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Inside an Innovation
the development of individual budgets




        Dr Simon Duffy ■ The Centre for Welfare Reform ■
        SPRU Event at University of York ■ 7th February 2012
Questions

• What is a social innovation?
• How do innovations spread?
• How are innovations resisted?
• What does this mean for research?
Focus: Individual Budgets

• A particular solution to the reform of the
  welfare system, especially as it relates to
  disabled people.
• Development by In Control, then became part
  of government research programme, and then
  changed to Personal Budgets.
• Long-term prospects uncertain, still highly
  contested, but has arguably helped to bring
  about some useful changes in perspective.
Social Innovation =
 a new way of doing things,
to improve our shared world

   Innovations, usually,
     precede policies;
   and policies, usually,
     end innovations
insider’s perspective
1988 visited Leighton Lodge

1990 seconded to Southwark Consortium

1996 started Inclusion Glasgow

1999 tested SDS in North Lanarkshire

2003 started In Control

2009 started The Centre for Welfare Reform
part of a bigger picture
Inside an innovation - birth of individual budgets
What is the innovation?
1.Self-directed support
2.Individual budgets
3.Resource Allocation System (RAS)
4.Support planning
5.Outcome-focused review
6.Personalised support
7.Community brokerage
IB = IF + ‘budget-first’
personal motivation
          Why                   NOT

 citizenship entitlement   neo-liberalism

       creativity           americanism

   universal - radical     professionalism

    transparent (?)         cost-cutting

but intention doesn’t fix meaning...
Diffusion of Innovations




Diffusion of Innovations Curve - Everett Rogers
               (amended by Duffy)
1. At the Margins
• Long-standing issue within advocates of
  Individualised Funding - how to define budget?
• Early work in Southwark, Glasgow and North
  Lanarkshire failed to get traction.
• In Control happened at the right time and the
  right place.
• In Control was designed to maximise possibility
  of increased take-up.
• A Trojan horse strategy to transform a broken
  system from the inside...
NOTE: goal was
  citizenship
success factors
• experience and 10+ years intellectual property
• branding, values and communication
• social justice - empowerment, without
  privatisation
• luck - retiring senior managers
• luck - Ladyman visit to Wigan
• luck - Life Chances of Disabled People
• luck - VPST’s problems, CEO opportunity
2. Policy Wars

• In Control was highly controversial and
  challenged on: data, cost, ethics, legality,
  feasibility, policy...
• Split between official Individual Budget Pilot
  Programme and In Control’s second phase and
  total transformation programmes.
• War ended in 2007 - Putting People First
  changed the language to ‘Personal Budgets’ and
  defined future policy.
NOTE: use of DH goals
success factors

• membership programme - over 100+ LAs
• problem-solving and open source approach
• temporary dependence of DH on In Control
• difficulties inherent to the IBPP
• luck - Ivan Lewis
• luck - Charlie Leadbeater
• luck - lack of money
3. Implementation

• Shift to a centrally driven, funded (£0.5 billion)
  and defined government policy - paradoxically
  focusing on ‘making local government do it’
• In Control’s outsider role becomes problematic.
• No focus on underlying problems of entitlement
  and the complexities that will inevitably emerge
  at the health-social care boundary - instead
  ‘Personal Health Budgets’.
running out of luck...
• too much money - funded the competition -
  inside and outside government
• Ivan Lewis’ departure and collapse of the
  ‘social care funding debate’
• DH needing to assert ‘leadership’
• Civil service desire to make it an
  implementation issue - despite inherent flaws
  in legal framework
• In Control has made it all seem ‘too easy’
• In Control seen as ‘too challenging’
4. Success/Failure

• Nominal success by 2013 high likely.
• Value of success will be reduced by the
  inefficiency of the delivery and by the poor
  definition of the goal.
• Not a transformation; but nevertheless a
  positive shift in perspective.
Failure brings...

• opportunity to revisit the health-social care
  divide
• chance to build wider alliances and new public
  understanding of the issues
• build better supports for social innovators and
  critics of the current system
• think deeper, think longer - do better next
  time
Resistance to Innovation
Diffusion driven by

1.Belief...
2.Status...
3.Usefulness...
4.Necessity...


 motivation evolves with success,
  and success is not inevitable
Systems Resist Innovation

1.Keep innovators at the margins
2.Question evidence of success
3.Make innovation adapt to current norms
4.Make innovation optional

  this is not irrational, it reflects:
    differences in rationale and
         differences in belief
Innovation harder when:
• Copyright has no value
• Innovation has no commercial value
• Permission, not forgiveness, is required
• Innovation threatens politically powerful
  economic interests
• Mass testing, rather than incremental
  experimentation is necessary
• Key values or assumptions are threatened
       i.e. social innovation is
          very hard indeed
Impact on researchers
1. Pilot instead of develop
2. Redefine or weaken the definition of the
   innovation
3. Undermine the implementation process
4. Undermine the research process
5. ...and many others...



      dangers to integrity
What is the link between
   design and research?




Protecting research integrity
Inside an innovation - birth of individual budgets
Collaboration?
• Do we know the purpose that the innovation is
  trying to achieve?
• Do we understand how an innovation really
  works and are we able to ‘take it apart’?
• Can we find methodologies that enable us to
  explore why an innovation works?
• How can we increase the cycle of improvement
  and development?


    i.e. social innovation
For more information go to
www.centreforwelfarereform.org




      These slides are © Simon Duffy 2012 ■ Publisher is The
      Centre for Welfare Reform ■ Slides can be distributed subject
      to conditions set out at www.centreforwelfarereform.org ■

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Inside an innovation - birth of individual budgets

  • 1. Inside an Innovation the development of individual budgets Dr Simon Duffy ■ The Centre for Welfare Reform ■ SPRU Event at University of York ■ 7th February 2012
  • 2. Questions • What is a social innovation? • How do innovations spread? • How are innovations resisted? • What does this mean for research?
  • 3. Focus: Individual Budgets • A particular solution to the reform of the welfare system, especially as it relates to disabled people. • Development by In Control, then became part of government research programme, and then changed to Personal Budgets. • Long-term prospects uncertain, still highly contested, but has arguably helped to bring about some useful changes in perspective.
  • 4. Social Innovation = a new way of doing things, to improve our shared world Innovations, usually, precede policies; and policies, usually, end innovations
  • 5. insider’s perspective 1988 visited Leighton Lodge 1990 seconded to Southwark Consortium 1996 started Inclusion Glasgow 1999 tested SDS in North Lanarkshire 2003 started In Control 2009 started The Centre for Welfare Reform
  • 6. part of a bigger picture
  • 8. What is the innovation? 1.Self-directed support 2.Individual budgets 3.Resource Allocation System (RAS) 4.Support planning 5.Outcome-focused review 6.Personalised support 7.Community brokerage
  • 9. IB = IF + ‘budget-first’
  • 10. personal motivation Why NOT citizenship entitlement neo-liberalism creativity americanism universal - radical professionalism transparent (?) cost-cutting but intention doesn’t fix meaning...
  • 11. Diffusion of Innovations Diffusion of Innovations Curve - Everett Rogers (amended by Duffy)
  • 12. 1. At the Margins • Long-standing issue within advocates of Individualised Funding - how to define budget? • Early work in Southwark, Glasgow and North Lanarkshire failed to get traction. • In Control happened at the right time and the right place. • In Control was designed to maximise possibility of increased take-up. • A Trojan horse strategy to transform a broken system from the inside...
  • 13. NOTE: goal was citizenship
  • 14. success factors • experience and 10+ years intellectual property • branding, values and communication • social justice - empowerment, without privatisation • luck - retiring senior managers • luck - Ladyman visit to Wigan • luck - Life Chances of Disabled People • luck - VPST’s problems, CEO opportunity
  • 15. 2. Policy Wars • In Control was highly controversial and challenged on: data, cost, ethics, legality, feasibility, policy... • Split between official Individual Budget Pilot Programme and In Control’s second phase and total transformation programmes. • War ended in 2007 - Putting People First changed the language to ‘Personal Budgets’ and defined future policy.
  • 16. NOTE: use of DH goals
  • 17. success factors • membership programme - over 100+ LAs • problem-solving and open source approach • temporary dependence of DH on In Control • difficulties inherent to the IBPP • luck - Ivan Lewis • luck - Charlie Leadbeater • luck - lack of money
  • 18. 3. Implementation • Shift to a centrally driven, funded (£0.5 billion) and defined government policy - paradoxically focusing on ‘making local government do it’ • In Control’s outsider role becomes problematic. • No focus on underlying problems of entitlement and the complexities that will inevitably emerge at the health-social care boundary - instead ‘Personal Health Budgets’.
  • 19. running out of luck... • too much money - funded the competition - inside and outside government • Ivan Lewis’ departure and collapse of the ‘social care funding debate’ • DH needing to assert ‘leadership’ • Civil service desire to make it an implementation issue - despite inherent flaws in legal framework • In Control has made it all seem ‘too easy’ • In Control seen as ‘too challenging’
  • 20. 4. Success/Failure • Nominal success by 2013 high likely. • Value of success will be reduced by the inefficiency of the delivery and by the poor definition of the goal. • Not a transformation; but nevertheless a positive shift in perspective.
  • 21. Failure brings... • opportunity to revisit the health-social care divide • chance to build wider alliances and new public understanding of the issues • build better supports for social innovators and critics of the current system • think deeper, think longer - do better next time
  • 23. Diffusion driven by 1.Belief... 2.Status... 3.Usefulness... 4.Necessity... motivation evolves with success, and success is not inevitable
  • 24. Systems Resist Innovation 1.Keep innovators at the margins 2.Question evidence of success 3.Make innovation adapt to current norms 4.Make innovation optional this is not irrational, it reflects: differences in rationale and differences in belief
  • 25. Innovation harder when: • Copyright has no value • Innovation has no commercial value • Permission, not forgiveness, is required • Innovation threatens politically powerful economic interests • Mass testing, rather than incremental experimentation is necessary • Key values or assumptions are threatened i.e. social innovation is very hard indeed
  • 26. Impact on researchers 1. Pilot instead of develop 2. Redefine or weaken the definition of the innovation 3. Undermine the implementation process 4. Undermine the research process 5. ...and many others... dangers to integrity
  • 27. What is the link between design and research? Protecting research integrity
  • 29. Collaboration? • Do we know the purpose that the innovation is trying to achieve? • Do we understand how an innovation really works and are we able to ‘take it apart’? • Can we find methodologies that enable us to explore why an innovation works? • How can we increase the cycle of improvement and development? i.e. social innovation
  • 30. For more information go to www.centreforwelfarereform.org These slides are © Simon Duffy 2012 ■ Publisher is The Centre for Welfare Reform ■ Slides can be distributed subject to conditions set out at www.centreforwelfarereform.org ■

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