as appropriate. Current key external partners are Economic and Social Research Council and Scottish Higher Education Funding Council.

This first KT team briefing paper reports on the health-focused Scottish Academy for Health Policy and Management pilot project which tested the theory and practice of KT and KB at a Corporate and Departmental level in the Scottish Executive; explored new ways of working with the academic and practice communities; and informed the current work programme of the Knowledge Transfer team. It is anticipated that it will be the first in a series of KT briefing papers and bulletins to support the KT agenda in Scotland.

KEY FINDINGS

• The work of the SAHPM team demonstrated the successful application of knowledge brokerage and knowledge transfer theory through practical activity including: using electronic communication to enable innovative liaison with stakeholders and potential partners; development of networks and communities of practice; locating evidence provision in Scotland in a European and international context; and engaging in practical knowledge transfer and knowledge brokerage projects.
• The SAHPM team's work identified implications for the policy, practice, and academic communities drawn from understanding and knowledge grounded in practical activity. In the course of the project the SAHPM team demonstrated that it is possible to apply the theory and practice of KT and KB in Scotland. However, the team also revealed a number of relational issues between those involved in the KT and KB process that need to be addressed if future interaction is to be effective.
• The SAHPM team identified a need for 'brokercrats' (knowledge broker bureaucrats) working within SE; and/or a new breed of knowledge brokers operating as go-betweens linking the policy, public sector practice, industry, and academic communities.
• Sustainable knowledge transfer and knowledge brokerage benefits for SE identified by the SAHPM team are now being taken forward by the SEKT team with a focus on network development; capacity building; and collaborative working with research councils and the academic and practice communities.

MAIN FINDINGS

Background and SAHPM as a KT and KB Pilot

The SEHDSAHPM project commenced in January 2003 and concluded in April 2005. SAHPM was a research and policy development initiative supported by Scottish Executive ( SE) and National Health Service Scotland ( NHSS). SEHD wished to use the SAHPM project to adopt and develop current practice in the field of knowledge management and transfer in order to explore the best means or providing a forum that would bring together SEHD, the NHSS and partners, and the academic community to support health policy development and implementation in Scotland.

The SAHM initiative therefore explored the potential of:

• a collaborative network to identify and co-ordinate clearly defined research and evidence to support policy, strategy and service development in SEHD, NHSS and other partner organisations
• dedicated resources to support policy implementation, service development and management practice
• management education and skills development to support implementation and improved service delivery
• a 'knowledge exchange' facility to store and disseminate knowledge and learning

The SAHPM Team was based in St Andrew's House, Edinburgh and comprised of a Director, a Principal Research Officer on loan to SEHD from Office of Chief Researcher, and an SEHD administrative officer. The project was overseen by joint SEHD/ NHSS Steering, Reference, and Delivery Groups, and the Head of Health Department/Chief Executive of NHSS.

The outcomes of the SAHPM project informed the recent changes to SEHD infrastructure, and made an important contribution to a wider understanding of how development and research resources are currently identified, accessed, shared, stored and disseminated in SEHD. The KM, KT, and KB elements of the SAHPM project provided a useful pilot which informed the current programme of the SE: OCRKT team, and has provided sustainable benefits to the wider Executive.

Knowledge Management, Knowledge Transfer and Knowledge Brokerage

The theory and practice of knowledge management ( KM), knowledge transfer ( KT) and Knowledge Brokerage ( KB) is an emerging field and had been deployed by organisations such as the Canadian Health Services Research Foundation (see http://www.chsrf.ca/).

The SAHPM Team KT/ KB objectives were to bring together people to achieve KM, KT and KB which would inform SEHD and OCR. Specific KM/ KT/ KB objectives included action to:

• foster research activity which would have a direct impact on policy development and implementation, and practitioner and organisational practice
• link with, and build on, the experiences of existing education and research providers
• be informed by the work of existing centres of expertise in Scotland
• provide a connective medium to create synergies between policy makers, practitioners and researchers in Scotland, Europe and further afield
• provide linkages between individuals and communities of practice on specific policy relevant topics, themes and issues
• improve SEHD policy administrators' understanding of the potential for using evidence in the policy cycle

Overall, it was anticipated that these processes would increase the use of evidence in the SEHD policy cycle and NHSS practice and service delivery. The work of the SAHPM team also emphasised:

• obtaining the best available range of knowledge and information which would both support, and in some cases challenge, policy development and implementation
• prioritising knowledge generation arising from dynamic human interaction created through face to face encounters above traditional research practices
• embedding working processes and outcomes into departments in the course of the SAHPM project
• tailoring brokerage activity to suit different partners ranging from Ministers, NHSS Chief Executives, the Senior Civil Service and Scottish Universities; through the different layers of the academic community, NHSS front line staff, and diverse public and private sector evidence providers; to grass roots community groups and social enterprises across Scotland with an interest in engaging in the policy process.

The theory of KM, KT and KB has been practically applied within the UK private sector and in the United States and Canada, however, the SAHPM team appears to be the first to formally identify and apply KM, KT and KB techniques as civil servants in a Scottish government department. In doing so, the team aimed to implement a wide ranging programme of work and to offer academics the opportunity to put in to action long-standing requests for a greater degree of engagement and collaboration with civil servants on particular policy issues.

The SAHPM Knowledge Transfer and Knowledge Brokerage Process

The work of the SAHPM team demonstrated the successful application of knowledge brokerage and knowledge transfer theory through practical activity including:

Using Electronic Communication to enable innovative liaison with stakeholders and potential partners in electronic consultation and research mapping exercises

Development of Networks and Communities of Practice through: targeted face to face encounters with civil service colleagues creating new dialogues on analytical issues; strategic liaison with Scottish, UK and international universities, NHSS, and industry; brokerage of academic discussion forums; exploration of new ways of working with evidence providers; and building direct relationships with relevant Scottish, UK and EU funding councils and bodies.

Locating Evidence Provision in Scotland in a European and International Context through brokering a place for Scotland in European Science Foundation research networks; hosting an ESFCOST Action meeting; and building relationships with relevant European and international networks through face to face and virtual discussion.

Practical KT/ KB Project Examples were provided by the team through using KB and KT techniques to support policy delivery. Contribution to HD Partnership Agreement delivery included: SAHPM facilitation of knowledge sharing events on health improvement and social inclusion; Health and Environment cross cutting policy theme development; convention of expert roundtable to consider health service delivery in remote and rural areas; management of the Sexual Health and Relationship Strategy consultation analysis process; management of SEHD consultation analysis 2004-5; brokering research issue and topic liaison for SEHD; and creating an SEHD publication series.

Partnership working between the policy world, academic world and practice world

The work of the SAHPM Team has revealed the potential for a range of cultural and communication misunderstandings between the policy community and the academic community. To create a collaborative working environment, further work is required on improving understanding of cultural differences between protocols and practice in the academic and government sectors. A number relational issues between those involved in the KT and KB process need to be addressed if future interaction is to be effective.

Sustainable Benefits for SEHD; Government Social Research; and Scottish Executive

In addition to supporting the overarching SAHPM initiative, the work of the team has resulted in sustainable benefits including:

• The SAHPM team led liaison with ESRC to develop a joint PhD sponsorship programme resulting in the development of an SE wide joint SE/ ESRC programme;
• The development of proposals for a joint ESRC/ SE public policy seminar series for Scotland
• Project support for research to explore ways in which public sector delivery could be improved through using action research to inform evidence based practice.

Implications and Options for Future Movement

The SAHPM team's work identified:

• implications for the policy, practice and academic worlds drawn from understanding and knowledge grounded in practical activity.
• a need for 'brokercrats' (knowledge broker bureaucrats) working within SE; and/or a new breed of knowledge brokers operating as go-betweens linking the policy, public sector practice, industry, and academic communities.

SE is currently taking forward liaison with a range of internal and external stakeholders (notably SHEFC), and considering options for future movement in the field of knowledge transfer and knowledge brokerage.

The work of the SAHPM team has provided a useful pilot on these issues for SE, however, any future movement would be informed by current practice in Analytical Service Divisions; the work of the Social Research Knowledge Transfer Working Group; strategic liaison with SEHFC and Universities Scotland; collaboration with 'knowledge stimulation' bodies including Scottish Council Foundation, David Hume Institute, and Royal Society of Edinburgh; and the experience of a wider field of knowledge transfer activity in Scotland, Europe and further afield.

Conclusion

The work of the SAHPM team has tested the theory and practice of knowledge brokerage within the limits of civil service protocols and current academic operational boundaries. The process has demonstrated the validity of a KB focus on human dynamics. It also showed that: KT and KB is possible; the theory of KT and KB works in practice; and the delivery of utilitarian products to support the policy cycle is possible.

The SAHPM experience appears to represent the first application of KB in a government department, and valuable lessons were learned for all communities of interest who have engaged in the process. Specifically, the application of KT and KB theory has: resulted in increased research utilisation within SEHD and the brokerage of inventive alliances leading to the generation of new knowledge; brought enhanced knowledge to the policy process; and moved tacit knowledge into utilitarian outputs. The SAHPM project has also reinforced that KT and KB requires appropriately skilled people to make more efficient use of resources.

Knowledge Transfer in SE

The SAHPM Director was Liz Kelly of SEHD and the Principal Researcher was Dr Gill Clark. For further information about Knowledge Transfer at Scottish Executive contact gill.clark@scotland.gsi.gov.uk

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