Risk Management and Public Service Reform: Changing Governance and Funding Structures within School Education Services 9780367723040, 9780367723125, 9781003154327

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Routledge Critical Studies in Public Management

RISK MANAGEMENT AND PUBLIC SERVICE REFORM CHANGING GOVERNANCE AND FUNDING STRUCTURES WITHIN SCHOOL EDUCATION SERVICES Iniobong Enang

Risk Management and Public Service Reform

School education reform is a dynamic process. It takes place in the context of changing institutional structures including society, economy, politics, legislation, and technology. Yet, there can be poor awareness of risk, particularly social risk, and its management during this process and more widely, during public service reform (PSR). This book aims to promote new PSR understanding about social risk management. It utilizes in-depth case studies comprising two anonymous Scottish councils responsible for providing and reforming school education services. Drawing mainly on risk management and structuration theories with elements of complexity leadership and institutional theories, the book explains contextual issues around the reform of Scottish school education services (SSES). It illustrates that social risks associated with reform can be used to explain emerging threats. Furthermore, it demonstrates that agentstructure duality may be instrumental to the production and management of social risks. The book also shows how the concept of social risk can be used to improve policy making and implementation. Targeted at practitioners, researchers, policymakers, and students, this book will be of interest to those in the fields of public administration, public service management, and risk management more generally. Iniobong Enang is a Senior Lecturer (Assistant Professor) in Risk Management at Coventry University. She was named Top 100 Risk Management Influencer in the category of Researchers and Contributors by Onalytica in 2021. Her core research investigates risk management and governance matters broadly, and social risk management specifically.

Routledge Critical Studies in Public Management Series editor: Stephen Osborne

The study and practice of public management has undergone profound changes across the world. Over the last quarter century, we have seen • • • •

Increasing criticism of public administration as the over-arching framework for the provision of public services. The rise (and critical appraisal) of the “New Public Management” as an emergent paradigm for the provision of public services. The transformation of the “public sector” into the cross-sectoral provision of public services. The growth of the governance of inter-organizational relationship as an es­ sential element in the provision of public services.

In reality these trends have not so much replaced each other as elided or co-existed together – the public policy processes has not gone away as a legitimate topic of study, intra-organizational management continue to be essential to the efficient provision of public services, whilst the governance of inter-organizational and inter-sectoral re­ lationships is now essential to the effective provision of these services. Further, whilst the study of public management has been enriched by contri­ bution of a range of insights from the “mainstream” management literature it has also contributed to this literature in such areas as networks and inter-organizational collaboration, innovation, and stakeholder theory. This series is dedicated to presenting and critiquing this important body of theory and empirical study. It will publish books that both explore and evaluate the emergent and developing nature of public administration, management, and gov­ ernance (in theory and practice) and examine the relationship with and contribu­ tion to the over-arching disciplines of management and organizational sociology. Books in the series will be of interest to academics and researchers in this field, students undertaking advanced studies of it as part of their undergraduate or post­ graduate degree and reflective policy makers and practitioners. Risk Management and Public Service Reform Changing governance and funding structures within school education services Iniobong Enang For more information about this series, please visit: www.routledge.com/RoutledgeCritical-Studies-in-Public-Management/book-series/RSPM

Risk Management and Public Service Reform Changing Governance and Funding Structures within School Education Services Iniobong Enang

First published 2023 by Routledge 605 Third Avenue, New York, NY 10158 and by Routledge 4 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN Routledge is an imprint of the Taylor & Francis Group, an informa business © 2023 Iniobong Enang The right of Iniobong Enang to be identified as author of this work has been asserted in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988. All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. ISBN: 978-0-367-72304-0 (hbk) ISBN: 978-0-367-72312-5 (pbk) ISBN: 978-1-003-15432-7 (ebk) DOI: 10.4324/9781003154327 Typeset in Bembo by MPS Limited, Dehradun

This monograph is dedicated to my PhD Director of Studies, Professor Emeritus Darinka Asenova. She believed in me from the beginning and continues to encourage me to be the best that I can be. She is now one of my dearest friends. Thank you for being yourself, Darinka, i.e., clever, compassionate, hardworking, and kind. You were one of the best parts of my PhD, and I will always treasure you.

Contents

List of Figures List of Tables List of Abbreviations About the Author Preface Acknowledgements 1

Background to Public Service Provision and Reform 1.1 1.2 1.3 1.4 1.5 1.6

1.7

1.8 2

1

Introduction 1 Defining Public Services and Public Service Reform 1 Evolution of Public Administration Models and PSR 3 Public Service Reform in the UK: An Overview 5 PSR in Scotland: Addressing an Adaptive or Technical Challenge? 7 Establishing Need for PSR in Scotland 10 1.6.1 Approach to Scoping Study – Why and How 10 1.6.2 Outcome of Scoping Study 10 Reforming SSES 15 1.7.1 Brief History of School Education Reform in the UK 15 1.7.2 Context and Content of SSES Reform 18 1.7.3 Process of SSES Reform 24 Concluding Remarks 24

Identifying Influencing Factors of Sustainable Public Service Reform: A Systematic Literature Review 2.1 2.2

xii xiii xv xvii xviii xxv

Introduction 28 Methods 29

28

viii

Contents 2.3

2.4

2.5 3

Theoretical Framework for Analysis of Findings 3.1 3.2

3.3

3.4

4

Results 29 2.3.1 Research Objective 1 29 2.3.2 Research Objective 2 32 Discussions 37 2.4.1 Public Participation 37 2.4.2 Leadership 39 2.4.3 Risk Management 41 Conclusion 45

Introduction 47 Pettigrew’s Context Content Process Triangle (PCCPT) 48 3.2.1 Theoretical Perspectives and Analytical Implications 48 3.2.2 Contextual Factors 49 3.2.3 Content Factors 50 3.2.4 Process Factors 51 Theory Selection and Rationale 51 3.3.1 Complexity Leadership Theory (CLT) 55 3.3.2 Institutional Theory 56 3.3.3 Risk Management Theory 58 3.3.4 Structuration Theory 67 Concluding Remarks – towards Theoretical Conceptualization 69

Empirical Research Findings from Council A 4.1 4.2

4.3

47

Introduction 72 Documentary Analysis 73 4.2.1 Relevant Documentation 73 4.2.2 Context and Content of SSES Reform in Council A 73 4.2.3 Process of SSES reform: Regeneration of the Schools’ Estate and Associated Risks 79 4.2.4 Process of SSES Reform: The SAC and Associated Risks 81 Analysis of Interviews with Council Officials from Council A 86 4.3.1 Respondents’ Profile 86

72

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ix

4.3.2

4.4 5

Empirical Research Findings from Council B 5.1 5.2

5.3

5.4 6

Context and Content of SSES Reform in Council A 88 4.3.3 Process of SSES Reform: The SAC and Associated Risks 99 Concluding Remarks 109

Introduction 114 Documentary Analysis 114 5.2.1 Relevant Documentation 114 5.2.2 Context and Content of SSES Reform in Council B 115 5.2.3 Process of SSES Reform: Regeneration of the Schools’ Estate and Associated Risks 124 5.2.4 Process of SSES Reform: The SAC and Associated Risks 126 Analysis of Interviews with Council Officials from Council B 132 5.3.1 Respondents’ Profile 132 5.3.2 Context and Content of SSES Reform in Council B 134 5.3.3 Process of SSES Reform: The SAC and Associated Risks 142 Concluding Remarks 158

Discussion of Findings 6.1 6.2

6.3

114

Introduction 163 Summary of Primary Research Findings: A Comparative Analysis of Context and Content of School Education Reform in Councils A and B 163 6.2.1 Socio-Economic Context 165 6.2.2 Political and Legislative Contexts 168 6.2.3 Technological Context 171 Summary of Primary Research Findings: A Comparative Analysis of the Process of School Education Reform in Councils A and B 172 6.3.1 Domination Structures, Facilities, and the Production of Social Risk 172

163

x

Contents 6.3.2

6.4

7

Signification Structures, Interpretive Schemes, and Social Risk Management 177 6.3.3 Legitimation Structures, Norms and the Institutionalization of Social Risk Management 181 Concluding Remarks – towards Theoretical and Conceptual Considerations 185

Conclusions 7.1 7.2 7.3

7.4

7.5

Introduction 190 Chapters 1–6: Aims and Summary of Research 190 Key Research Findings 192 7.3.1 Research Objective 1: Identify and Critically Examine External Institutional Structures to Determine if There Is Need for PSR, SSES Reform, and School Education Reform in Councils A and B 192 7.3.2 Research Objective 2: Identify and Critically Discuss Internal Institutional Factors Capable of Facilitating or Hindering the Process of PSR and by Extension SSES Reform 193 7.3.3 Research Objective 3: Considering Two Scottish Councils Critically Discuss and Analyse the Nature of Social Risks Associated with Reforming School Education Services and the Potential Impact on Key Stakeholder Groups 194 7.3.4 Research Objective 4: From an SSES Reform Context, Critically Examine the Structure-Agent Relationship Existing between External Institutional Structures and Agents to Expose the Social Mechanism Underpinning the Production and Management of Social Risks 195 Original Contributions to Theory 197 7.4.1 Conceptual Contribution to Risk Management Theory 197 7.4.2 Analytical and Theoretical Contributions to Structuration Theory 199 Original Contributions to Practice 200 7.5.1 Empirical Contribution to Risk Management Practice 200

190

Contents

xi

7.5.2

7.6 7.7

Empirical Contribution to Scottish Government’s Public Policy 202 Research Limitations and Recommendations for Further Research 203 Concluding Remarks 206

Bibliography Index

208 244

Figures

2.1 2.2 2.3 2.4 2.5 3.1 6.1

Approach to Thematic Analysis SLR 1 SLR 2 SLR 3 Challenges with Implementing PSR Theoretical Conceptualization Addressing SSES Reform-Related Social Risks – Potential Scenarios

30 31 33 34 44 52 176

Tables

1.1 1.2 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 3.1 3.2 3.3 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 4.10 4.11

Scoping Review Results – Phase 1 Scoping Review Results – Phase 2 Journals Selected for Updated 2015–2017 SLR 2 SLR 1: Explicit References SLR 1: Implicit References SLR 2: Explicit References SLR 2: Implicit References SLR 3: Explicit References SLR 3: Implicit References Public Participation: Factors Causing PSR Failure Public Participation: Prerequisites for PSR Success Leadership: Factors Causing PSR Failure Leadership: Prerequisites for PSR Success Risk Management: Factors Causing PSR Failure Risk Management: Prerequisites for PSR Success Theory Selection and Justification Some Forms of Risk in the Public Sector Definitions of Organizational Culture Managerial Levels of Respondents from Council A External Institutional Structures and Their Role in SSES Reform Facilitating Factors of SSES Reform Barriers to SSES Reform An Overview of Social Risks Associated with the 4Ps Approach in Council A People Pillar – References to Exclusion as Social Risk Prevention Pillar – References to Exclusion as Social Risk Summary – References to Exclusion as Social Risk People Pillar – References to Inequality as Social Risk Performance Pillar – References to Inequality as Social Risk Summary – References to Inequality as Social Risk

11 13 32 35 35 35 35 35 35 37 38 39 40 42 43 53 60 63 87 89 94 96 100 101 103 104 105 107 107

xiv

4.12 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 5.10 5.11 5.12 5.13 5.14 5.15 5.16 5.17 6.1 6.2 6.3 6.4 6.5

Tables

People Pillar – References to Reductionism as Social Risk Council B’s Education Directorate Risk Register for 2018 Managerial Levels of Respondents External Institutional Factors Driving SSES Reform Facilitating Factors of SSES Reform Barriers to SSES Reform An Overview of Social Risks Associated with the 4Ps Approach in Council B People Pillar – References Made to Exclusion as Social Risk Prevention Pillar – References to Exclusion as Social Risk Summary – References to Exclusion as Social Risk People Pillar – References to Poor Learning Outcomes as Social Risk Performance Pillar – References to Poor Learning Outcomes as Social Risk Prevention Pillar – References to Poor Learning Outcomes as Social Risk Summary – References to Poor Learning Outcomes as Social Risk People Pillar – References to Reductionism as Social Risk Partnership Pillar – References to Reductionism as Social Risk Performance Pillar – References to Reductionism as Social Risk Summary – References to Reductionism as Social Risk Main Adaptive Challenges Driving School Education Reform in Councils A and B: 2015–2018 Summary of Research Findings in Relation to Data and Theory Documentary Analysis: Evidence of Social Risk Awareness and Management Interview Analysis: Evidence of Social Risk Awareness and Management Comprehensive Approach to Social Risk Management

109 122 133 134 138 139 142 143 148 149 150 151 152 153 154 155 156 158 165 173 179 180 182

Abbreviations

#

Abbreviations

Full Form

1

4Ps

2 3 4 5 6 7 8

ASN CBI CfE CLD CPP DWP EBSCO

9 10 11 12 13 14 15

EqIA FMI GFC GIRFEC GTC HEFCE ICA

16 17 18 19 20 21 22 23 24 25 26

IRAS KWIC LAAC LOIP MIF MMS NAO NIF NPG NPM OECD

27 28 29 30

PCCPT PEF PISA PPP

Four pillar approach to PSR and SSES transformation namely the people, prevention, partnership, and performance approach Additional Support Needs Confederation of British Industry Curriculum for Excellence Community Learning and Development Community Planning Partnerships Department for Work and Pensions Elton B Stephens CO (Company) an online platform providing access to a range of popular, full text databases Equality Impact Assessment Frontline Manager with Implementation Responsibilities Global Financial Crisis Getting It Right For Every Child General Teaching Council for Scotland Higher Education Founding Council for England The Institute of Chartered Accountants in England and Wales International Review of Administrative Sciences Key Word in Context Looked after and Accommodated Children Local Outcome Improvement Plan Middle Income Families Middle Level Manager with Strategic Responsibilities National Audit Office National Improvement framework New Public Governance New Public Management Organisation for Economic Co-operation and Development Pettigrew’s Context Content Process Triangle Pupil Equity Fund Programme of International Student Assessment Public Private Partnership (Continued)

xvi

Abbreviations

#

Abbreviations

Full Form

31

PRISMA

32 33 34 35 36 37 38 39

PSR SAC SEEMis SEMP SIMD SLR SMS SMSI

40 41 42

SNCT SOA SSES

Preferred Reporting Items for Systematic Reviews and Meta-Analyses Public Service Transformation Scottish Attainment Challenge Scottish Education Management Information System School Estate Management Plan Scottish Index of Multiple Deprivation Systematic Literature Review Senior Manager with Strategic Responsibilities Senior Manager with Strategic and Implementation Responsibilities Scottish Negotiating Committee for Teachers Single Outcome Agreement Scottish School Educational Services

About the Author

Dr Iniobong Enang is a Senior Lecturer (Assistant Professor) in Risk Management. She was the Course Director for MSc Risk Management and is the current Course Director for Bachelor in Business Administration, at Coventry University. She teaches undergraduate, and postgraduate students, including executive education students on the MBA programme. Dr Enang is interested in risk governance issues in the private, public, and third sectors. She is particularly passionate about social risk matters pertaining to social (in)justice. Her peer reviewed journal articles and practitioner publications address issues relating to risk and public administration. She is currently promoting understanding about the positive and negative components of social risks, including potential impacts on micro, meso, and macro environments via public speaking engagements. Her goal is to develop and conduct much needed social risk assessments in collaboration with the private, public, and third sectors. This will facilitate strategic decision-making and deliver positive outcomes, thus co-creating value for the common good.

Preface

Introduction This chapter situates the book within public service administration and risk management domains and rationalizes its focus on social risk management from a public service reform (PSR) perspective. Social risks are factors that can exacerbate inequality of outcomes, exclusions, poverty, and/or reduce quality of life (Asenova et al., 2015a; McKendrick et al., 2016). This book enhances understanding of social risk and its management by focusing on the reform of Scottish school education services (SSES). Utilizing primary data obtained from two anonymous Scottish councils, the book analyses emerging educational, social, and strategic issues associated with public service reform (PSR) and makes recommendations for professional practice. It contributes to risk management theory by exploring the nature of social risk and demonstrating how they may be (re)produced, mitigated, and/or managed during SSES reform. This book is aimed at undergraduate and postgraduate risk management students, risk management professionals, public service practitioners, governments, and policy makers. The next section highlights the dilemma encountered by public services in Scotland and explains why they are being reformed. Based on existing research gaps, the section following that, justifies this monograph’s focus on social risk management, highlighting its relevance. After this, the overarching research aim, and individual objectives are communicated. This chapter concludes by presenting the structure of the monograph.

The Dilemma In recent years, PSR has received considerable attention in public administration practice and theory (Hartley, 2005; Osborne and Brown, 2011a; Hartley et al., 2013; Walker, 2014; Walker et al., 2015; De Vries et al., 2016). The imperatives for PSR abound. They include for example budgetary constraints, an ageing population, rising citizen expectations, and environmental issues which cannot be addressed with standard solutions

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xix

(Albury, 2005; Vigoda-Gadot and Beeri, 2011; Hartley et al., 2013; Munro, 2015). While PSR is favourably perceived as a means through which public services can be more legitimate, efficient, and effective (Windrum and Koch, 2008), the question of what determines the survival of PSR initiatives is a gap in public administration and management literature (van Acker et al., 2018). In other words, what are the factors that can influence (facilitate or hinder) successful1 and sustainable PSR? Public services in the United Kingdom are being reformed because old and centralized models of service provision are said to be incapable of providing the joined-up, personalized, and cost-effective approach required by the public. Already, some Scottish public bodies have been reformed to deliver more cost-effective services. However, it is sometimes claimed that unintended consequences have frustrated achievement of intended policy outcomes. For example, the restructuring of policing services has been said to introduce operational,2 financial3 and social risks manifested by the distraction of managers from their routine duties, slow realization of efficiency savings and increasing criminal activities (Dickie, 2015). Associated with the reform of fire and rescue services is the financial risk of a £42.7 million funding gap by 2019/2020 possibly because of reduced funding and future cost pressures (Audit Scotland, 2015a). Likewise, reduced funding to English prisons have necessitated the adoption of low-cost prison operational models (Travis and Morris, 2014) linked with social risks like overcrowding, increased custody deaths, drug issues, violence, and rioting (Gayle, 2016; Travis, 2016). In Scotland, local governments provide school education as a statutory municipal service consistent with Scottish government policy aims (Marsh, 2013); individual schools having had only very limited scope for autonomous decision-making (McKenna, 2016). By far the most significant change in the governance of SSES could be the introduction of the Pupil Equity Fund (PEF) which devolves financial autonomy and accountability to head teachers, bypassing councils (Macmahon, 2016). However, learning outcomes of pupils may be negatively impacted by increased teacher workload associated with the implementation of PEF (Scottish Government, 2017a), thus constituting social risks. These examples show that reform may be justified by the need to improve economy, efficiency, and effectiveness (the so-called 3Es of the new public management doctrine), but the change process could subject both service users and providers to negative risks that frustrate achievement of public policy. Consequently, the process of change and, by extension, reform introduces uncertainties and risks which may hinder public service provision or deliver ineffective outcomes. The preceding debate problematizes existing knowledge on PSR and SSES reform. It suggests that PSR is associated with a range of risks. Therefore, risk management can facilitate PSR and ensure organizational objectives are achieved because it can optimize inherent opportunities while mitigating associated risks. The next section extends this argument by

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articulating the research gap and justifying this book’s focus on social risks associated with PSR and particularly SSES reform.

Research Justification and Relevance Why Risk Management?

For over a decade, risk management has featured prominently in public and private sector discourse and is perceived as a core element of corporate governance and a tool for achieving strategic objectives (HM Treasury, 2004; Financial Reporting Council, 2016). As a result, managers are increasingly expected to manage risk (Maguire and Hardy, 2013). Yet, based on results from the systematic literature review conducted in Chapter 2 and primary research findings presented in Chapters 4 and 5, this monograph argues that there is poor awareness of risk, particularly social risk, and its management during PSR. Some sociologists argue that modern societies are “risk societies”, meaning that reform may potentially result in positive and negative risk outcomes for society (Beck, 1992). The focus here is on negative aspects of social risks, tending to be manufactured (Giddens, 1999a) by the approach to PSR implementation. Essentially, manufactured risks reveal the need for constant reflection on daily activities (Giddens, 1999b), and increased risk-awareness within societies (McKendrick et al., 2016). Though risk management has been associated with reform (Osborne and Flemig, 2015), its role has not been sufficiently acknowledged and discussed in PSR (Brown and Osborne, 2013; Osborne and Flemig, 2015), hence the focus on this area of analysis. This monograph reflects on public administration using a risk management approach for three additional reasons. First, studies on regulation and risk effectively establish an implicit link between public administration/ management (through legislation) and the management of risk (Hampton, 2005; Asenova et al., 2011). Second, responsibility for social risk identification and governance resides with the public sector (Young, 1996), hence the need to understand the nature of social risk. Moreover, new information on risk organization is required (Hardy and Maguire, 2016). Third, public awareness of risk, developments in legislation, and guidance from central government (Audit Commission, 2001), the Scottish government (Scottish Government, 2012a), professional bodies (COSO, 2004) and academia, including, for example, the Centre for Analysis of Risk and Regulation (CARR, 2017) have encouraged local authorities to develop risk management procedures (Hood and McGarvey, 2002). Nevertheless, only a handful of documents from governments and think tanks provide tangible policy recommendations (Flemig et al., 2016). Moreover, they fail to clearly articulate the nature of risks associated with PSR beyond acknowledging the relationship between both concepts (ibid). Problematizing existing risk management knowledge in

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this way means enquiring about the type of attention paid to risk definition and identification (Hutter and Power, 2005). Why SSES?

As noted above, this monograph concentrates on the reform of school education delivery and governance in SSES. It considers the contextual, historical, and processual factors surrounding the reform of SSES after the global financial crisis (GFC) between 2010 and 2018. However, to facilitate in-depth understanding of SSES reform and to set it within the preceding institutional context, documentary data from 20044 was also analysed. Consequently, data collection and analysis in this research focused primarily on social risks associated with the process of SSES reform. The primary reason for focusing on SSES reform, including associated social risks and their management is the changing political context and the importance placed on SSES reform by the Scottish Government. Indeed, there are different PSR initiatives ongoing in different service areas in Scotland, for example the merging of policing and fire and rescue services. This is discussed in Chapter 1. Still, the reform of SSES is one of the most important objectives of the current Scottish National Party (SNP) administration (Scottish Government, 2017b). The imperative to address the persistent attainment gap between young people living in less and more deprived communities became a priority from 2015 (Education Scotland, 2017). The relative decline in the performance of Scottish school children in the 2015 Programme for International Student Assessment (PISA) confirms this. The international assessment revealed the existence of attainment gaps, and the Pupil Equity Fund (PEF) was one of the key funding models designed to address such gaps. The secondary reason for focusing on SSES reform is the changing socioeconomic context. UK-based studies provide evidence that vulnerable households including children and young people are the most affected (negatively) by fiscal consolidation implemented post the financial crisis (Asenova et al., 2013, 2014, 2015a; Hastings et al., 2013; McKendrick, 2017). It is therefore important to understand the social implications and risks of fiscal consolidation (if any) on SSES reform. What Is Not Addressed in This Monograph?

A range of public sector risks are identified all through this monograph. Nonetheless, risks relating to feasibility of objectives arising from factors such as limited funding, skills gap, behavioural risks of service providers and users which have been associated with PSR may be identified and/or alluded to but were not extensively discussed in this monograph. This has been done elsewhere focusing on different areas of public services in the United Kingdom (Hastings et al., 2012, 2013, 2015a; Oxfam, 2012;

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Asenova et al., 2013, 2014, 2015a, 2015b; Beatty and Fothergill, 2013; Duffy, 2013; Poinasamy, 2013; Asenova and Stein, 2014). Likewise, social policy risks associated with this monograph does not justify the policy of PSR or judge the success of the Scottish government’s policies or the performance of education managers as these objectives are not within the scope of this monograph. Policy outcome/achievement is rooted in public policy and politics which falls outside the scope of this monograph. Moreover, the focus here is social risk, which appears as a “byproduct” of policy implementation. This monograph argues that there is need to recognize social risks earlier, i.e., at the point of policy formulation, so that its negative impacts can be properly considered and managed. As previously mentioned, this monograph concentrates on the process of reforming SSES. The next section defines the overarching research aim and articulates the individual research objectives.

Monograph Aim and Objectives This monograph utilizes critical literature reviews, theoretical and analytical frameworks drawn from those reviews, and primary field research set within that framework undertaken in two council case studies. It aims to identify and promote understanding about emerging downside (negative) social risks and how they both could be and, in practice, are governed and managed in SSES. To achieve this, four research objectives have been formulated as follows: 1

2 3 4

Identify and critically examine external organizational/institutional structures like politics/legislation, society/economy, and technology to determine if there is need for PSR, SSES reform, and education service reform in Councils A and B. Identify and critically discuss factors within the organization/institution (or internal institutional factors) capable of facilitating or hindering the process of PSR and by extension SSES reform. Critically discuss and analyse the nature of social risks, associated with reforming school education services and the potential impact on key stakeholder groups based on findings from two Scottish councils (agents). Critically examine the structure-agent relationship existing between external institutional structures and agents to expose the social mechanism underpinning the production and management of social risks, from an SSES reform context.

Research objectives 1 and 2 analyse contextual issues underpinning PSR and SSES reform. Research objectives 3 and 4 analyse risk-related issues in Councils A and B school education services. All four research objectives are addressed based on the review of extant literature conducted in Chapters 1

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and 2, including primary research findings from documentary and interview analysis of the two anonymized councils selected for this purpose. In addressing the overarching research aim and individual research objectives, this monograph produces new knowledge on social risk management. In other words, the findings presented in this monograph make relevant and original contributions to risk management and structuration theories. It can also help to shape the implementation of some governments’ public policy, especially within the context of equality, diversity, inclusion, and sustainability. The salient points of these findings and contributions (both theoretical and practical) are distilled and presented in Chapter 7.

Limitations and Recommendations for Further Research This monograph adopts a partial conceptual approach. This means that discussions relating to PSR focus on risk management, particularly social risk management, which is a potential limitation. Discussions consider institutional processes of policy implementation, and not policy achievement. Another potential limitation is the focus on SSES. So, the primary research findings are restricted to the process of delivering and reforming school education in two out of 32 Scottish councils. The primary research also does not consider other PSR processes (outside education services) within or outside Scotland. Thus, the recommendations of this monograph (presented in Chapter 7) are conditional and contingent on these resulting limitations.

Concluding Remarks The remaining part of the monograph is structured thus: Chapter 1 is a critical literature review to identify if and why there is need for PSR in Scotland and more specifically, SSES reform. It contextualizes and foregrounds the research in public administration and public management by providing relevant background information on public service provision in the United Kingdom and Scotland. To enhance external validity and reduce the risk of selection bias, Chapter 2 adopts a more systematic approach to identifying previous studies that implicitly and explicitly discuss factors that could facilitate or hinder PSR. The chapter is based on the article “Identifying Influencing Factors of Sustainable Public Service Transformation: A Systematic Literature Review”, published in the International Review of Administrative Science Journal. See Enang et al. (2022). Included in the review and analysis are studies conducted within and outside the United Kingdom and Scotland. Zucker 1988 provides the theoretical framework that facilitates analysis and comprehension of the research findings. Chapters 4 to 6 focus on primary research data. Chapters 4 and 5 present primary research findings based on documentary and interview analysis of

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Councils A and B, respectively. Chapter 5 is based on the article “Implementing New Funding and Governance Structures in Scottish Schools: Associated Social Risks”, published in Public Money and Management. See Enang et al. (2021). Chapter 6 discusses the primary research findings using the theoretical framework developed in Chapter 3. This abstraction away from the SSES reform context facilitates theoretical conceptualization and considerations that may be applicable in other PSR contexts. Chapter 7 concludes the monograph by teasing out salient points based on comparison between the critical literature review findings and primary research findings. It states the contribution to theory and practice, presents the limitation of this research, and makes recommendations for further study.

Notes 1 Within the context of this research, successful transformation refers to transformation that delivers agreed outcomes. In the case of SSES and the Scottish Attainment Challenge, for example, this means transformation that simultaneously reduces the socio-economic attainment gap and improves attainment levels across socio-economic strata. 2 Operational risk refers to probability of loss due to failed or inadequate internal processes or external events Hopkin 2017). See also Table 4.2. 3 Financial risk is the probability of monetary loss ( Barbaro and Bagajewicz, 2004). 4 Documentary data was retrieved from 2004 because that was when the earliest information on school education transformation in Council A was available online.

Acknowledgements

This monograph is based on my PhD research, which was a positive lifechanging experience for me. I would like to express my sincere gratitude to the following people whose invaluable assistance helped me during that journey. Glasgow Caledonian University (GCU) is where this story emerged, as it nurtured my scholarly ambitions and interests. I obtained an MSc in Risk Management (with distinction) from GCU, and then embarked on a PhD which focused on the production and management of social risks associated with public service reform. I gratefully acknowledge the funding provided for my PhD research by GCU. The leadership, constant feedback, insightful comments, support, and encouragement which I received from my PhD supervisors, Professors Darinka Asenova (director of studies) and Stephen Bailey (second supervisor), were instrumental to the successful completion of my doctoral thesis. I have never doubted their patience and commitment to my success. Indeed, my development as an academic demonstrates this. Therefore, I will always appreciate the time that I spent with them, and all that I have learnt from them. Though Professor Geoffrey Whittam became my director of studies towards the end, after Professor Asenova’s retirement, I am grateful to him for stepping in when he was most needed and for quickly taking charge. He has also been very supportive of my work. I am also very thankful to Professor Alex de Ruyter, my previous PhD supervisor, for his encouragement and guidance. He and Professor Asenova saw the research potential in me right from the start, and I am profoundly indebted to them for this. Additionally, the roles played by my PhD examiners, Professors Ciaran Connolly of Queen’s University Belfast (external examiner), John McKendrick (internal examiner) of GCU, and the Chair of my VivaVoce examination, Dr Claire MacRae (GCU), were critical. They were very keen to discuss my research findings. I am beholden to them for making that a pleasurable and unforgettable, learning experience for me. I also express my gratitude to respondents from Councils A and B for participating in my research. This study would not have been possible without their cooperation.

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Acknowledgements

Many thanks to Drs Gillian Brydson, Lorna Barton, Tunmise Usikalu, and Margaret Ann Houston, for the extremely helpful academic advice and assistance that they provided during and while I was rounding up my PhD and preparing for my viva. I value the helpful classes, seminars, and writing workshops organized by Dr Grace Poulter of the GCU graduate school. They contributed to my personal and professional development in academia. My discussions with Professor Harry Sminia of University of Strathclyde regarding process research were enlightening, and I am very grateful to him. My special thanks go to Mr Colin MacKay (CBE) and Dr Helen MacKay, as well as Mr Evan and Mrs Alison Macdonald who always provide a haven and words of encouragement. I am especially grateful to my former line manager, and dear friend, Dr Jennifer Murray, who was there from the beginning of my doctoral journey. Her gentle nudge, scholarly advice and friendship ushered in rays of hope at the most appropriate times. During my final year, she listened patiently as I constantly spoke about my doctoral research on our long drive to work at Edinburgh Napier University, from Glasgow. In fact, the idea of our coauthored book titled: ‘Conceptualising Risk Assessment and Management Across the Public Sector: From Theory to Practice’Practice, was hacthed during those long drives. This book was published in January 2022. Jenny and I still working together on research grants and scholarly publications. Another dear friend whom I enjoy working with is Dr Tamara Mulherin. She painstakingly went through my chapter on: “Background to Public Service Provision and Reform”. Thereafter, we spent an afternoon critically analysing and discussing the contents of that chapter over lunch. That day remains fresh in my memory. As with Dr Murray, Dr Mulherin and I have a pipeline of scholarly manuscripts to submit and hopefully publish. My parents, sisters, and brother never gave up on me and I deeply appreciate and love them for this. Their prayers, support, and faith in me served as a constant reminder that I could achieve my PhD dreams. Although not included in this monograph, the debates with my sister, Dr Etieno Enang, on research philosophies and theoretical frameworks helped in clarifying my thoughts and refining these areas in my doctoral thesis. I fully acknowledge SAGE Publications for permitting the reprint of the article “Identifying Influencing Factors of Sustainable Public Service Transformation: A Systematic Literature Review”. The article was originally published in International Review of Administrative Sciences, DOI: 10.1177/0020852319896399, and authored by Iniobong Enang, Darinka Asenova, and Stephen Bailey (2022). Likewise, I fully acknowledge Journals, Taylor and Francis Group who permitted the reprint of the article, “Implementing New Funding and Governance Structures in Scottish Schools: Associated Social Risks”. The article was originally published in Public Money & Management, DOI: 10.1080/09540962.2021.1995149, and

Acknowledgements

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authored by Iniobong Enang, Stephen Bailey, Gillian Brydson, and Darinka Asenova (2021). I thank the anonymous reviewers whose helpful comments shaped the content and structure of this monograph. My acknowledgements would be incomplete without mentioning Dr Ifeyinwa Nwoke, Mrs Karen Locke, Ms Fele Iweibo, Ms Lynne Bell, and Ms Mariela Gaitan who constantly cheered me on from the side lines. Above all, I owe my life, all that I am and will be, to my Heavenly Father. He is the author and finisher of my faith and remains my reason to live.

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Background to Public Service Provision and Reform

1.1 Introduction This chapter situates the book within the public service reform literature by providing relevant contextual information. It identifies and critically examines the key external drivers of public service reform (PSR) and more specifically, school education reform in Scotland, and establishes a need to reform both services. In addition to demonstrating the perceived policy need for PSR, the chapter extensively discusses the context and operationalization of PSR and Scottish school education. It concludes by noting that PSR is not “new” or a one-off event. It is arguably continuous and instigated by each “new” administration because of specific events/trends or new public policy ideas (e.g., New Public Management or New Public Governance). Nonetheless, this chapter establishes a need to understand the factors that influence (facilitate or hinder) PSR. Understanding these factors can enhance strategic decision-making to ensure effective and sustainable PSR processes. To achieve this, public services and PSR are first defined. Following this, discussion on the evolution of public administration is presented to understand how this impacts PSR, including an overview of PSR within the United Kingdom and Scotland. A scoping review of literature is conducted to establish the need for PSR in Scotland. Thereafter, the contextual landscape where Scottish school education services (SSES) operate is analysed to rationalize the need for reform in this area. The concluding remarks present the key findings from this review and explain how this informs the debates in subsequent chapters.

1.2 Defining Public Services and Public Service Reform Public services have been defined, as services designed to address public needs whilst considering political agenda (Lall and Lundberg, 2008; Valkama et al., 2013). They could be literally translated to mean “services for the public” (Le Grand, 2009). Despite some tangible elements of public services (for example, information technology), public services have primarily intangible DOI: 10.4324/9781003154327-1

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Background to Public Service Reform

nature including education, health care, social care, housing, business, or economic support, and/or transportation (Le Grand, 2009; Osborne et al., 2012). Commenting on the role of the public sector, Burton (2013, p. 2) defined public services as “services in which the public sector, as commissioner and purchaser, is the main decision-maker on the outcomes it aims to achieve”. These definitions illustrate the interactions between the public sector, public amenities, public service users, and the political and governing structures. Synthesizing these definitions, public services are defined in this book as public amenities that are provided by, or on the state’s behalf, financed with public funds, and designed to address public needs, whilst considering certain political agenda. Public services can be delivered in collaboration with various public bodies, private or third sector organizations (Osborne et al., 2012). They are primarily funded by governments through taxation, for example national or social insurance (Le Grand, 2009), allowing governments to play a key role in PSR. Since the ensuing debates establish a need for PSR within the UK context, and specifically, in Scotland, there is need to define reform. The term “reform” has been used interchangeably with other words like “transformation”, “improvement”, “re-invention”, and “modernization”, which strongly suggests that it correlates with a positive change or an intentional shift to a more desirable state (Pollit and Bouckaert, 2004). PSR is a discontinuous and drastic process of change in which the new position differs fundamentally from the previous service scenario (Daszko et al., 2005; Roggema et al., 2012). This introduces unique problems for service managers and policymakers (Osborne and Brown, 2011a). Unlike incremental change with minimal modification at any one time, PSR involves strategic re-configuration and re-organization. It aims to create more effective services, bringing beneficial impacts for service users and communities (Boyne et al., 2003). In the United Kingdom, PSR aims to improve service capacity and reduce inequality through the development of innovative public service solutions (Accenture, 2015; Hastings et al., 2015b). In Scotland, inequality issues in the society and economy have been identified as key drivers of PSR (Public Services Commission, 2011). PSR can entail an overhaul in service delivery, potentially leading to modern, effective services characterized by “bottom-up” innovation, and transparency (Cameron, 2011). Through such reform, services should become more personalized (i.e., customized to individual clients), and accountable to stakeholders who act as change catalysts. These definitions focus on the outcomes of PSR and the expectation for improved service provision by service users and providers. Based on the definitions above, PSR is defined in this monograph as a strategic change process leading to internal reorganization of public service governance and/or methods of delivery designed to ensure positive outcomes for service users and governments.

Background to Public Service Reform 3

1.3 Evolution of Public Administration Models and PSR During the post-war era, the structures of the welfare state in Europe and the United Kingdom were set in terms of a general or “one-size-fits-all” approach to public service delivery. This means that public services were designed to serve the public, and not cater for private interest. Drawing on principles of bureaucracy, reflected as meritocracy and hierarchy, this old public administration model depended on established rules and centralized control. In the early 1980s, these structures began to crumble under varied requirements from citizens for more responsive, modern, and customized private sector-type services (Julius, 2008), as consumerism, which was previously consigned to the private sector, gained traction in the public sector (Clarke et al., 2007). The perceived inadequacies in the traditional public administration model exposed a need for PSR, enacted via New Public Management (NPM). NPM was evident in most of the English speaking North American systems, and particularly in Australia, Britain, Canada, and New Zealand, that is the four key Westminster governments (Aucoin, 2017). It incorporated various private sector management practices to improve performance (Asenova et al., 2007), including internal and external competition (Ahmad et al., 2018; Heald and Steel, 2018). PSR within the NPM context is driven by service users’ demands for better services, resulting in the development of service delivery targets and performance monitoring of public service providers, for example, in schools and health care (Wiesel and Modell, 2014). NPM has therefore been a key driver of PSR. Yet, public administration and NPM largely ignored value-creation concerns during public service provision. They focused more on efficiency and effectiveness of service provision in terms of outputs as distinct from outcomes (Rosenbloom and McCurdy, 2006; Denhardt and Denhardt, 2011). The New Public Governance (NPG) doctrine was developed to address the shortcomings of these older models of public service provision (Osborne, 2006; Koppenjan and Koliba, 2013), paving the way for yet another era of PSR. The public administration model has been criticized for its inefficient, over-bureaucratized approach to decision-making on service delivery and transformation (Pedersen and Johannsen, 2018). The NPM’s focus on efficiency and effectiveness also posed risks of inequality because accountability and equality values may be ignored (Maravic and Reichard, 2003). In contrast, the NPG involves the integration of value creation into service provision, especially within the democratic context of public governance (Moore, 1995, 2013, 2014; Boyte, 2005; Stoker, 2006; Bozeman, 2007; Alford and Hughes, 2008; Osborne, 2010a, 2010b; Williams and Shearer, 2011; Fisher, 2014; Kalambokidis, 2014; Denhardt and Denhardt, 2015; Van der Wal et al., 2015). It emphasizes flexible administration whereby citizens and public employees collaborate on socio-economic issues and PSR, including co-design, co-delivery, and co-production of public services (Bryson et al., 2014).

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Background to Public Service Reform

NPG encourages collaboration with other relevant public service organizations, private and third sector bodies (Osborne, 2006, 2010c). These new ways of working involving fundamentally reconceptualized procedures and processes (defined as PSR in Section 1.2) are intended to improve outcomes for service users, as judged not only by service providers but also by service users themselves (Pedersen and Johannsen, 2018). NPG is not without flaws. Research conducted by Pedersen and Johannsen (2018) revealed that public employees under the NPG model can introduce risks of corruption as employees may bend the rules to achieve policy objectives owing to increased flexibility. However, it is not clear if these findings apply in developed countries as the research focused on transitional countries. Other corruption risks associated with NPG relate to the possibility of compromising accountability and transparency with the inclusion of private companies because of their claim for commercial confidentiality when partnering with public service organizations (Pollitt and Bouckaert, 2011). Like the NPM, the NPG model embodies distinct cases of neoliberalism. In other words, both models seem to focus on creating a minimalist state to replace the existing post-war welfare state. This is being perpetuated through reduced public spending on social services and infrastructure, shrinking the role of the state via privatization, imposing austerity measures, and encouraging greater competition between public service providers like hospitals and schools (Huber and Niedzwiecki, 2018). Neoliberalism has been touted as a mechanism for producing inequalities (which are social risks1) in several Organisation for Economic Co-operation and Development (OECD) countries. See, for example, studies conducted by Bettache et al. (2020), Jamieson et al. (2020), and Sanchez (2020). This situation is replicated in non-OECD countries such as China (Yang and Fan, 2021), Nigeria (Ogamba, 2020), and South Africa (Mfete, 2020). Nonetheless, there are ongoing debates about further developing NPG by progressing from co-production to co-creation of value (Osborne et al., 2017; Osborne, 2018). In fact, the public service logic (PSL) is a relatively new framework that explicitly addresses matters relating to collaborative creation and/or destruction of value (Rubalcaba et al., 2022; Sønderskov and Rønning, 2021) at the micro level of individuals (Osborne et al., 2022). These models which are being embedded into public management theory, play prominent roles in PSR and innovation (Osborne et al., 2022). To summarize, NPG and PSL represent the evolution of PSR from a bureaucratic model of public service provision to one underpinned by the 3Es of economy, effectiveness, and efficiency, and then to a value creation-based model. Both paradigms recognize the role of multiple stakeholders, including central and local governments, private and third sector organizations, citizens, and communities in shaping transformation processes. Therefore, they seem to present a more holistic approach to PSR. Evidence that NPG is shaping approaches to PSR in Scotland is demonstrated via public policy like Scotland’s four pillar approach to PSR (see Section 3.2.4).

Background to Public Service Reform 5

In the case of the PSL, this would be the creation and embedding of the Community Planning Partnership model introduced by the Scottish government via the Local Government in Scotland Act (2003) (Campbell, 2015). Still, NPG’s “value approach” may create confusion during PSR as it may hold different meanings to different stakeholders. An example of this is illustrated in the Scottish Government’s “loosely defined” Getting It Right for Every Child (GIRFEC) approach to SSES provision. Thus, different stakeholder groups may understand the GIRFEC concept differently. This may influence their perception of PSR; what it should entail, how it should be implemented, including potential benefits, and most importantly, associated social risks. Similarly, for PSL, the drawbacks relate to insufficient understanding of the intricacies between actors, and how value is co-created, destroyed, enabled, or limited during and post public service delivery, especially from the perspective of the service user (Rubalcaba et al., 2022). Most importantly, such drawbacks may have social risk implications for service users.

1.4 Public Service Reform in the UK: An Overview Over recent decades, governments in developed countries have encountered similar challenges relating to low economic growth, amidst rising demands for public services and tight budgets (Maude, 2014). Following the 2007/2008 financial sector crisis,2 governments introduced policies to curtail rising public debt by reducing public spending and so fiscal deficits (Heald and Steel, 2018). In the United Kingdom, eight years of strong public spending between 2002 and 2010 were followed by the longest period of fiscal consolidation in a century (Himaz and Hood, 2016). This occurred within the context of rising demand, demographic and socio-economic changes in adult care, health, and education (Asenova et al., 2013; Burton, 2013; IFG, 2018). To address these socio-economic challenges, urgent, progressive, and holistic PSR was required to “increase productivity and reduce service delivery costs” (Public Services Commission, 2011). Other countries, for example, Australia, Estonia, Singapore, South Korea, Sweden, and the Netherlands embraced similar cost-savings approaches (Maude, 2014). Hence, changes in socioeconomic structures revealed a need for PSR by encouraging public services to do more (i.e., outputs and outcomes) with less (i.e., inputs and processes). There are a few reasons why politicians and governments believe that PSR is necessary. First, there is need for public services to adapt to change. According to the Prime Minister’s Strategy Unit (2006): “The world doesn’t stand still and hasn’t stood still. Public services need to adapt to social change, economic change, technological change and changing attitudes and expectations”. Second, governments and politicians are expected to positively impact the lives of citizens which could be achieved through PSR (Burton, 2013).

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Background to Public Service Reform

Finally, for over 30 years, politicians have tried to demonstrate their eligibility to voters using the PSR agenda. Evidencing improvements in vital services like health, criminal justice, and education enhances their prospects for re-election because public services are the government’s responsibility (ibid). Politicians at the centre right perceive PSR as evidence of how prudent they are with taxpayers’ money. Those on the centre left perceive it as an opportunity to reduce inequalities and deliver social justice (Prime Minister’s Strategy Unit, 2006). Regardless of the stance adopted, politicians agree that PSR driven by strong leadership is required. According to Burton (2013), the last Labour Government adopted an interventionist approach to PSR by increasing local council allocation while monitoring their activities closely. Conversely, the subsequent Liberal Democrat-Conservatives UK Coalition Government (2010–2015) allowed local councils free reign while reducing their allocation and forcing them to balance their budgets through PSR (as distinct from withdrawing) their services. This fiscal austerity-driven reform agenda has led to intra- and intercouncil collaborations to reduce costs. In addition, councils are reappraising their service priorities, service/management costs and service delivery models. They are also enhancing frontline operations via information technology. Contingent on the United Kingdom’s ability to secure a good Brexit deal from the European Union, the 2015–2020 UK Conservative Government promised to end fiscal consolidation (i.e., public sector austerity) following the United Kingdom’s departure from the European Union in 2019 (Stewart, 2018). The government also stated that uncontrolled borrowing would stop (ibid), and benefits freeze would end in 2020 (The Guardian, 2019). However, the 2020/2021 fiscal year saw the highest borrowing at 14.8% of gross domestic product (GDP) or £317 billion post Second World War due to the COVID-19 pandemic. Based on reduced borrowing of 6.1% of GDP, or £144.6 billion in the 2021/2022 fiscal year, the Chancellor offered a “cost-of-living”3 support package worth £22 billion to households in May (Milliken, 2022), with over eight million households projected to receive additional support payments from July 2022 (DWP, 2022). The UK Treasury’s 2022 fiscal objective was, “to ensure sustainable public finances, economic growth, stability, value for money for the taxpayer, a strong balance sheet, and intergenerational fairness” (Keep, 2022, p. 8). Yet, more than a £100 billion budget deficit is predicted for the UK government by the end of the 2022/2023 fiscal year, due to the negative impact of soaring interest rates on the UK debt (Inman, 2022). Furthermore, between June 2021 and June 2022, public sector borrowing has increased by £4.1 billion to £22.9 billion. This makes it difficult for the UK government to simultaneously deliver tax cuts and fiscal sustainability in the medium term. Likewise, the additional consumer price index (CPI) inflation, which was projected to increase from 9.4% in June 2022 to about 12% in October 2022, is expected to exacerbate the cost-of-living crisis and can hinder the UK government’s provision of additional support to

Background to Public Service Reform 7

households. Thus, the previous fiscally/austerity-driven reform agenda instituted by the 2010–2015 UK Coalition Government, may continue, thus exacerbating organizational and social risks.4 The above discussions evidence ongoing external PSR pressures driven by a complex cocktail of external pressures related to political and socioeconomic factors. The PSR agenda is articulated by the UK central government but enacted at regional and local government levels by public sector managers and workers who must contend with, for example, reduced departmental budgets and welfare freezes. Since public sector workers interact directly with public service users (Burton, 2013), clear communication lines are required to ensure alignment between strategy formulation and strategy implementation. The absence of this can pose a risk to the realization of strategic objectives. Preceding discussions address PSR across the United Kingdom. The following sections focus on PSR in Scotland. They clarify the nature of adaptive challenges, demonstrate their role in driving PSR, explore political and socio-economic structures which determine the need for PSR with a focus on the Scottish School Education Institutional perspective.

1.5 PSR in Scotland: Addressing an Adaptive or Technical Challenge? As noted by Asenova et al. (2013), some traditional approaches to public service provision may hinder the ability of public service organizations to “achieve more with less”, particularly in a climate of fiscal consolidation, and the rising cost of living. The challenges that arise can be referred to as adaptive challenges because they are fundamental and complex, without readily available solutions (Creelman, 2009; Heifetz et al., 2009) or wicked social problems ESRC, 2009). They differ from “tame” problems which have solutions even though they may sometimes be complex (ibid). Tame problems (or technical challenges) reside mainly in one single institution; thus, their resolution may be found within the originating institution. A fire incident can be classified as a tame (or technical challenge) because in most cases the fire and rescue service can resolve these problems without external involvement. Adaptive challenges (or wicked social problems) are domiciled between and across different public institutions thus negating resolution through a single institutional structure (ESRC, 2009). Solutions to these types of challenges do not reside with public sector leadership alone “… but in the collective intelligence of employees at all levels, who need to use themselves as resources, often across boundaries, and learn their ways to reaching those solutions” (Heifetz and Laurie, 1997, p. 124). Such adaptive challenges in public services may be addressed through PSR. Some Scottish public bodies have undergone and are currently undergoing reform to address adaptive challenges relating to the delivery of more cost-effective services. For example, the merging of policing and fire and

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Background to Public Service Reform

rescue services in 2013 can be seen as an adaptive response to the need for increased efficiency, public confidence, and local accountability in fiscal consolidation (Scottish Parliament, 2012; The National Archives, 2016). Between 2014 and 2024, a 29% increase (0.43–0.56 million) in the population aged 75 and above is expected. A further increase to 0.8 million is expected by 2039, representing an 85% increase within 25 years (NRS, 2015). The older population profile creates health and social care challenges that cannot be addressed by existing services (Audit Scotland, 2016). In this case, the adaptive challenge is ensuring the sustainability of the health and social care services (Freeman, 2017c). This challenge was addressed by the integration of these services around individual needs, while considering the needs of family members and carers in their design. This represents the most significant reform to the provision of health and social care since the National Health Service was launched in 1948 (Scottish Government, 2018a). Yet, this challenge is far from resolved. The COVID-19 pandemic highlighted issues associated with variation in access, consistency of experience, and the quality of community health and social care delivery across Scotland. Lack of national accountability and social care support were identified by the Independent Review of Adult Social Care as the source of these issues, and the Scottish government was held accountable for these failings by the public (Scottish Government, 2021a). To address these issues, the National Care Service (NCS) was introduced on 20 June 2022, to improve the quality-of-service provision, and embed ethical commissioning at local levels (Oung, 2022; Royal College of Nursing (RN) Scotland, 2022). The National Care Service (Scotland) Bill enables the Scottish government to transfer social care responsibilities from local authorities to a new national service. This approach to PSR is like the Pupil Equity Fund where funding and governance responsibilities were transferred from local authorities directly to schools (Enang et al., 2021). Likewise, the difficulties associated with public service delivery during the COVID-19 related lockdown, and the cost-of-living crisis exacerbated by rising energy costs which in turn has been fuelled by the Russia-Ukraine war, constitute adaptive challenges. The Scottish government have introduced a series of interventions to address the rising costs of living in Scotland. Some of these measures target Scottish school children. For example, the increase in Child Benefit Payments, free school meals, best start foods, best start grants, and the temporary increase in universal credit owing to the COVID-19 pandemic (Benn, 2022). Despite these interventions, childhood poverty in Scotland persists (Pybus, 2022). Like the adaptive challenges identified in the preceding paragraphs, these challenges highlight the need for a different and sustainable approach to delivering effective public services through PSR. White (2022) lists several climate change disruptions which constitute adaptive challenges. For instance, increased temperatures disrupt the natural bird population in Scotland, and negatively impact tourism generated income. He noted that urban areas in Scotland will be disproportionately affected by the

Background to Public Service Reform 9

increased temperatures consistent with global warming. This is due to the Urban Heat Island (UHI) effect. Thus, temperatures rise in densely populated urban communities because materials like tarmac which absorb and emit heat are used. Heat-related illness and deaths resulting from the UHI effect put pressure on public services including fire and rescue, and health services. Considering rural areas, rising temperatures lead to drought conditions, degrade soils, and exacerbates the spread of diseases. From an agricultural perspective, these conditions negatively impact the growth of crops in Scotland. However, the potential upside of rising temperatures is the growth and local distribution of crops which typically grow in more tropical regions; hence, less reliance on imported food. Clearly, climate change introduces adaptive challenges within Scotland’s public service and population. These can be addressed via PSR whereby the Scottish government works with relevant stakeholders to co-create a range of targeted solutions for combating the effects of climate change. The poverty-related attainment gap (hereafter referred to as “attainment gap”) is an international socio-economic challenge that defies change (Mowat, 2018). It refers to the gap in school education attainment that exists between children and young people from deprived families and their counterparts from less deprived families. Closing this gap is an attempt to address a social problem to prevent (or otherwise mitigate the risks of) negative outcomes with far-reaching adverse social and economic consequences (for example, increased unemployment, engagement in criminal activities and other criminal justice issues). Thus, the attainment gap is an example of an adaptive challenge addressed through PSR because it requires more than transformative change in schools alone. It requires reform in the political and socio-economic contexts that generate it, including an innovative approach to reducing poverty levels; changes to how health, social care and housing are provided; and changes to how communities and families perceive school provision and reform (Shields and Gunson, 2017; Mowat, 2018). One of the ways in which the Scottish government aims to address this gap is via the PEF.5 PEF represents a change in the funding and governance structure of SSES and aligns with the definition of PSR derived in Section 1.2. These discussions demonstrate that PSR has a strategic role in addressing adaptive challenges associated with the delivery of public services in Scotland. The examples illustrate that adaptive challenges emerge from a broad set of interconnected political, socio-economic, environmental, and institutional factors in Scotland, and arguably the wider global context. Articulating these challenges has helped with problem definition and clarification. Therefore, in the bid to address these adaptive challenges, PSR initiatives are designed and implemented. In other words, adaptive challenges justify the need for PSR and are drivers of PSR. So far, discussions have revolved around contextual imperatives for PSR in Scotland. These discussions enhance understanding about the context and content of reform in Scotland. The next sections briefly explore the

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Background to Public Service Reform

history of reform in UK schools. This provides relevant background information, subsequently leading to discussions explaining why this monograph focuses on the reform of SSES. The sections following critically explore the contexts (political and socio-economic) and content of SSES to understand the rationale for SSES reform and its key principles. To better understand the adaptive challenges driving PSR between 2010 and 2022, a scoping review was conducted. It is a more systematic approach to exploring the impact of environmental conditions. The review focused on PSR in Scotland and is presented in the following two sections.

1.6 Establishing Need for PSR in Scotland 1.6.1 Approach to Scoping Study – Why and How

A scoping study is the initial step in a systematic literature review (SLR) (Tranfield et al., 2003; Arksey and O’Malley, 2005) used to investigate the nature and range of literature available and for establishing the potential scope and cost implications of conducting a comprehensive SLR. Authors have used this approach to find research gaps, summarize, and communicate research findings (Arksey and O’Malley, 2005; Levac et al., 2010). The scoping study presented in Tables 1.1 and 1.2, focused on the outer context of public service provision in Scotland to determine a need for PSR in Scotland. The tables present 15 relevant online reports published between 2010 and 2022. They reflect the perspectives of the Scottish government, and independent analyses from Audit Scotland. The reports confirm that PSR is required in Scotland, and is an ongoing process. The scoping study helped with problem definition and clarification by revealing that PSR in Scotland (as in the wider UK context) is driven by a broad set of interconnected political, socio-economic, environmental, and institutional factors. 1.6.2 Outcome of Scoping Study

Summarizing the findings from the first ten reports captured in Table 1.1, the imperatives of PSR before 2019 relate to the Scottish government’s strategic objective to: • • •

Address socio-economic changes such as efficiency savings and the growing demand for public services (Audit Scotland, 2010, 2011, 2014b; Public Services Commission, 2011; Scottish Government, 2015a). Tackle demographic issues associated with increased longevity and its impact on health and social care provision (Audit Scotland, 2011, 2014b; Scottish Government, 2011b, 2015a). Identify effective ways to handle rising energy prices and reduce carbon footprints (Audit Scotland, 2011).

Author

Audit Scotland

Audit Scotland

Public Services Commission

Scottish Government

Scottish Government

Scottish Government

#

1

2

3

4

5

6

2012f

2011a

2011b

2011

2011

2010

Year

Commission on the future delivery of public services: Challenges facing our public services Renewing Scotland’s public services – priorities for reform in response to the Christie Commission Scotland’s digital future: Delivery of public services

Christie Commission on the future delivery of public services

Scotland’s public finances: Addressing the challenges

Improving public sector efficiency

Publication

Table 1.1 Scoping Review Results – Phase 1

Scottish government’s website “demography” + “public service reform” + Scotland + 2010

Scottish government’s website “budget cuts” + “public service reform” + Scotland + 2010

Scottish government’s website “budget cuts” + “public service reform” + Scotland + 2010

Scottish government’s website “society” + “public service transformation” + Scotland + 2010

Google search “Audit Scotland” + “public service” + “reform” + 2010 Google search “budget cuts” + “public service reform” + Scotland + 2010

Source and Search Strings

(Continued)

Acknowledges socio-economic issues as PSR drivers in Scotland. Highlights the need for PSR using digital technology. Explains how information technology underpins the 4Ps approach

Need for efficiency savings in Scottish public services based on forecasted fiscal consolidation Need for immediate reform of Scottish public services based on financial pressures and changes in Scotland’s economy, society, demography and environment. PSR needed in Scotland due to socio, economic, and demographic challenges. Key recommendations: PSR should focus on the four pillars (4Ps) of people, partnership, prevention, and performance Identifies socio-economy and demography as PSR drivers in Scotland. Recommends 4Ps approach to PSR Acknowledges the need for PSR in Scotland Scottish public services. Recommends 4Ps approach to PSR

Focus

Background to Public Service Reform 11

Author

Scottish Government

Scottish Parliament

Audit Scotland

Scottish Government

#

7

8

9

10

Table 1.1 (Continued)

2015a

2014b

2013b

2013e

Year

A budget for growth and reform

Public services reform in Scotland: Strand 3 – developing new ways of delivering services An overview of local government in Scotland 2014

Changing the world – the threestep improvement framework for Scotland’s public services

Publication

Scottish government’s website “public service” + reform + 2015

Google search “Audit Scotland” + “public services” + reform + 2014

Google search “Scottish Parliament” + “public service” + “reform”

Scottish government’s website “demography” + “public service reform” + Scotland + 2010

Source and Search Strings

Identified social, economic, demographic, and political pressures as transformation drivers and discussed Scotland’s 4Ps approach to transformation. Welfare reforms, the restructuring of fire and policing services, and health and social care integration were provided as examples of current PSR in Scotland. Provides information about Scottish government’s programme of transformation via a £500 million investment to enable health and social care integration

Acknowledges the need to transform Scottish public services based on Christie Commission report and identifies socio-economic factors as drivers Underpinned by Christie Commission report. Acknowledges the need for PSR in Scotland

Focus

12 Background to Public Service Reform

Audit Scotland

Scottish Government

Audit Scotland

Scottish Government

Scottish Government

11

12

13

14

15

n.d.

2022

2022

2021b

2019

Pupil attainment: Closing the gap Scottish Attainment Challenge 2022/ 2023–2025/2026

National Care Service Bill published

Tackling fuel poverty in Scotland: A strategic approach Reform of NHS key to pandemic recovery

Briefing: Public health reform in Scotland

Table 1.2 Scoping Review Results – Phase 2

Google search Public sector reform + National Care Service + Scotland Google search Pupil equity funding 2022/2023

Google search Audit Scotland + Reform

Google search Fuel poverty + Scotland

Google search Public health reform + Scotland

Identified some of the current challenges of public health. Outlined how these will be addressed via public health reform (PHR) spearheaded by partnership working between the Scottish government and COSLA. Laid out the statutory targets and action plan for reducing fuel poverty, particularly for people at risk Highlights the need to reform the NHS and the critical role played by better data collation and application. Stresses that a reformed NHS is critical to the pandemic recovery strategy of the Scottish government. Recommends a multiagency stakeholder approach to reform and a transition from hospital care to localized care in homes. Considered to be the most ambitious reform of the public services after the NHS. The document sets the new direction for the future delivery of social care The document sets out the objectives of and plans for the implementation of the second phase of the Scottish Attainment Challenge between 2022/2023 and 2025/ 2026

Background to Public Service Reform 13

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The scoping review show that prior to 2019, the imperatives for PSR existed in an environment of fiscal consolidation as noted in the first ten government reports. Six of the reports identified and discussed the Scottish government’s four-pillar approach (4Ps) to PSR as recommended by the Christie Commission, demonstrating the distinctive features of this approach in Scotland (Public Services Commission, 2011; Scottish Government, 2011b; Scottish Parliament, 2013; Audit Scotland, 2014b). The Christie Commission Report published in 2011 was born out of a need to address medium- to longterm financial problems and growing demands of the public. The 4Ps approach to PSR stresses the need to focus on people, partnership, prevention, and performance during PSR (Public Services Commission, 2011; Scottish Parliament, 2013). This approach considers the actions, interactions, and reactions of stakeholders as organizations transform themselves (Pettigrew, 1987). According to the Public Services Commission (2011), the 4Ps approach should underpin PSR in Scotland. The last five reports presented in Table 1.2 show that between 2019 and 2022, that is, in the aftermath of the COVID-19 pandemic, rising energy prices, and inflation, there was a slight change in the scope of PSR in Scotland. It now includes addressing the shortcomings of social and health care provision highlighted by the COVID-19 pandemic, the cost-of-living crisis associated with rising energy prices and inflation, with a renewed focus on reducing the socio-economic related attainment gap in pupil’s learning outcomes. Indeed, the preceding discussions confirm need for PSR in Scotland from the Scottish government’s perspective, thereby making it a government policy. The scoping study establishes that PSR would address complex, interconnected changes in external structures like politics, socioeconomic conditions, and technology. Hence, it is important to identify internal institutional factors capable of facilitating or hindering PSR (research objective 2). This is addressed in Chapter 2 via a SLR with leadership, risk management, and stakeholder engagement emerging as key facilitating factors of PSR. The Scottish government’s 4Ps approach to PSR was also identified during the scoping review in the first ten reports published between 2010 and 2015. Although the last five reports did not explicitly mention the 4Ps, approach, the current PSR models show that this approach is still being adopted in Scotland. Central to this monograph is the critical analysis of the risks associated with the 4Ps approach to SSES reform, including their management. Therefore, the theoretical conceptualization of this monograph incorporates the 4Ps along with other theoretical components. This is analysed using theoretical lenses in Chapter 3. Nonetheless, the 4Ps are discussed here from a legislative perspective, considering their role in the reform process (see Section 1.7.2). So far, discussions have revolved around contextual imperatives for PSR in the United Kingdom, particularly in Scotland. These discussions enhance

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understanding about the context and content of reform in SSES. The next sections briefly explore the history of reform in UK schools. This provides relevant background information, subsequently leading to discussions explaining the focus on SSES reform in this monograph. The sections following critically explore the contexts (political and socio-economic) and content of SSES to understand the rationale for SSES reform and its key principles.

1.7 Reforming SSES 1.7.1 Brief History of School Education Reform in the UK

The main imperative for school reform in the United Kingdom is children’s educational improvement. However, the approach to achieving this is somewhat contentious, as there are different views on the best ways for achieving this objective. Some ministers suppose that reforming the governance of school education delivery by bypassing local councils and devolving more administrative and fiscal responsibilities to head teachers is more appropriate (Thatcher, 1993). Others believe that issues pertaining to socio-economic/poverty-related educational disparities should be addressed first (Burton, 2013), though this view has been dismissed by some as being overly simplistic (Gove, 2012). Another view is concerned with how governments can sustainably address the attainment gap with ongoing fiscal consolidation, particularly as businesses continue to complain about the poor educational standards of school-leaving job applicants. Considering these views, the imperatives for school education transformation are to give the United Kingdom a competitive advantage internationally and address local business needs by increasing overall educational attainment, while raising educational attainment in pupils from disadvantaged backgrounds. Despite over a decade of addressing the poverty-related educational attainment gap, including the financial investments in school education, the gap persists (Burton, 2013; Education Scotland, 2022). This negatively impacts the future of many pupils, minimizes social mobility, and reinforces inequality. Thus, a key educational challenge for Scottish schools is addressing the attainment gap. Discussions regarding the use of an education governance structure that devolves more administrative and financial responsibility to schools and head teachers have been ongoing for over 30 years. Examples include the 1979–1990 reforms by the Thatcher administration, which was embodied in the 1988 Educational Reform Act and enacted via the grant-maintained schools (Thatcher, 1993). It was later abolished by the New Labour government with the Schools Standards and Frameworks Act 1998 (UK Parliament, 1998). Partly developed from the concept of grant-maintained schools, the introduction of academy schools in England by the 1997–2010 Labour administration was considered as one of the most innovative,

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reform programmes in education among developed countries in recent times (Blair, 2010; Eyles and Machin, 2015). The evolution of academy schools continued during the Conservative and Coalition governments (Major, 1999; Eyles and Machin, 2019; Eyles et al., 2018) and with the introduction of the Academies Act 2010 (UK Parliament, 2010). As highlighted in the Preface, the Scottish PEF devolves administrative and financial autonomy from the Scottish government directly to head teachers, bypassing councils. Indeed, the PEF and academy schools were introduced to address concerns that the standard of education provided by local authorities to schools in disadvantaged communities was unsatisfactory (Eyles and Machin, 2015). However, the PEF is a ring-fenced grant worth £120 million targeted at closing the persistent poverty-related school education attainment gap (hereafter referred to as attainment gap6) in Scottish schools (Shields and Gunson, 2017; Scottish Government, 2017c). The first phase of the PEF investment was between 2016 and 2021 (Scottish Government, n.d.1), while the second phase is from 2022/2023 till 2025/ 2026 (Seith, 2022). So, the PEF is medium-term funding comprising a relatively small proportion of the overall school education budget. In contrast, academies are state schools funded directly by the central government, run autonomously by an academy trust, and directly accountable to the education secretary. They differ from traditional state schools which are funded, managed and accountable to their local authorities as is still the case in Scotland,7 Wales and Northern Ireland (Amyas, 2012; Eyles and Machin, 2015; Open Government License, 2016). Notwithstanding these differences, the implementation of PEF and operationalization of academy schools are associated with social risks. In academy schools, the associated social risks (Asthana and Stewart, 2016) include: • • • • • • •

Potential distraction from critical issues such as pupil safety and learning. Growing shortages of school places and teachers. Increasing inequality in education attainment. Reduced public accountability. Reduced autonomy for remaining state schools. The fracturing of collaborative structures. Reduced parental choice for deprived households.

These social risks may negatively impact learning and teaching leading to poor learning outcomes for pupils. They may also exacerbate inequality of outcomes, thus increasing the attainment gap. Charities like Children in Scotland and other interest groups (unspecified in the CIPFA, 2017) have expressed doubt in the ability of PEF to address the attainment challenge (Freeman, 2017a). Equally, the Scottish Parent Teacher Council feel excluded from the decision to implement PEF (ibid). These

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stakeholders implicitly associated social risks with PEF by arguing that the new governance structure could distract teachers from their core teaching and learning responsibilities (Scottish Government, 2017a), possibly leading to poor learning outcomes for pupils. Similarly, weak democratic representation and loss of local accountability were considered as potential risks of PEF. To address COVID-19 related challenges encountered by pupils, schools benefitted from a 15% increase in their PEF allocation in 2021/2022. However, this will be discontinued in 2022/2023 (Seith, 2022). The abovenamed factors, including the proposed £16.5 million reduction in the PEF allocation in 2022/2023, could further reduce overall attainment and possibly exacerbate the current attainment gap as pupils and schools, especially those from deprived communities are still recovering from the negative impact of the pandemic. Despite SSES reform attempts, the 2015 PISA scores indicated a decline in the relative and absolute performance of Scottish schoolchildren in literacy, numeracy, and science (Adams et al., 2016). This result called into question the then Scottish National Party (SNP) government’s ability to ensure world-class school education services BBC News, 2016c; Kemp, 2017). Consequently, the reform of SSES became one of the SNP government’s key policy priorities, with emphasis on simultaneously closing the poverty related educational attainment gap (attainment gap) and improving attainment for all Scottish young people (Scottish Government, 2017b). According to the OECD Library (2022), between 2015 and 2018, PISA results in science and mathematics were stable, but improved in reading. Across OECD nations, the socio-economic background of Scottish students had minimal impact on how they fared in reading, science, and mathematics, while more students from disadvantaged backgrounds excel. While Audit Scotland (2022) acknowledge the improvements to attainment and exam performance in Scottish schools, they argue that the attainment gap persists, with prevailing inequalities aggravated by the COVID-19 pandemic. They point out the large disparities in performance across local councils, and the inconsistent progress, and stress the need to improve the pace of improvement and reduce the complex attainment gap. Therefore, the primary rationale for concentrating on SSES transformation in this monograph relates to the political imperative to reform SSES, by addressing attainment gaps, and improving school education provision and outcomes. The second rationale is rooted in the socio-economic context of SSES; albeit closely linked to the political imperative. Studies conducted within the United Kingdom reveal that vulnerable households with children are the most affected by the pace and scale of fiscal consolidation and the resulting austerity measures (Adamson, 2012; Hastings et al., 2013; Milne and Rankine, 2013; Asenova et al., 2013, 2014, 2015a; McKendrick et al., 2016; Treanor, 2017). Similarly, the cost of living crisis is exacerbating child poverty across the United Kingdom, including Scotland (Children in Scotland, 2022). Thus, studying the process of SSES reform post the

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financial crisis and how this might impact children, young people, and local communities8 is vital. Considering the role played by the political and socio-economic context in driving PSR and SSES reform, it is necessary to examine each context in more depth. 1.7.2 Context and Content of SSES Reform External Institutional Structures SOCIETY AND ECONOMY AS DRIVERS OF SSES REFORM

Across OECD countries, roughly 8.1% of gross government expenditure was spent on non-tertiary education in 2015 (OECD, 2018). This illustrates the importance placed on education in these countries. In Scotland, this importance is illustrated by the fact that it ranks third after social care and health in terms of the amount of devolved public spending in Scotland (OECD, 2015). It is considered important for nation-building and society (Colquhoun, 1971) as it equips people with the right attitude/orientation, knowledge, and skills for work (Confederation of British Industry [CBI], 2015). Good education enables economic growth and ensures the prosperity of future generations, by enhancing their employment opportunities (CBI, 2012). The Scottish government’s education and lifelong learning departments and the Scottish parliament are politically responsible for education across the board (General Teaching Council for Scotland [GTC], 2019), including tertiary and higher education as well as schools. Functioning as education authorities, councils in Scotland and Wales own and run state schools (National Assembly for Wales, 2018; GTC, 2019). This is in contrast with independent schools which are privately run and not within the jurisdiction of education authorities (Child Law Advice, n.d.; Nidirect Government Services, n.d.; LawWales, 2016; GTC, 2019). This monograph focuses on state schools in Scotland, and specifically on the social risks associated with reforming their governance structures. Education quality measured by cognitive skills (instead of educational awards attainment) correlate more positively with individual earnings, equality of income and economic growth (Hanushek and Wößmann, 2007). This suggests that adherence to raising attainment standards and reducing attainment gaps while reforming SSES may not always lead to more positive outcomes for young people, nor generate the expected prosperity and/or economic growth claimed above. Hence, the Scottish government must ensure positive experiences for young people through a range of initiatives such as via participation in higher or further education, modern apprenticeships, voluntary work, employment, training, or entrepreneurship (Sosu and Ellis, 2014; CBI, 2015). In Scotland, only about one-third of income-deprived people live in deprived areas, pockets of deprivation existing elsewhere (Scottish

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Government, 2017d). Since over 20% of Scottish children live in deprived households, this socio-economic characteristic has been associated negatively with their education, health, societal engagement, and future employment prospects (Sosu and Ellis, 2014). Spatially differentiated demographic data from the Scottish Index of Multiple Deprivation (SIMD) identifies low-attaining children from deprived homes to whom councils should shift their finite resources to reduce the attainment gap. Arguably, such redistribution of constrained budgets may have adverse implications for some children from middle-income families heavily dependent on public services and with minimal resilience to rising interest rates, inflation, and other economic shocks (Frayne, 2015; Sodha, 2016). The Scottish government acknowledges the limitations of the SIMD in that it does not (a) effectively capture rural deprivation, (b) measure individual deprivation, and (c) consider young people from deprived backgrounds living in more affluent communities (Scottish Government, 2017d, 2017e). The Scottish government is exploring the possibility of creating a new index to address these issues and to enhance the design of more effective targeted interventions (Scottish Government, 2017e). However, they believe that since stretch aims9 concentrate on raising attainment for all young people, rather than those in specific SIMD quintiles, the risks of excluding deprived young people who live in affluent communities are mitigated (ibid). By 2014, the overall population in Scotland was about 5.35 million representing the largest population increase compared to the foregoing decade (OECD, 2015). In-migration was the main cause of this increase from mid-2012 to mid-2013 (ibid). Other factors contributing to this increase (since 2005/2006) include natural causes like increases in birth rates and reductions in death rates based on increased life expectancies for men and women. Natural changes such as these are forecast to continue until 2027 (Scottish Government, 2015b). Unfortunately, population growth has not been consistent across age groups. The 4% reduction in the number of under 16-year-olds potentially reduces short-term demand for school education services (ibid). However, long-term forecasts suggest a 5% increase in this population cohort, leading to a corresponding increase in demand for school education services. Another factor is the number of ethnic minority pupils in Scotland which doubled between 2003 and 2013 (Scottish Government, 2015b). Likewise, the Scottish population are embracing diverse faith and religious beliefs. Between 2001 and 2011, 54% of the Scottish population were Christians. However, the population of Christians is declining as evidenced by the 11% decrease in their numbers. In 2011, there was a 9% population increase in those who did not associate with any religion (Scottish Government, 2011c). Within this fast changing socio-economic and demographic context, a stable economic climate enabling the maintenance of education expenditure has been projected until 2030 (Scottish Government, 2015b).

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This depends on the outcome of Brexit negotiations and the priorities established by the next political administration. Between 2005 and 2015, there was a 16% increase in the population aged 75 and above (ibid). A further 86% increase is projected in this population by 2040, with most living in rural communities (Scottish Government, 2010a). Most councils, particularly the rural ones find it difficult to recruit and retain home care and school support staff (Audit Scotland, 2018b). This could negatively affect the quality of school education delivered to pupils living in these areas, and their overall educational attainment. The contingencies analysed above require a different approach to learning and delivering school education. Changes in the number of children will impact councils differently in terms of education delivery (Audit Scotland, 2018b). Councils with a growing school population may need to recruit more teachers and build new schools. Others, particularly the predominantly rural councils may need to address a shrinking school population by managing teacher-pupil ratios and their surplus school estates. The unsteady growth in the population under 16 requires adaptive education services. This means delivering an education service that can cater for fewer pupils and at the same time one that can be flexible enough to accommodate more pupils when the need arises. Growing ethnic diversity should be considered while reforming SSES, for example learning and teaching provision should be made for pupils and families whose first language is not English, at levels consistent with meeting equality and inclusion objectives. Similarly, religious studies in schools should cater for pupils with varying faith and religious beliefs. The Scottish government is already developing the digital skills of educators, improving the access of learners to digital facilities, placing digital technology at the centre of curriculum and assessment provision, and empowering leaders to appreciate and encourage investment in digital technology for teaching and learning (Scottish Government, 2016b). The question is whether these measures are proportionate, timely, and properly targeted to the existing conditions and, specifically for this monograph, whether they can contribute to closing the attainment gap. POLITICS AND LEGISLATION AS DRIVERS OF SSES REFORM

Though a range of legislation affects the delivery of school education in Scotland, those selected for discussion in this monograph contribute to debates on SSES reform. They apply at macro decision-making and micro implementation levels of SSES delivery and reform. As illustrated in proceeding discussions, the main aim of the government is to eradicate inequality of outcomes and unlawful discrimination. SSES-related legislation presented here is categorized under Scotland’s 4Ps approach to PSR. As noted earlier (see Section 1.7.2), PSR in Scotland is underpinned by the 4Ps approach,

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with legislation designed to guide and facilitate implementation. Summary of legislation relating to each of the 4Ps now follows. P1: People-Focused Legislation

Introduced by the Scottish government, the people-focused legislation aims to eradicate inequality of outcomes (as distinct from opportunities) in public services. In the SSES context, it focuses on reducing attainment inequalities for children and young people. These legislative measures incorporate the socio-economic inequality duty, the Equality Act 2010, the Human Rights Act (1998), and the Named Person Scheme. P2: Partnership-Focused Legislation

This type of legislation aims to guide and direct PSR via a partnership-based model. Addressing the needs of local communities is vital to public service delivery and reform (Audit Scotland, 2018c). Accordingly, community planning drives PSR by connecting local public services with the communities they serve, thus concentrating partnership working on specific local situations (Scottish Government, 2012b, 2015e). Participatory budgeting is another way in which service users can directly influence PSR through local decisionmaking and expenditure (Scottish Government, n.d. 2). It is therefore a community engagement tool. Legislations pertaining to the community planning partnerships (CPP), single outcome agreements (SOAs),10 and community learning and development are relevant to SSES reform. P3: Performance-Focused Legislation

The people, partnership, and prevention pillars focus on addressing the needs of public service users during PSR, as strategic decision-making revolves around service users. Conversely, legislation under the performance pillar considers the performance of public service providers. It seeks to guide public servants during SSES reform and provides a structure within which they can operate, thus improving outcomes for young people. SSES-related performance legislation includes the National Performance Framework, National Improvement Framework, and the Best Value Statutory Duty. P4: Prevention-Focused Legislation

There has been growing international awareness of the use of preventative approaches to improve child well-being (Camfield et al., 2009; OECD, 2009a, 2009b; UNICEF, 2013). This has impacted legislation globally including Scotland, particularly as children’s well-being is linked to reducing inequalities and improving life chances for all young people

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(Scottish Government, 2013c). In Scotland, GIRFEC may be classified as a prevention-focused legislation. Overview of All the above 4Ps-Focused Legislation

The above summary of the multiple legislative acts relating to each of the 4Ps, and their associated codes of conduct suggests certain initiative overload. There seems to be considerable overlap in powers, duties, operations, and procedures intended to ensure pursuit and achievement of outcome and equalities objectives. A seemingly straightforward policy objective to transform SSES seems to have become overly bureaucratized and unnecessarily complex in its implementation. Thus, the proliferation of initiatives is arguably a problem (in relation to social risk) that might need to be addressed by a corrective round of SSES reform underpinned by a more comprehensive approach to social risk management. This is recommended in Sections 4.3.2 and 5.3.2. The proliferation of initiatives is only a problem in terms of this monograph in so far as it affects social risk. Social risk management requires a holistic policy approach rather than a fragmented string of initiatives formulated and introduced at different times and in an uncoordinated way, therefore possibly being counterproductive of each other. The, no doubt, considerable amount of money spent on the inputs and processes of implementation brings into question whether the 3Es of public management (economy, efficiency, and effectiveness) are satisfied. On the other hand, this proliferation of measures very clearly demonstrates the intent of the Scottish government to seek closure of the attainment gap in the most holistic of ways and its recognition of the necessity of such a wideranging and ambitious approach if the attainment gap is to be closed. A partial approach would no doubt be criticized as half-hearted and doomed to fail, in turn being abrogation of the 3Es new public management doctrine. Essentially the reviewed legislation outlined the strategic priorities of the Scottish government as pertains to SSES reform. The discussions reveal that from a political and legislative perspective, reforming SSES based on the 4Ps can introduce and/or exacerbate social risks if not properly implemented. In terms of the people pillar, the social risks were explicitly associated with the potential to exclude individuals and groups that may not be captured by the EqIA. This could exacerbate inequality. Similarly, different groups of young people could experience inequality risks if councils do not pay due regard to how school education is provided and transformed or assess potential impact of implementing new school education policy on the learning outcomes of young people. Like the people pillar, the social risks associated with the partnership pillar are linked to exclusions and inequality of learning outcomes. This could arise if councils focus strictly on legislation or strategic council documents (Local Outcome Improvement and Locality Improvement Plans) to guide their identification of vulnerable young people requiring for example, additional

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learning support, without recognizing the role other public bodies play and whose operations could counteract councils’ measures. Likewise, many CPP neither understand their leadership roles and performance assessment responsibilities, nor the benefits of partnership working and how this might reduce inequality of outcomes associated with socio-economic disadvantage (Audit Scotland, 2018c). There is no coherent national framework for assessing CPP performance and their progress towards implementing the Statement of Ambition (ibid). According to a study by Asenova et al. (2013), there was no evidence reflecting genuine empowerment of the community, which contradicts the Community Empowerment (Scotland) Act 2015. So, whilst CPP are well positioned to reform SSES, this may be hindered if operational risks associated with leadership and performance are not addressed. Further, if unaddressed, these operational risks could have negative impacts on learning outcomes of some vulnerable young people, thereby constituting social risks of inequality. Absence of diversity in parent councils and poor parental engagement were identified as barriers to effective parental and community engagement (Scottish Government, 2017a). This implies that the needs of some young people may not be addressed because their parents/guardians are not available to plead their cause; thus, introducing social risks of exclusion. The social risks associated with the performance pillar is the possibility of poor learning outcomes for some pupils. As noted in Section 1.7.1, this may be caused by operational risks relating to increased teacher workload and needless bureaucracy associated with the PEF. Poorly developed lines of accountability are additional operational risks associated with PEF which may lead to poor learning outcomes for some pupils. Common to both performance and prevention pillars are strategic risks relating to strategic decision-making, for example, the need for a clearer articulation of GIRFEC. Focusing on “measuring the measurables” (e.g., outputs rather than outcomes) may distort performance and failure to assess operational and behavioural risks (e.g., relating to opportunity costs) may frustrate preventative measures. In both instances, social risks relating to poor learning outcomes might emerge. Similarly, some risks were associated with routine council operations relating to service provision and reform. Therefore, effective, and sustainable SSES reform may be hindered if these risks are not considered during the process and can be facilitated if considered. This suggests that SSES have an important role to play in ensuring effective reform. Some internal institutional factors capable of influencing SSES reform are discussed next. Internal Institutional Factors Capable of Influencing SSES Reform

Besides addressing the deprivation challenge, Audit Scotland (2014a) identified a range of factors capable of facilitating SSES reform and improving pupil attainment. They are:

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• • • •

Leadership and staff development. Improved strategic planning. Improved pupil and parental engagement. Improved pupil performance and monitoring systems.

The auditors believe that improving pupil performance is contingent upon councils’ ability to develop clearer strategic plans. According to them, strategic plans should clearly outline local priorities in the short, medium, and long term and how they will be measured (ideally, in qualitative as well as quantitative ways). Specific to the attainment agenda, a more recent report by the auditors identified leadership and staff development as factors that could facilitate reform. Additional factors included improved strategic planning, parental engagement, and pupil performance and monitoring systems (Audit Scotland, 2018c). This corroborated an earlier study which associated six factors with improving school education delivery and governance. These generic factors are school leadership, teacher professionalism, parental engagement, assessment of children’s progress, school improvement, and performance information (Scottish Government, 2017e). These internal institutional factors should be taken into consideration in the design of the service reform initiatives. They have been identified from the perspectives of Audit Scotland and the Scottish Government which makes them subjective and strictly applicable to the SSES context. While they provide an overview of internal institutional facilitating factors of SSES reform, there is need to adopt a more comprehensive, systematic approach to identify internal institutional factors that can both facilitate and hinder PSR holistically. 1.7.3 Process of SSES Reform

As noted in the Scoping Study (Section 1.6), PSR in Scotland is based on the 4Ps approach. Similarly, SSES reform embraces these 4Ps. This is demonstrated in Section 1.7.2: Context and Content of SSES Reform. While society, economy, politics, and legislation drive SSES reform, they also shape the approach to reform.

1.8 Concluding Remarks Two key findings emerged from the review of extant literature on public service provision and reform. The first suggests that even without the current fiscal challenges to public service delivery, the nature and level of public service demand is currently affected by longer term socio-economic and demographic trends. These long-term trends drive PSR and more specifically, SSES reform. The trends have influenced public policy in terms of the 4Ps-related legislation guiding SSES delivery and reform. SSES delivery and reform is driven by external contextual factors and steeped in

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public policy. The long-term trends have also been instrumental in institutionalizing changes in public administration and in shaping the approach to PSR. This is evident in the transition from the traditional public administration, to the NPM, NPG, and PSL models. The current discourse around co-creation of value reflects this transition. Therefore, PSR is not “new” or a one-off event. It is arguably continuous and instigated by each “new” administration or as a consequence of specific events/trends or new public policy ideas (e.g., NPM, NPG, PSL). Discussions on the historic overview of school education reform in the United Kingdom (Section 1.7.1) suggest that closing the attainment gap has been a policy priority for decades (starting from the 1979 Thatcher administration). Despite the various reform approaches adopted to address this, this adaptive challenge persists. Increasing budget allocation to education services to tackle the Scottish attainment challenge as is currently the case, is not sustainable, particularly during fiscal consolidation. Rather a comprehensive approach to social risk management should underpin SSES reform to ensure that associated social risks (inequality of outcomes and exclusions) are proactively addressed. Discussions in Section 1.7.2 demonstrate how the Scottish government influences the reform process via 4Ps-related legislation. Some references were made to the need for effective leadership for strategic planning and to drive reform. Similarly, better stakeholder engagement (especially through the CPP and parental engagement) to deliver more effective results was considered vital to PSR and SSES reform. Equally, staff development, better performance monitoring, and more time to embed change were associated with effective reform. The need to mitigate social risks including those related to inequality of (learning) outcomes and exclusions that may be produced during SSES reform was a key discussion point in most of the reviewed legislation. So, legislation can facilitate SSES reform based on the clear guidelines they offer. Paradoxically, legislation may hinder SSES reform based on their overly prescriptive approach, poor description of terms as in the case of GIRFEC, fear of breaching legislation (for example while implementing the EqIA), and financial consequences of non-adherence. These constitute organizational and operational risks. Within the wider context of public sector change and reform, strategic risks relating to the non-achievement of strategic priorities at central and local government levels were identified. A few authors noted that the use of EqIA tool may inadvertently exacerbate inequality issues, thus posing a social risk to public service users. Councils in Scotland are well positioned to ensure effective SSES reform. Since they are involved in school education delivery and reform at strategic and implementation levels, they are responsible for managing reformrelated social risks. Their involvement at strategic level is facilitated by their relationship with the Scottish government, while at implementation level, their access to and relationship with relevant stakeholder groups like

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children, young people, families, and communities can facilitate this relationship. However, in-depth knowledge about internal institutional factors capable of facilitating or hindering PSR can ensure a more effective and sustainable approach and is therefore required. Consequently, the second key finding from this review is a need to identify and understand factors that influence the reform process. Chapter 2 addresses this by identifying these internal institutional factors based on a SLR. The review clearly identifies and critically discusses these factors, explaining how they can facilitate and/or hinder the reform process. Most importantly, the review identifies the least researched internal institutional factor as social risk (management). This shapes the primary research conducted and presented in Chapters 4 and 5 including discussions in Chapter 6. It also contributes significantly to the theoretical framework developed in Chapter 3.

Notes 1 Social risk is typically associated with the creation or exacerbation of further socioeconomic disadvantage, marginalization and/or social exclusion ( Holzmann et al., 2003; Asenova et al., 2015a; McKendrick et al., 2016; WEF, 2018). See sub-section discussing the nature of risk in PSR under Section 4.2.2 in Chapters 4. 2 During the financial crisis, banks were bailed out or otherwise rescued by governments to prevent their collapse following rising defaults on “sub-prime” mortgages and other debts they issued in the preceding financially deregulated period. 3 The Institute for Government (2018) define the cost-of-living crisis as the fall in “real” disposable incomes (that is, adjusted for inflation and after taxes and benefits) that the UK has experienced since late 2021. It is being caused predominantly by high inflation outstripping wage and benefit increases. This has been further exacerbated by recent tax increases, and depleted gas supplies following the UkraineRussia war ( Hourston, 2022). 4 Social risk implications are discussed in more detail under inner context in Section 4.2.2 of Chapters 4. 5 Awarded in April 2017, PEF’s £120 million allows head teachers to procure additional resources for improving the educational attainment of deprived, lowattaining schoolchildren ( Scottish Government, 2017c). Eligible pupils include those from primary 1 to third year secondary school children who receive free school meals, and others requiring additional support as identified by head teachers. 6 Used in this context, the poverty-related attainment gap differs from the degree attainment gap that currently exists in British universities ( Universities UK, 2018a). The latter refers to differences in university degree classifications awarded to different student populations (e.g., British, Asian, and African students). The most obvious degree attainment gap is that between British students and students from black and minority ethnic (BME) students referred to as the BME attainment gap in universities, where attainment in BMEs are lower than their British counterparts ( Universities UK, 2018b). There are also gender related attainment gaps where female students obtain better degree classifications than their male counterparts, although no significant variation was recorded in relation to the achievement of a first-class degree ( Broecke and Nicholls, 2007; Higher Education Founding Council for England, 2014). 7 While academy schools exist in England, there are no such academy schools in Scotland. However, there are some schools under council control, named academies.

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These schools do not adhere to the same systems as the academy schools in England. Examples include the royal academies in Inverness, Irvine, and Tain. Some like the Edinburgh Academy, the Glasgow Academy, and Kelvinside Academy are independent schools, meaning they are fee-paying schools. Still, they are not under council control, and not state funded like the academy schools in England. 8 This is related to social risk. See Chapter 4 for in-depth discussions on the risk implications of SSES transformation. 9 According to the Scottish Government (2017f) “stretch aims for improvement purposes are specifically focussed on the improvement which a system needs to make in order to reach a particular goal (i.e., closing the gap) – they do not generally articulate the goal itself, although achieving the aims would also mean significant steps towards achieving the goal”. 10 SOAs were replaced with Local Outcome Improvement Plans (LOIPs) in 2015 (Scottish Community Safety Network, 2015).

2

Identifying Influencing Factors of Sustainable Public Service Reform: A Systematic Literature Review

2.1 Introduction This chapter is based on an article titled: “Identifying Influencing Factors of Sustainable Public Service Transformation: A Systematic Literature Review”, originally published in the International Review of Administrative Science Journal by Enang et al. (2022). It reports on a systematic literature review (SLR) that minimizes the risk of selection bias, ensures methodical rigour, and encourages transparent processes and accumulation of collective insights via theoretical synthesis (Tranfield et al., 2003). The key conclusion is that risk management, leadership, and public participation can facilitate or hinder public service reform (PSR). Risk management features prominently in public and private sector discourse and is perceived as a core element of corporate governance and a tool for achieving strategic objectives. It is key to facilitating PSR and ensuring organizational objectives are achieved because it can optimize inherent opportunities while mitigating associated risks. This chapter contributes to public administration practice by developing a new conceptualization of the role of risk management in PSR. Chapter 1 outlined the context and operationalization of PSR. It also established the need for PSR, making it necessary to identify institutional factors that can influence the process by enhancing decision-making to ensure sustainable and effective PSR. This chapter builds on the findings from Chapter 1 by identifying and critically discussing key internal institutional factors capable of influencing (facilitating or hindering) PSR. In so doing, it fully addresses research objective two outlined in the Preface, which sets out to identify and critically discuss factors within the organization/institution (or internal institutional factors) capable of facilitating or hindering the process of PSR and by extension Scottish school education services (SSES) reform. To achieve this objective, the following research questions are addressed: 1 2

Considering the internal institutional context, what factors can facilitate or hinder PSR? Is there sufficient understanding about these factors?

DOI: 10.4324/9781003154327-2

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These questions were addressed via an SLR conducted in three distinct phases. The remainder of the chapter is structured as follows: an introduction to the SLR process is followed by descriptive analysis of the outcomes in the three SLR phases. Next, the outcomes are critically analysed and discussed, with key findings synthesized in the concluding remarks.

2.2 Methods The SLR was conducted in three phases and the PRISMA1 approach was adopted. SLR 1 articles published between 20102 and 2015, SLR 2, 2015 to 2017, and SLR 3, 2018 to March 2019.3 Articles published between 2010 and 2015 were selected in SLR phase 1 to enable critical analyses into the evolution of PSR discussions over a five-year strategic window. Furthermore, the year 2010 (post-2008 credit crunch) was selected as the starting point for SLR 1 because that was the peak of the global financial crisis; a time when many countries, including Scotland, fell into recession. As this was a global phenomenon, the financial crisis seemed to act as a “critical juncture”, and PSR driver in some countries (Ventura and González, 2013; Flinders and Tonkiss, 2016; Hlepas, 2016; Gray and Barford, 2018; Lewis et al., 2018). Nonetheless, it is difficult to determine if the drive for PSR was driven primarily by the global financial crisis. For example, New Public Management/New Public Governance (NPM/ NPG)-related ideas dominated prior to the crisis. Relevant studies were identified by searching databases and journals. Search strings were: • •

(“public service”) AND (transform∗ OR reform∗) AND (barrier∗ OR challenge∗) (“public service”) AND (transform∗ OR reform∗)

SLR 1 articles were mostly United Kingdom focused, which limits the generalizability/external validity of the results. SLR 2 and 34 addressed these limitations. NVivo guided thematic and content analyses were used to extract and integrate data from literature (Braun and Clarke, 2006). See Figure 2.1. Content analysis was used to (1) explore large volumes of text to determine their frequency and discourses of communication (Gbrich, 2007) and (2) interpret data in line with a clear codification system (Elo and Kyngäs, 2008).

2.3 Results 2.3.1 Research Objective 1

Risk management, leadership, and public participation emerged as the three main internal institutional influencing factors of PSR, thus addressing the

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Repetition

Missing Data

Eyeballling Risk Leadership Public Participation

Key Word in Context

Cutting & Sorting

Figure 2.1 Approach to Thematic Analysis. Source: Enang et al. (2022).

first research objective. They were identified using a codification system that enabled the synthesis of sub-themes around main themes that emerged from literature. SLR 1 (Figure 2.2) database search yielded 20,462 articles, of which only 81 met the inclusion criteria. There were some country-specific (86.4%), non-country-specific (6.1%), and cross-national (7.5%) studies. Of the 70 country-specific papers, 26 focused on the United Kingdom, 5 on the United States, 5 on Australia, 3 on Finland, 2 on South Korea, 2 on South Africa, 2 on Norway, 2 on Serbia, and 23 on other countries. The predominance of UK-related studies on PSR is probably because of its adoption of the public management tradition (Simonet, 2015). Most studies were qualitative (43%), some quantitative (21%), a few mixed methods (9%), the remaining 27% either theoretical papers, discussion papers or critical literature reviews. SLR 2 and 3 database search was conducted via EBSCO Business Source Elite database because it hosted seven of the eight selected journals. International Review of Administrative Sciences (IRAS) was not available on EBSCO, hence that journal search was manual (Table 2.1). SLR 2 (Figure 2.3), database and journal search yielded 183 records, only 17 meeting the inclusion criteria, 12 being in IRAS. Of the 17 studies, 82.3% were country specific. One was cross-national (Central Eastern European region), two were British, another two French, two did not specify a location. Ten were evenly distributed across Australia, Greece, Italy, Lebanon, Lithuania, Spain, South Korea, Switzerland, Turkey, and Vietnam. Forty-one per cent of the studies were either theoretical papers, discussion papers, or critical literature reviews. Thirty-six per cent of the studies were qualitative, 12% quantitative and 12% involved mixed methods.

Identification

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Records identified through database searching (n = 20,498)

Record after duplicates were excluded (n=20,462)

ABI Inform EBSCO Emerald Proquest Web of Science

Records excluded (n =20,368) Articles published before 2010; Book chapters, book reviews, commentaries; Abstracts and key words without reference to public spending, public sector, local authority, and/or transformation; Articles without full text online.

• • • • •

• •

Synthesis & Reporting

Eligibility

Screening

•

Records screened (n = 20,462)

Full-text articles assessed for eligibility (n = 94) One additional record identified through snowballing (n=95)

•

Records excluded (n=14) • No explicit or implicit discussion on or reference to PST facilitation and/or barriers

• • Articles for synthesis and reporting (n=81)

• •

•

Adapted from PRISMA (2015)

Figure 2.2 SLR 1 ( Enang et al., 2022). Source: Enang et al. (2022).

Records included (n=81) Articles written in English; Articles published between 2010 and 2015; Peer reviewed and scholarly articles; Theoretical/conceptual papers, empirical studies, literature reviews; Qualitative, quantitative, or mixed-methods studies

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Table 2.1 Journals Selected for Updated 2015–2017 SLR 2 S/N Journal Title

2015 Ratings

2010 Ratings

Search Platform

1

4

4

EBSCO database

4 4

4 3

EBSCO database EBSCO database

3

3

EBSCO database

3

No record

IRAS journal

6 7

Journal of Public Administration: Research and Theory Public Administration Review Public Administration: An International Quarterly Governance: An International Journal of Policy, Administration, and Institutions International Review of Administrative Sciences (IRAS) Journal of European Public Policy Policy and Politics

3 3

3 3

8 9

Public Management Review Regulation and Governance

3 3

2 No record

EBSCO database EBSCO Database EBSCO database EBSCO database

2 3 4

5

SLR 3 (Figure 2.4) database and journal searches yielded 67 records. Eleven met the inclusion criteria, six being in IRAS. In SLR 3, 8 of the 11 studies were country specific (72.7%). Three were cross-national studies: one focused on Denmark, Rotterdam, and the Netherlands; a second on Belgium, France, the Netherlands, Romania, Slovakia, and United Kingdom; the third, England, Germany, and Scotland. Therefore, the results of SLR 2 and 3 are generalizable and address the limitations of SLR 1. Of the 11 studies, seven (63.6%) were quantitative, two (18.2%) qualitative, and two (18.2%) mixed methods. Like SLR 1 and 2, none of the reviewed studies included a SLR to identify key institutional factors that can influence PSR. 2.3.2 Research Objective 2

The missing data technique was used to “identify the least researched factor” (Ryan and Bernard, 2003). Risk management coverage in SLR 1 (Tables 2.2 and 2.3) was lower than leadership coverage but higher than public participation coverage. In SLR 2 and 3, leadership coverage (Tables 2.4, 2.5, 2.6, and 2.7) was the highest, followed by public participation and then risk management. In SLR 1, discourse revolved around identifying and stressing the relevance of different groups (citizen, customer, community, employee, third and private sector participation) in PSR. Terms like government accountability and transparency, public private partnerships, and partnership working across public sector bodies also represented public participation.

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Identification/Review Protocol

SLR 2 2015 – 2017Articles

Records identified through database searching (n = 38) EBSCO(Business Source Elite) = Selected Database • Journal of Public Administration Research & Theory; • Public Administration Review; • Public Administration: An International Quarterly • Governance: An International Journal of Policy, Administration and Institutions; • Journal of European Public Policy; • Policy and Politics; • Public Management Review; • Regulation and Governance;

Additional records identified through journal searching (n = 145) IRAS Journal

Total records identified through database and journal searching (n = 183)

Records after4 duplicates removed (n = 179)

Screening

•

Records screened (n = 179)

• • •

Eligibility

•

Synthesis & Reporting

Full-text articles assessed for eligibility (n = 17)

Synthesis and Reporting

Adapted from PRISMA (2015)

Figure 2.3 SLR 2 ( Enang et al., 2022). Source: Enang et al. (2022).

Records excluded (n =162) Articles published before 2015; Book Chapters/Reviews; Commentaries; Abstracts and key words without reference to public spending, public sector, local authority, and/or transformation; Articles without full text online. Inclusion Criteria • Articles from 3 & 4-star journals; • Articles published between 2015 and 2017; • Literature reviews, theoretical papers, qualitative, quantitative or mixed-methods studies. • Articles written in English.

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Identification/Review Protocol

SLR 3 2018 – 2019Articles

Records identified through database searching (n = 6) EBSCO(Business Source Elite) = Selected Database • Journal of Public Administration Research & Theory; • Public Administration Review; • Public Administration: An International Quarterly • Governance: An International Journal of Policy, Administration and Institutions; • Journal of European Public Policy; • Policy and Politics; • Public Management Review; • Regulation and Governance;

Screening

Records identified via snowballing (n = 1)

Total Records screened (n = 67)

Additional records identified through journal searching (n = 60) IRAS Journal

Total records identified through database and journal searching (n = 66)

• • • •

Eligibility

•

Synthesis & Reporting

Full-text articles assessed for eligibility (n = 11)

Synthesis and Reporting

Adapted from PRISMA (2015)

Figure 2.4 SLR 3 ( Enang et al., 2022). Source: Enang et al. (2022).

Records excluded (n =56) Articles published before 2018; Book Chapters/Reviews; Commentaries; Abstracts and key words without reference to public spending, public sector, local authority, and/or transformation; Articles without full text online. Inclusion Criteria • Articles from 3 & 4-star journals; • Articles published between 2018 and 2019; • Literature reviews, theoretical papers, qualitative, quantitative or mixed-methods studies. • Articles written in English.

Sustainable Public Service Reform Table 2.2 SLR 1: Explicit References Main Theme

Theme Coverage (%) in Articles

Risk Leadership Public participation

0.01–0.90% 0.01–1.85% 0.01–0.19%

Table 2.3 SLR 1: Implicit References Main Theme

Theme Coverage (%) in Articles

Risk Leadership Public participation

0.01–1.24% 0.01–1.44% 0.01–0.88%

Table 2.4 SLR 2: Explicit References Main Theme

Theme Coverage (%) in Articles

Risk Leadership Public participation

0.01–0.04% 0.01–1.04% 0.01–0.06%

Table 2.5 SLR 2: Implicit References Main Theme

Theme Coverage (%) in Articles

Risk Leadership Public participation

0.01–0.07% 0.01–1.04% 0.07–0.52%

Table 2.6 SLR 3: Explicit References Main Theme

Theme Coverage (%) in Articles

Risk Leadership Public participation

0.01–0.03% 0.01–1.84% 0.01–0.48%

Table 2.7 SLR 3: Implicit References Main Theme

Theme Coverage (%) in Articles

Risk Leadership Public participation

0.01–0.10% 0.01–1.94% 0.01–1.02%

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SLR 2 articles expounded on the roles of different groups in PSR; hence, the use of concepts such as citizen monitoring, collaborative inertia, stakeholder agreement, stakeholder compromise, and political compromise, categorized as public participation. SLR 3 articles identified different groups and discussed their roles in PSR. Leadership discourse in SLR 1 articles addressed leadership roles in PSR initiatives such as public administration and governance; change, human resources, and performance management; fiscal consolidation, and global competition. SLR 1 and 3 articles also identified the contextual environment of leadership as critical to PSR for example, organizational culture/ structure, but not to the same extent as SLR 2 articles. Beyond organizational culture, the latter considered administrative and cultural contexts of leadership. Additionally, SLR 2 articles identified some leadership models such as ambidextrous leadership, political leadership, visionary leadership, and public service middle managers, including the lifespan of leadership in terms of long termism. SLR 3 articles associated a different set of leadership models with PSR. They include altruistic, entrepreneurial, network governance, transformational, and transactional leadership. The articles acknowledged the role of leadership as transformation determinant, discussing how leadership capacity can sustain PSR. SLR 1 and 2 articles identified financial, operational, and social risks associated with PSR. Discourse in SLR 1 articles focused more on different risk management strategies that can be deployed during PSR like crisis management, project management, programme management, change management, corporate governance, government transparency, and public engagement. Discussions in SLR 2 articles addressed risks associated with some PSR models such as collaboration, competition, and decentralization. SLR 3 articles established links between PSR and risk-taking on the one hand, and risk-aversion and lack of PSR on the other hand. They highlighted need to exchange ideas and resources, while sharing benefits and risks. Discourse around PSR influencing factors in SLR 1, 2, and 3 considered various aspects of risk management, leadership, and public participation. Despite the different years and volume of articles covered in all phases of the SLR, there were no significant differences in their outcome; risk management was still under-researched. Synthesis of relevant literature retrieved during SLR 1, 2, and 3: •

•

Presented PSR as involving major restructuring (Birrell, 2010; Davis et al., 2010; Hiroko, 2010; Eakin et al., 2011), and/or innovation (Godenhjelm & Johanson, 2018; Hartley et al., 2018; Van Acker et al., 2018) in public service provision. Identified political Hiroko, 2010; Ayhan and Üstüner, 2015; Kim and Han, 2015; Ngouo, 2017), socio-economic, and technological changes (Hiroko, 2010; Eakin et al., 2011; Hassan, 2015) as PSR drivers.5

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• • •

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Indicated that the term PSR encompasses a range of concepts such as public service/management reform, innovation, reconfiguration, restructuring, modernization, improvement, alteration. Showed that across different geographical contexts, PSR was necessary for addressing adaptive challenges relating to changing political and socio-economic contexts. Showed a recognition of the role of risk management, leadership and public participation as factors that can influence PSR.

Most importantly, the SLR exposed the dearth of social risk management research, discourse on risk management during PSR being more implicit than explicit in the few articles that addressed the subject.

2.4 Discussions 2.4.1 Public Participation

SLR 1, 2, and 3 articles show that public participation can assume various forms (see Tables 2.8 and 2.9), including co-production.6 However, gaps exist between the rhetoric and reality of PSR (Lindquist, 2010). PSR initiatives could take years, so policy and service provision should be adaptive if they are to mitigate challenges/risks associated with PSR by: • • • •

Including citizens in discussions on emerging concerns. Measuring citizen satisfaction regarding the quality of public services offered. Exploring engagement opportunities presented by innovative technologies. Identifying when information sharing can be deployed effectively and efficiently.

Table 2.8 Public Participation: Factors Causing PSR Failure Factors

What?

Who and When?

Process of public participation

Diminished role of public administration Collaborative inertia Multiple stakeholders Employee engagement No political compromise

Tholen (2015)

Approach to public participation Outcome of public participation

Conflicts between central and local governments Citizen dissatisfaction

Previtali (2015) Evans et al. (2018) Campbell (2018) Jascot-Descombe and Niklaus (2016) Hlepas (2016) Asogwa (2013)

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Table 2.9 Public Participation: Prerequisites for PSR Success Prerequisites

What?

Who and When?

Types of public participation

Citizen participation

Lindquist (2010), Godenhjelm and Johanson (2018) Clifford (2012), Campbell (2018) Ngouo (2017) Kim and Han (2015)

Employee participation

Role of public participation

Practitioner participation Citizen monitoring to reduce policymaking powers of strong bureaucratic elites Effective and sustainable PSR via representative bureaucracy Involvement in public service design and delivery Stakeholder compromise for regulatory purposes and to eliminate competition Hybrid networks to promote value congruence Inter-organizational learning and knowledge exchange to facilitate PSR

Fernandez et al. (2018) Chalhoub (2010), Davis et al. (2010), Hassan (2015), Hlepas (2016) Ngouo (2017) Evans et al. (2018) Hartley et al. (2018)

Lewis et al. (2018) revealed that most studies of PSR failed to articulate what external participation and collaboration between networks mean, how they are enacted, and how their relationship with reform can be measured. External participation can improve decision-making, service design and delivery while enabling customer-focused services. Conversely, citizen participation could lead to diminishing accountability of public administration, substantial reduction in government expertise, declining citizen satisfaction if service designs do not meet expectations, and disagreement between groups. Collaborative inertia can lead to blame and burden shifting, poor public participation and conflicts. External participation does not always facilitate decision-making, institutional embeddedness and conformity. Unproductive interactions require development of strategies to align them. Most healthcare systems develop hybrid networks7 for this purpose. Likewise, internal participation at all stages of PSR increases its effectiveness and sustainability because competing interests can be addressed. Employee participation facilitates PSR through problem definition, encouraging innovative thinking and debates around internal incentive structures and their impacts upon PSR. Conversely, employee participation can hinder PSR in the absence of alignment between employee and organizational values.

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Representative bureaucracy (Miller and McTavish, 2014; Johnston and Houston, 2018) encourages the recruitment of historically misrepresented and disadvantaged groups (like black ethnic groups and women) in national departments (Fernandez et al., 2018). This promotes more awareness of the needs within the group during strategy formulation and implementation. 2.4.2 Leadership

Tables 2.10 and 2.11 list different types of leadership models and the role of leadership in PSR. Some articles discussed need to develop leadership skills because it facilitates PSR (Table 2.11). Others identified administrative/ ministerial capacity, and a long-term view of PSR as essential leadership skills. Considering effective policymaking and organization, authors recognized transformational stewardship, including transformational, distributed, multidimensional, political, and public service leadership as suitable during PSR. Likewise, network governance, entrepreneurial and altruistic leadership were linked to PSR capacity. Authors discovered that entrepreneurial leadership had the greatest positive impact on innovation/reform capacity, while altruistic leadership was negatively linked to cities in Spain, Denmark, and the Netherlands. Reviewed articles highlighted different PSR models adopted by leaders: decentralization, adaptation, and co-production of public services. Discussions addressed the role of mediators (middle managers) in driving change by ensuring that strategic intent of senior managers within the context of PSR is effectively translated into positive outcomes for users. Middle managers can make valuable contributions by linking strategic aspirations of senior managers with operational requirements of front-line managers. This is consistent with the view that leadership, particularly transformational leadership can facilitate PSR by aligning employee and organizational values. Table 2.10 Leadership: Factors Causing PSR Failure Factors

What?

Who?

Ineffective leadership types

Individual leadership Middle managers Transactional/transformational leadership Decentralization

Hunter et al. (2015) Gatenby et al. (2015) Jensen et al. (2019)

Embed inappropriate organizational culture Conflicting individual and group values Inconsistent leadership Inconsistent leadership discourse

Previtali (2015)

Ineffective leadership models Ineffective leadership role

Hlepas (2016)

Roux (2015) Zhang (2012) Wettenhall (2011)

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Table 2.11 Leadership: Prerequisites for PSR Success Prerequisites

What?

Who?

Effective leadership types

Entrepreneurial leadership Leadership development

Lewis et al. (2018) Clifford (2012), Wilderspin (2013) Dan and Pollitt (2015), Flinders and Tonkiss (2016)

Administrative and ministerial capacity Long-term view Transformational stewardship Transformational leadership Distributed leadership Multidimensional leadership Public service leadership Political leadership Middle managers (mediators) Effective leadership models Effective leadership roles

Ambidextrous leaders Decentralization Centralization Communication Dealing with resistance Employee-organization alignment Staff training Embedding appropriate organizational culture

Davis et al. (2010) Jensen (2018), Jensen et al. (2019), Campbell (2018) Reid (2014) Pollitt (2010) Navarro and Velasco (2016) Agostino et al. (2013), Gatenby et al. (2015) Trong Tuan (2017) Bhuiyan and Amagoh (2011), Hassan (2015) Birrell (2010), Hlepas (2016) Blackburn (2014) Blackburn (2014), Jensen (2018) Blackburn (2014) Blackburn (2014), Munro (2015), Lewis et al. (2018), Van Acker et al. (2018)

However, in cases where values are incongruent, transformational, and transactional leadership (goal-oriented leadership strategies) can demotivate employees. Conversely (Table 2.10), middle managers may be reluctant actors if they cannot manage change during PSR. The role of ambidextrous leaders8 in facilitating PSR was recognized. They are responsible for resource heterogeneity,9 and during PSR can rearrange these resources into relevant practices and behaviours. Therefore, PSR, which focuses mainly on citizens, is more likely to succeed under ambidextrous leadership if public servants excel in their routine operations by applying their knowledge for effective engagement with the PSR process. Decentralization has been identified as an effective leadership model for promoting good governance (Table 2.11). However, a centralized, topdown, uniform approach to PSR can be more effective during fiscal consolidation if it reduces the number and simplifies the operations of public bodies. This perception was backed by results from Hlepas’s (2016) study of

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six Greek cases, showing that austerity policies unintentionally triggered municipalities’ resistance, blocking additional decentralization (Table 2.10). Strong leadership in PSR has been noted as a means for: • • • • • • •

Communicating organizational vision. Dealing with resistance. Ensuring alignment between employees and the organization’s mission. Providing adequate staff training. Embedding cultural change. Encouraging employee engagement. Providing customer-focused services.

Leadership was also touted as a tool to drive citizen engagement and employee engagement. However, inconsistent leadership and lack of clarity in leadership discussions on PSR (e.g., the use of devolution rather than delegation or decentralization) were considered potential barriers to PSR. Another barrier to the collaborative model of PSR is an organizational culture that resists change. Also, conflicting individual and group values may hinder successful implementation of new ICT. Organizational leaders can address this through “sense making” whereby they help employees to understand their personal and collective experiences as part of the change process. Similarly, organizational amnesia was identified as a PSR barrier because public service leaders do not adequately archive and learn from historical information. Thus, organizational culture and learning can facilitate PSR in promoting a systematic and holistic approach to collaborative thinking and the development of commitment and trust in the long term (Roux, 2015). Leadership can create an organizational culture that encourages interand intra-department information feedback, learning processes to clarify information, and accountability which seems to enhance reform viability and sustainability over time. A key feature of learning processes is tolerance for risk-taking and errors. Studies have corroborated this by identifying risk aversion as one of the barriers to PSR (Munro, 2015; Lewis et al., 2018). By identifying leadership as a strong determinant of reform, the agency of leadership in enabling an innovation-friendly (and perhaps risk-aware) environment is emphasized. In the reviewed articles, leadership was perceived a PSR driver, if transformational leaders formulate and execute new organizational goals. Leaders are expected to identify, negotiate, and mitigate risks while implementing strategic change. 2.4.3 Risk Management

Though associated with PSR, risk discourse barely constituted 0.4% of SLR 1 articles. There are very few exceptions including Asenova et al. (2015b) with 289 references to risk and 1.23% coverage; Asenova et al. (2015a) with

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138 references and 0.52% coverage; Eakin et al. (2011) with 41 references and 0.11% coverage; McTaggart and O’Flynn (2015) with 24 references and 0.12% coverage, and Davis et al. (2010) with 23 references and 0.07% coverage. In SLR 2 articles, the highest coverage on PSR-related risk management discourse was 0.04%; with Flinders and Tonkiss (2016) having 16 references and 0.04% coverage; Carey and Matthews (2017) with ten references and 0.04% coverage. In SLR 3 articles, the highest coverage allocated to explicit PSR-related risk management discourse was 0.03% by Munro (2015). She made five references to risk. Lewis et al. (2018) followed closely with 0.02% coverage and four references. Campbell (2018) and Van Acker et al. (2018) each made two references to risk with 0.01% coverage. Of the reviewed articles, those with the highest number of references and percentage coverage of risk management were published in 2015, followed by 2011, and then 2010. Articles published in 2016, 2017, and 2018 had the lowest percentage coverage of risk management. The only PSR-related article included in SLR 3 was published in the first quarter of 2019. It did not explicitly refer to risk; implying that PSR-related risk management discourse is on the decline. According to Ryan and Bernard (2003), during the analysis of qualitative data, information that is conspicuously absent may reveal vital insights. Bodgan and Taylor (1975) recommend being “alert to topics that your subjects either intentionally or unintentionally avoid” (p. 82). In this case, risk management was not the main thrust of public administration and management discussions. Tables 2.12 and 2.13 show PSR-related risk discourse revolved around the role of organizational culture in hindering or facilitating PSR, and different types of risks associated with PSR. From the leadership perspective (see Table 2.10), PSR-related risks include over-dependence on an individual leader and can be managed through adaptive leadership, also known as distributed or shared leadership Table 2.12 Risk Management: Factors Causing PSR Failure Factors

What?

Who?

Types of risks

Over-dependence on individual leader Operational risk

Hunter et al. (2015)

Financial risk

Organizational culture

Social risk Risk aversion

Gatenby et al. (2015), Dahan (2015), Davies (2011), AbouAssi and Bowman (2017) Davis et al. (2010), Hlepas (2016), AbouAssi and Bowman (2017) Asenova et al. (2015a, 2015b) Sangiorgi (2015), McTaggart and O’Flynn (2015), Lewis et al. (2018)

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Table 2.13 Risk Management: Prerequisites for PSR Success Prerequisites

What?

Organizational culture Risk-taking and experimentation Risk awareness Risk sharing

Who? Trong Tuan (2017) Reid (2014), McTaggart and O’Flynn (2015), Carey and Matthews (2017), Van Acker et al. (2018) Godenhjelm and Johanson (2018)

(see Table 2.11). Adaptive leadership improves effectiveness of front-line staff and encourages them to collectively tackle the problems that affect them. Other leaders, like middle managers can mitigate operational risks by strongly opposing change. More recently, ambidextrous leadership has been identified as an effective model of leadership to adopt during PSR as it encourages risk-taking and experimentation amongst employees. Operational risks during PSR may be introduced or exacerbated by complex relationships involving the public and third sectors, citizens, regulatory bodies, donors, and government structures. Other operational risks include work duplication, jurisdiction overlap, inefficiencies in resource allocation, increased role of governments, poor public participation (municipal support and citizen engagement) and absence of relevant resources which all hinder PSR. These related risks can supposedly be managed by adopting the transformational stewardship model of leadership. This is because leaders can proactively identify reform risks in public and third sector organizations, strategize with relevant groups, and develop relevant change management skills. PSR-related financial risks are associated with selection of certain PSR models. The decentralization policy implemented in Greece is a form of PSR involving the creation of bigger municipalities. Similarly, the existence of Special Purpose Authorities in Lebanon is PSR aiming to improve decentralization. Rather than reduce public debt, both PSR models appear to exacerbate financial risks by increasing debts (Hlepas, 2016; AbouAssi and Bowman, 2017). Only two (Asenova et al., 2015a, 2015b) of the 10910 SLR articles discussed social risks in PSR; that is the potential to exacerbate social exclusion and poverty in vulnerable, disadvantaged individuals and communities. The authors stressed need for an innovative, proactive, and holistic approach to local decision-making processes and to the management of ensuing social risks using a social risk impact assessment framework. They noted the absence of social risk discourse and argued for its inclusion in risk management literature and practice. Public employees are under close public scrutiny and their performance measured by multiple indicators. This encourages a risk-averse culture in

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public service organizations which acts as a PSR barrier because it negatively impacts upon engagement between the public sector and its external service providers. It stifles PSR because risk-failures have been penalized, while reasonable risk-taking goes unnoticed in public services. Compared to the private sector, service reform has thus been slower in the public sector because of their differing risk cultures (Radnor and O’Mahoney, 2013). Carey and Matthews (2017) argued for a more risk-aware culture in public organizations. They acknowledged that the regulatory risks associated with experimentation and implementing are highly complex and evolutionary interventions but stressed the need for governments to foster adaptation and learning, while encouraging policy experimentation. Leadership at agency and sectoral levels (including auditor generals) need to engage in discussions regarding risk appetite, risk taking, risk negotiation, risk perception, and risk frameworks before and during PSR to encourage a more risk-aware culture. Originally, most risk management endeavours focused mainly on project risk management until reports by Cadbury (1992) and Turnbull Report (1999) stressed need for risk management at strategic levels. Similarly, there has been an increase in the amount of guidance on public sector risk management from professional bodies (COSO, 2004; Ernst and Young, 2014). Nevertheless, the SLRs revealed high levels of uncertainty during PSR. Figure 2.5 shows that in the British private sector, only 33% of reform programmes succeed (Gardini et al., 2011). Even worse, between 2009 and 2015, only 29% of British public sector staff were satisfied with internal reform, and only 26% believed it delivered better results (Cabinet Office, 2015).

Private Sector –33% of transformational programs succeed High failure rates

Only 29% of public sector staff satisfied with internal transformation

Figures worse in the public sector Only 26% believe it delivered better results

Underperforming departments (resulting from ineffective transformation)

Failure of strategic Agenda

Culture of public service organizations

Typically risk averse

Figure 2.5 Challenges with Implementing PSR. Source: Enang et al. (2022).

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2.5 Conclusion This chapter presents NVivo-guided SLR to identify internal institutional context and factors facilitating or hindering PSR and promote understanding of them. This is the first objective of this chapter. Risk management, leadership, and public participation emerged as main themes and therefore key influencing factors of the PSR process depending on context, content, and culture, including political and institutional power. The abilities of employees to work in teams and their willingness to facilitate transformative change is crucial. The second objective of this chapter addressed the adequacy and sufficiency of information about the identified factors and aimed to identify any areas requiring further research. Of the three factors, PSR discussions focused heavily on public participation and leadership, risk management receiving little attention. There was a lack of consideration of the short-, medium-, and long-term implications of risk and uncertainty including possible failures of transformative initiatives in most of the reviewed articles. This research gap could be attributed to a lack of sufficient awareness of the role and relevance of risk management in PSR. Therefore, the “why and how” of risk management in facilitating PSR remains unclear. More specifically, in-depth information regarding the origin, nature and management of social risks associated with PSR is lacking. Furthermore, the possibility of achieving positive outcomes based on the positive exploitation of risk was not discussed in most of the reviewed articles. Evolution of PSR-related risks to strategic risks arise from how PSR is implemented and may hinder realization of strategic PSR intent. Risk management must (1) address the risks that arise as PSR initiatives are developed and implemented to address adaptive challenges and (2) prevent the evolution or progression of PSRrelated operational and/or social risks into strategic risks. The results clearly evidence at best inadequate (at worst incoherent) consideration of risk, particularly social risks associated with the process of PSR. Further studies are required to address this gap by also analysing the social risk implications of transformative models recommended at macro levels of governments and implemented at meso levels of public sector managers. Put simply, research should be much more holistic in identifying, analysing, managing, and mitigating PSR-related risks.

Notes 1 PRISMA means preferred reporting items for systematic reviews and meta-analyses ( PRISMA, 2015). 2 The preceding financial crisis was a global phenomenon and PSR driver ( Flinders and Tonkiss, 2016; Hlepas, 2016; Lewis et al., 2018). 3 The disparity in numbers between SLR 1, 2, and 3 is directly proportional to the number of years each SLR covered. Therefore, articles screened (20,462) and

46

4

5 6 7 8 9 10

Sustainable Public Service Reform assessed for eligibility (95) during SLR 1 were more than those in SLR 2 (179, 17 respectively), and SLR 3 (67, 11 respectively). SLR 2 and 3 were conducted to address limitations of SLR 1, hence the relatively short period they covered. We modified the eligibility criteria in SLR 2 and 3 to include articles rated 3 and 4 by the ABS Academic Journal Guide (2015) because they typically have more international reach. Claims about PSR drivers are often political rhetoric. We identified PSR based on whether there has been sufficient evidence for changes being implemented as this alters the status quo. Successful co-production is contingent on citizen engagement ( Thijssen et al., 2016). A hybrid network is “an entity that links different sectors, organizations, and/or stakeholders with diverse and often conflicting belief systems and practices” ( Evans et al., 2018, p. 453). Ambidextrous leaders promote innovation because they encourage individual employees or groups of employees to simultaneously exploit current organizational competencies explore and explore future organizational opportunities ( Alghamdi, 2018). Resource heterogeneity is the ability to create innovative ideas and values while developing current ones ( Trong Tuan, 2017). The 109 reviewed articles include 81 from SLR 1, 17 from SLR 2, and 11 from SLR 3.

3

Theoretical Framework for Analysis of Findings

3.1 Introduction Research shows that there is insufficient use of management theories in analysing public-sector management and organizational challenges, particularly within the context of school education delivery. Similarly, the results of the systematic literature review presented in Chapter 2 clearly evidence grey areas regarding the topic of risk, particularly the social risk associated with the process of public service reform (PSR). This chapter develops a theoretical conceptualization and framework to address the objectives of this book as outlined in the Preface. Therefore, it provides building blocks to facilitate critical analysis of Scottish school education services (SSES) reform, the attendant social risks, and their management. This chapter presents the blended theory approach adopted in this monograph for critical analysis of primary research findings. It draws mainly on risk management (Asenova et al., 2015a) and structuration theories (Giddens, 1979) to promote understanding regarding reform-related social risks within SSES. Complexity leadership (Drath, 2001; Meyer et al., 2005; Uhl-Bien, et al., 2007) and institutional (Campbell, 2004) theories are used sparingly to explain contextual issues relating to the drivers of SSES reform and potential sources of attendant social risks. The blended theory approach facilitates holistic analysis of school education reform processes in two anonymous Councils (A and B), thus providing a more detailed and balanced assessment of the multifarious causes of social risk. This includes those created by sequential and possibly unintended interactions emanating from changes in policy and practice at micro, meso, and macro levels. The chapter is structured as follows: Pettigrew’s Context, Content, Process Triangle (PCCPT) is first presented because it guided data collection and provides a systematic and holistic approach to structuring discussions in Chapters 1, 4, and 5. The sections following present the theories used in this research, justify their selection, identify the specific theoretical perspectives that have been selected, and explain their use. The concluding remarks synthesize previous discussions to present the theoretical framework underpinning analytical discussions in Chapters 1, 4, and 5. DOI: 10.4324/9781003154327-3

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3.2 Pettigrew’s Context Content Process Triangle (PCCPT) 3.2.1 Theoretical Perspectives and Analytical Implications

PCCPT originated from the works of Stephen Pepper in 1942 (Pettigrew, 1985, 1990) which emphasized the process of changing rather than the static phenomenon of change (Pettigrew et al., 2001). It is a processual lens through which change processes can be analysed and explained. Its main proposition is that analyses of context, content and process of organizational reform are vital to understanding strategic organizational change and development, and more importantly, these analyses should be conducted over time. PCCPT is situated within the empirical and theoretical perspectives of organizational change and development (Pettigrew, 1985). As a term, organizational development was invented in the late 1950s in the United States by Blake, Mouton, and Shepard during collaborative working on some organizational development experiments conducted at three American oil refineries. Organizational development studies embraced the interpretative and/or descriptive tradition (Alderfer, 1977), the evaluative tradition (Stephenson, 1975) and the rigorous scientific tradition (Porras and Berg, 1978). Such studies conducted in the 1970s adopted variance (Sminia, 2016) and planned change methodologies, instrumental principles of managerial agency, and organization contingency theories comprising the variablecentred traditions (Pettigrew, 2003). Pettigrew (1985, p. 15) criticized these studies conducted in this tradition as “ahistorical, acontextual, and aprocessual”. He noted that they led to some flawed research results with descriptive rather than analytical change theories. PCCPT’s use in this monograph addresses these deficiencies. The research presented in this monograph considers the contextual, historical, and processual factors surrounding the reform of SSES between 2010 and 2018.1 However, to enable in-depth understanding of SSES reform, primary data from 20042 was included for analysis. Primary data collection and analysis in this monograph focused mainly on endogenous process-related risks associated with the process of SSES reform. Some scholars refer to PCCPT as a contextualist methodology designed for process studies; suggesting it is a process-based methodology and epistemology Sminia, 2016). They argue that the adoption of the PCCPT contextualist approach is difficult because Pettigrew’s work does not clearly articulate and explain the contextualists’ methods (such as the contextualist approach) to conducting interviews or data coding and analysis, how they should be conducted, or how retrieved data should be coded (Pettigrew, 1985, 1990, 1997, 2003, 2013). Other studies use PCCPT as a theoretical framework permitting structured data collection and analysis (Stetler et al., 2007; Guven-Uslu and Conrad, 2011; Winch et al., 2012; Ijkema, et al., 2014).

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Some consider it as theoretical change model (Hage et al., 2013). In this research, PCCPT functions as a process focused model that underpins other theories (Brignall and Ballantine, 2004). It is used as a strategic change management model to guide data collection and analysis (Rabbani et al., 2011). Accordingly, the structure of Chapters 4, 5, and 6 is informed by PCCPT, that is the context, content, and process of SSES reform (Pettigrew, 1987). The following sections explore the three major PCCPT components in more detail. 3.2.2 Contextual Factors Outer Context

The contextual factors are divided into the outer contexts and inner contexts (Pettigrew, 1985; Pettigrew, 2003; Sminia, 2016). PCCPT posits that reform occurs due to the dual role of context (structure) and action (agency) and the relationship between both. According to Pettigrew (2012, p. 1315), “The power of context as an explanation of action and the outcome of action is enabled by the treatment of context as an interactionist field of multiple levels of analysis”. Exploring the outer context of public services can help explain the imperatives for PSR. In this monograph, the interplay between “multiple levels of analysis” includes the interactions between politics, society, economy, and legislation, and how these drive SSES reform. This was largely the focus of Chapter 1 where discussions revolved around the adaptive challenges driving PSR and SSES reform. PCCPT does not provide explicit guidance on how to analyse and explain the relationship between context and action. Structuration theory bridges this gap based on its proposition about the duality inherent in agentstructure relationships. Hence, it can be used to deconstruct the contextaction relationship. Inner Context

PCCPT facilitates the contextualization and assessment of change processes (Pettigrew et al., 1992). It argues that there are factors internal to the organization known as the inner context that can influence reform by either facilitating or hindering the process (Pettigrew et al., 1992; Sminia, 2016). In this monograph, the inner context was identified based on a systematic literature review (see Chapter 2) which identified leadership, risk management, and public participation as key factors capable of influencing the reform process. Interestingly, results generated from the review also revealed a dearth of research on social risk management during the process of PSR, despite its relevance. This gap in extant risk management and public administration literature influenced the decision to focus on social

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Theoretical Framework for Analysis

risk management in PSR.3 Considering that risk is the key inner contextual factor addressed in this monograph, Section 3.3.3 discusses risk management from a PSR perspective. 3.2.3 Content Factors

The contextual debate in Chapter 1 revealed the focus and content of reform as the development of public services that were more cost-efficient, customer-centric, and seamless at the point of delivery. The content of reform refers to the substance, scope, and scale of reform (Dawson, 2014), which is exposed by studying the outer contexts. The substance of PSR represents the focus, essence and rhetoric of reform and relates to research objective 1, presented in the Preface. In the case of PSR in the United Kingdom and Scotland, this imperative has been summarized as “doing more with less” (Chartered Institute of Management Accountants, 2010; Public Services Commission, 2011; Walker, 2016) and doing so urgently. In the United Kingdom, the scope of reform spans different public sector bodies although primary data collection in this research is limited to two Scottish local councils. The scale of reform refers mainly to achieving fiscal consolidation and delivering customer-centric services via redesign of public services, service closure or reduction, workforce reduction, private and voluntary sector outsourcing, increased use of information technology, efficiency savings, co-funding, and partnerships (Chartered Institute of Management Accountants, 2010; Public Services Commission, 2011; Asenova and Stein, 2014). These changes can involve risks. The current rhetoric to “achieve more with less” drives reform in United Kingdom and Scotland has been derived from the political environment due to fiscal consolidation measures post the 2007/2008 recession. The expected output which is the delivery of more cost-efficient and seamless customer-centric services is also a response to changes in British society, culture, and demography. The mandate given to local councils to provide school education for children between the ages 3 and 18 comes from Scottish legislation. Similarly, the imperative to reduce the attainment gap and increase attainment across social strata, is one of the most important political objectives of the Nicola Sturgeon administration (Denholm, 2016; Seith, 2016a, 2016b). The above narrative demonstrates how changes in the outer contexts, for example, culture, demography, legislation, and politics can, and have impacted the content and focus of the reform process. There are risks associated with doing more with less and a sub-group of those risks involves the approach to the process of reform. Risks related to the content of change, policy objectives or evaluation of such will not be considered as they fall outside the scope of this monograph. From the perspective of SSES, this monograph focuses on the risks related to the process of reform carried out between 2004 and 2018, in a couple of local government areas; hence, the interest in the 4Ps approach discussed next.

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3.2.4 Process Factors

From a PCCPT perspective, the process of change refers to the organization’s distinct approach to change. Scotland’s distinct 4Ps approach to PSR was identified via the Scoping Study conducted in Section 1.6 and explored from societal, economic, political, and legislative perspectives in Section 1.7.2. This section provides a more holistic discussion of the 4Ps, demonstrating how it provided a structure for critical analysis of the social risks associated with each pillar. Scotland’s 4Ps incorporates strategic recommendations for service reform based on the Christie Commission Report (Public Services Commission, 2011). The report, commissioned by the Scottish Government in November 2010, and published in June 2011, was born out of a need to address medium- to long-term financial problems and growing demands of the public (Public Services Commission, 2011). The report recommended a four-pillar (4Ps) approach to PSR stressing the need to focus on people, partnership, performance, and prevention during the process of reform (Public Service Commission, 2011). The people approach advises that public services focus on the needs, capacities and aspirations of people and society. It also discusses the need to build effective leadership and promote workforce development, which is also a component of the performance approach. The partnership approach suggests that the public, private, and third sector collaborate effectively to deliver outcomes geared towards improving society, economy, and quality of life. It highlights the need to engage service users in the design and delivery of public services. The performance approach highlights the need to improve service delivery and performance through technology, greater transparency, and innovation. The prevention approach recommends the prioritization of preventative spending and preventative services to reduce service demand and cost while promoting equality. To facilitate critical analysis of reform-related social risks, documentary, and interview analyses in Chapters 4 and 5 are presented in a way that captures Councils A and B’s 4Ps approach to SSES reform. The same structure is adopted in Chapter 6 where the primary research findings are discussed using the theoretical conceptualization (see Figure 3.1) developed in this chapter.

3.3 Theory Selection and Rationale Despite the plethora of change management theories reviewed, five theories – complexity leadership, institutional, punctuated equilibrium, risk management, and structuration theories were considered as potential theoretical lenses because they address some aspects of the objectives (see the Preface). Table 3.1 links the three relevant objectives to the theoretical enquiries, and then to each theory. Establishing this link makes clear the theory or theories that can best address the associated objectives. Research objective two did not

A: Structure

Outer Context (Why)

Reforming SSES

Context of Reform (Why and What)

Figure 3.1 Theoretical Conceptualization.

Lower Social Order

Production & management of reform-related social risks

People Partnership Performance Prevention

Process of Reform (How)

Inner institutional factors like social risk management can hinder/facilitate PSR processes

Inner Contextand Institutional Factors (What)

Adapted from Giddens (1979; 1984), Pettigrew (1987), Thelen & Steinmo, 1992; Public Services Commission (2011)

Analysis of the outer context reveals social risk sources

Analysis of the outer context reveals adaptive challenges which drive PSR and reveals the content of reform

Content of Reform (What)

Higher Social Order

Theories in use: Complexity Leadership, Institutional and Risk Management Theories

Theories in use: Risk Management and Structuration Theories

B: Agency

agency interaction can lead to social risk production and management

Theories in use: Risk Management and Structuration Theories Structure-

C: Social Mechanism

52 Theoretical Framework for Analysis

Institutional Theory

Punctuated 4 Equilibrium

3

Identify and critically Can this theory be Yes Yes Yes examine key Can explain how used to examine Can identify institutional Assumes that reform structures external institutional key external structures ( Campbell, is caused by to the organization/ institutional structures constitute 2004), and how they external rather institution (or adaptive challenges structures and drive reform based on than internal external explain their role in and drive SSES critical junctures structures ( Meyer, institutional SSES reform? reform ( Drath, ( Krasner, 1984) or 1982; Keats and structures) that 2001; Meyer et al., maintain institutional Hitt, 1988; Meyer determine need for 2005; Uhl-Bien, continuity based on et al., 1990). PSR, SSES reform et al., 2007). path dependency and education ( Krasner, 1984; service reform in Pierson and Skocpol, Councils A and B. 2002). Critically discuss and Can this theory be No No No analyse the nature used to identify and of social risks, describe social risks associated with associated with reforming school reforming school education services education services, and the potential and how they impact on key might affect key stakeholder groups. stakeholder groups, and how they are currently being managed?

Complexity Leadership Theory

1

Theoretical Enquiries

Objectives

#

Table 3.1 Theory Selection and Justification

(Continued)

Yes Institutional structures explicitly defined as “rules and resources” ( Giddens, 1979, p. 64). The clear definition enables in-depth analysis into their role in SSES reform.

Structuration Theory

Yes No Social risks and potential impact described based on definitions provided by Holzmann et al. (2003), Asenova et al. (2015a, p. 4), McKendrick et al. (2016), and WEF (2018). Social risk management approach articulated based on risk management guidance provided by AIRMIC/Alarm/IRM (2010); ISO 31000 (2018).

Yes Can conceptualize external institutional structures as risk sources (ISO 31000, 2018).

Risk Management Theory

Theoretical Framework for Analysis 53

Objectives

Critically analyse the social mechanism shaping the production and management of social risks associated with SSES reform.

#

4

Table 3.1 (Continued) Complexity Leadership Theory No

Theoretical Enquiries

Can this theory illustrate how the social risks associated with SSES reform are produced and managed based on agent structure relationships?

No

Institutional Theory No

Punctuated 4 Equilibrium No

Risk Management Theory

Yes The duality of structure inherent in the dimensions and modalities of social structuration ( Giddens, 1984) can be used to explain the production and management of social risk.

Structuration Theory

54 Theoretical Framework for Analysis

Theoretical Framework for Analysis

55

necessarily require theoretical interpretation because it focused on identifying the research gap underpinning this monograph. This was achieved in Chapter 2 via a systematic literature review to identify key internal influencing factors of SSES reform. Risk management and structuration theories each address two out of the three objectives presented in Table 3.1, while complexity leadership, institutional, and punctuated equilibrium theories each addressed only one. PET is ultimately excluded because reform drivers can be explained using critical junctures as explained in institutional theory (particularly historical institutionalism). Additionally, unlike PET, institutional theory can explain institutional continuity which is relevant to this monograph. The following sections discuss Table 3.1, including the theoretical perspectives, analytical implications, and limitations of each theory. 3.3.1 Complexity Leadership Theory (CLT) Theoretical Perspectives and Analytical Elements

CLT (Drath, 2001; Meyer et al., 2005; Uhl-Bien, et al., 2007) is primarily used to analyse, explore, and explain the role of leadership in organizational change. It has been applied as a framework previously; for example, in agricultural research (Nooteboom and Termeer, 2013), climate adaptation (Stiller and Meijerink, 2016); organizational performance (Uhl-Bien and Marion, 2009; Mendes, et al., 2016), health care (Grady, 2016), and higher education (Price, 2014). It has provided a tool for understanding adaptive capacity, innovation, and learning of complex adaptive systems5 (Uhl-Bien et al., 2007) like public service organizations in general and school education services. Authors have critically analysed the impact of learning and innovation on organizational performance (Mendes et al., 2016). Most leadership studies focus on administrative leadership (Uhl-Bien et al., 2007), where leadership is studied in managerial and formal settings (Bedeian and Hunt, 2006), ignoring organization-wide leadership (Schneider, 2002). CLT addresses these limitations. It paves the way for adaptive leadership and is suitable for resolving adaptive challenges (Stiller and Meijerink, 2016) which have been introduced by the knowledge era (Uhl-Bien et al., 2007). As discussed in Section 1.5, adaptive challenges are fundamental and without ready-made solutions (Heifetz, 1994; Heifetz and Linsky, 2002; Creelman, 2009; Heifetz and Laurie, 2009). They signify a gap between objectives and operational capability that defy closure by current expertise and processes (ibid). They can only be resolved with complexity leadership (Uhl-Bien et al., 2007). CLT’s use is relatively limited in this monograph. As depicted in Figure 3.1, it is used as a supporting theory to explain how changes in institutional structures constitute adaptive challenges, subsequently driving and revealing the content of SSES reform (research objective 1). These

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Theoretical Framework for Analysis

adaptive challenges have been conceptualized as primary risk sources (see the discussions in Section 6.2.3). CLT is neither designed to comprehensively examine external institutional structures (research objective 1), nor to explore the social mechanisms underpinning the agency-structure relationship. Exploring this relationship facilitates understanding about reformrelated social risks (research objective 4). These objectives are addressed using structuration theory. 3.3.2 Institutional Theory Theoretical Perspectives and Analytical Implications

Used in this monograph, institutional theory is an umbrella term for old and new institutionalism, including historical, rational choice, and sociological institutionalism that comprise the latter. In subsequent sections, the term institutional theory is used and where necessary, historical institutionalism is included in parenthesis. Institutions are defined as “sets of formal and informal rules and procedures” (Campbell, 2004, p. 11), “such as those codified in the law or deployed by bureaucratic organizations like states and business firms” (Thelen and Steinmo, 1992, p. 2). They may also be defined simply as “rules and resources” (Giddens, 1979, p. 64). They involve institutionalized patterns that can constrain or enable individual actions (Spenceley and Meyer, 2017). According to Barley and Tolbert (1997), institutional theory reveals the influence of culture on formal structures and decision-making. It posits that individuals and organizations are caught in a maze of taken-for-granted assumptions, beliefs, values, rules, and norms, which they have partly created. These elements of culture shape how the world is and ought to be. They carefully outline best practices expected from different organizations; adherence or non-compliance to these guidelines and procedures invariably influence their reputation positively or negatively (Meyer and Rowan, 1977). Although they can be modified with time, institutions constrain the options available to individuals and organizations. Critical juncture is one of the analytical components of the new institutional theory,6 which will be used to identify reform drivers or adaptive challenges as articulated by Complexity Leadership Theory. The concept of “path-dependency” underpins critical junctures. Path-dependency suggests that once launched on a specific path, policies will maintain that path until they are diverted by the intervention of a significant force (Pierson and Skocpol, 2002; Stark 2018). This significant force which has been referred to as “critical juncture” (or “punctuated equilibrium”) disrupts familiar patterns and introduces new levels of equilibria which policies will maintain until another critical juncture (or period of punctuated equilibrium) occurs (Stark, 2018). Critical junctures are strong; hence, reform only occurs at these points (Gow, 2014). Critical junctures therefore refer to a situation where the structural hold of economy, culture, ideology, and organization

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57

relax significantly for a short time (Capoccia and Kelemen, 2007). As credible options available to influential political actors increase significantly, the consequences arising from their decisions become more far-reaching or strategic (ibid). Fundamentally, critical junctures is used in this monograph to identify distinct points, situations, or circumstances within high level institutional structures7 that drive SSES reform. Similarly, institutional continuity is identified and explained using path dependency. The new institutional theory does not explain the dual relationship between structure and agency. As noted previously, this knowledge enhances understanding around the production and management of social risks in an SSES reform context. Before transitioning to structuration theory discussions, the next section presents some aspects of the agent-structure debate, explaining how it influenced the selection of structuration theory in this monograph. AGENT-STRUCTURE DEBATE – THE MIDDLE POINT

Sminia (2011) presented three distinct theoretical arguments that can promote deeper understanding into the concept of institutions and how they become “institutionalized”. The first which seems to align more with the old institutional theory addresses the “social structure” perspective which assumes that there is a distinct individual social being who shapes individual activity. This social structure is usually linked to a higher institutional logic8 or social order that encroaches on a lower one (Meyer and Rowan, 1977; DiMaggio and Powell, 1983; Lounsbury, 2007; Thornton and Ocasio, 2008). To retain legitimacy, agents (individuals and organizations) belonging to the lower social order, tend to adhere to demands from the higher social order, institutional logic, or institutional context (Suchman, 1995; Greenwood and Hinings, 1996). When this happens, the terms “institution” and “social structure” are often used interchangeably because they become very closely linked (Sminia, 2011). As is the case in this monograph, “institutions” are often used to express continuity, social order, and stability (Jepperson, 1991) and to capture regular patterns of behaviour (Tolbert, 1988; Czarniawska, 2009). Reflecting the tensions that manifest due to the close relationship between institutions and agents, Beckert (1999) and Dorado (2005) asked if institutional change could occur if agents were influenced by the very institutions that they hoped to change. This resulted in the second theoretical argument which addressed the “agent-focused” perspective, thus supporting new institutional theory. It proposed that institutionalization occurs due to actors’ efforts to achieve their goals (DiMaggio, 1988). It means that institutions exist because of the deliberate and consistent actions undertaken by individual actors (Tolbert, 1988; Zucker, 1988). This is possible because of the actions of institutional entrepreneurs; actors who use their social skills to motivate robust (Padgett

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Theoretical Framework for Analysis

and Ansell, 1993) or local action (Leifer, 1988) in others (Coleman, 1988; DiMaggio, 1988; Fligstein, 1997). The third theoretical argument addressed the “interaction-focused” perspective which combines the two previous arguments. This perspective falls under Van de Ven and Sminia’s (2012) social mechanism explanation of process research. It explains the generative mechanism responsible for institutionalization, rather than the reason(s) behind the existence of institutions (Dolfsma and Verburg, 2008; Sminia, 2011). The “interaction-focused” perspective is underpinned by some sociological theories. Some examples are: • • • •

Gidden’s (1979, 1984) structuration theory. Sewell (1992) theory of structure. Law’s (1992) theory of the actor-network. Stones’ (2005) strong structuration theory.

Some studies have used the interaction-focused perspective (e.g., some of the listed theories) to explain institutional change (Beckert, 1999; Battilana, 2006; Dolfsma and Verburg, 2008). In fact, volume 122 of the 2016 American Journal of Education looked at how agency-structure debates could clarify the process of policy implementation, particularly in school education (Coburn, 2016). The studies include those by Coburn (2016), Rigby et al. (2016), and others. Drawing on these school education studies, this monograph incorporates elements of the structuration theory (one of the interaction-focused perspectives) to critically interpret research findings. Structuration theory helps to explain the generative mechanism that may institutionalize social risk and is explored in more detail in Section 3.3.4. 3.3.3 Risk Management Theory Theoretical Perspectives and Analytical Implications THE NATURE OF RISK IN PSR

The risk management theory is one of two dominant theories used to analyse social risks related to SSES reform. It considers the nature of risks in general and PSR-related social risks, including how they are managed. In their book titled: Conceptualising Risk Assessment and Management across the Public Sector, Murray and Enang (2022) argue that risk within the public sector is multi-faceted, without a “one-size-fits-all” definition. They further explain this is not a bad thing, if the context is considered. Most early definitions of risk emphasized the effect of uncertainty on outcomes as in Dickson (1991). Later in the 21st century, the concepts of probability and impact became more significant (Treasury Board of Canada Secretariat, 2004; CIIA, 2015). Within the wider management context, most of the risk-related literature was derived from the financial sector as discussed by

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Stulz (1996). The health and safety and insurance industries were also considered. The former by Rasmussen (1997) and Walls et al. (2004), and the latter by Dionne (2013). From these perspectives, risk is defined negatively – as a probability for loss (Hardy, 2010). Other definitions acknowledge the likelihood for both profit and losses (Jensen and Meckling, 1976; Kahneman and Tversky, 1979). Some authors define risk in relation to threat, opportunities, and uncertainty (AIRMIC/Alarm/IRM, 2010; Hopkin, 2012, 2014, 2017). Others differentiate between risk and uncertainty, the former considered a “state of nature”, and the latter a “state of mind” (Fone and Young, 2000, p. 117). With risk, the outcome of an event is known and measurable, while with uncertainty, the outcome is unique, unknown, and unmeasurable (Knight, 1921, 2012; Rowe, 1994; Drennan and McConnell, 2007; Drennan et al., 2014, 2015). Hopkin (2014, p. 14) defines risk as “… an event with the ability to inhibit, enhance or cause doubt about the effectiveness and efficiency of the core processes of an organization”. From this perspective, uncertainty is part of risk. This monograph adopts Hopkin’s definition because it acknowledges both the downside (negative aspects) and upside (positive aspects) of risk including the impact of uncertainty on organizational objectives. Public sector risks typically concern public service users (individuals, groups, and societies), public service providers (governments and public servants), public values, and/or public assets. Some of these risks were discussed in Chapter 1 and are presented in Table 3.2. They illustrate how risk is perceived in the public sector. These risks were identified during the review of literature. Table 3.2 is by no means an exhaustive typology of public sector risks. Indeed, Holzmann and Jorgensen (2000) presented one with seven different risks including the economic and political risks listed in Table 3.2. Also, the risks captured in Table 3.2 are not mutually exclusive. Rather, some categories of risk might lead to others and might interact to produce yet another category of risk, thus demonstrating risk interconnectedness. Risk interconnectedness, therefore, refers to a situation where the existence of one or more type(s) of risk triggers the occurrence of another in a chain-like reaction (Strategic Risk, 2017). SOCIAL RISKS

Extant literature suggests that the processes of understanding and managing risk are inherently subjective (Adams, 1995). Objective risks are those risks that have a finite number of outcomes, lend themselves to precise scientific measurement and are considered free of bias (Hood and Jones, 1996). By contrast, subjective or perceived risks can have an infinite number of outcomes, their evaluation reflects individual or group opinions, and values and so different evaluations of the same risk can yield different results. Thus, there has been a clear shift from objective to subjective risks (Lee and Kwon, 2016), possibly reflecting the need to incorporate diverse perceptions of risk.

Type of Risk

Economic

Organizational

Operational

Political

Social

Social policy

Strategic

Systemic

S/N

1

2

3

4

5

6

7

8

Public body’s exposure to any phenomenon or factor capable of affecting the value of public assets. May be internal or external. Can arise if service provision or reform creates professional risks to public servants, or a reputational and/or legal risk to public service organizations. Can arise from failed or inadequate systems, people, processes, or external events. Anything that can jeopardize effective actualization of government mandate and harm their reputation. Risks associated with the creation of further socio-economic disadvantage, poverty and/or marginalization of groups and individuals most reliant upon public services (children elderly, poor, disabled, etc.). Associated with social policies and may worsen the adverse social condition to which they relate. Risks with complex origins and severe adverse long-term societal impact. Associated with selection, implementation, or change of strategy (towards implementing a policy) over time which may prevent the realization of strategic objectives. Form of strategic risk that can affect an entire populace or set of institutions/organizations.

Risk Definition

Table 3.2 Some Forms of Risk in the Public Sector

Smaga (2014), Hood and Miller (2009)

McKendrick et al. (2016), Stein et al. (2010), Hampton (2005) Hood and Miller (2009), Chapman (2006, 2011)

WEF (2018), McKendrick et al. (2016), Asenova et al. (2015a, p. 4), Holzmann et al. (2003)

Hopkin (2017), Basel Committee on Banking Supervision (2011) Bhatta (2008), Power (2004)

Brown and Osborne (2013), NAO (2004)

Fone and Young (2000)

Sources

60 Theoretical Framework for Analysis

Theoretical Framework for Analysis

61

The social risks studied in this monograph are subjective and co-constructed because they reflect the different opinions and values of the interview respondents and the interviewer. Though Table 3.2 focuses on the downsides, these risks can also have upsides. The upside aspect is, of course, the realization of the Scottish government’s strategic objective to improve overall pupil educational attainment and reduce attainment gaps.9 To address the overarching research aim,10 this monograph focuses on potential negative aspects of social risks, requiring constant reflection (Giddens, 1999b) and increased risk-awareness of service providers (McKendrick et al., 2016). The focus on the potential downside of social risks is because of their long-term, negative impact on society and their implications for public administration. Some sociologists argue that modern societies are “risk societies” (Beck, 1992). They are “increasingly occupied with debating, preventing and managing risks that it itself has produced” (Beck, 2006, p. 332). In the context of PSR, this means that reform may potentially result in positive and negative risk outcomes for society (Beck, 1992). Social risks (Asenova et al., 2014) or consequential risks (Brown and Osborne, 2013) can affect individual service users directly. Similarly, they could affect a large proportion of society in a similar adverse manner leading to further deprivation, societal disadvantage, and hardship (Fone and Young, 2000; Brown and Osborne, 2013; Asenova et al., 2014; McKendrick et al., 2016). Introduced in the late 1990s by the World Bank (McKinnon, 2004), the term social risk defines risk categories associated with creating negative outcomes such as increased inequality, poverty, socio-economic disadvantage, and exclusion of individuals and communities (children and young people, elderly, disabled, poor) most dependent on public services (Asenova et al., 2015a). Organizations11 (through human activity) are responsible for producing/ manufacturing, assessing, and managing risks (Giddens, 1999a, 1999b; Hutter and Power, 2005; Gephart et al., 2009). Since most of the negative consequences of social risks are complicated to analyse, affect different stakeholder groups such as service users and possibly some service providers (Asenova and Stein, 2014), they have wide-reaching consequences, and can introduce strategic and systemic social risks, thus affecting large populations (Hood and Miller, 2009). It is therefore necessary to promote in-depth understanding of PSR-related social risk that may materialize (Hardy and Maguire, 2016) through theoretical conceptualization. Generally associated with poverty, social risks (in an education context) could include some less obvious social impacts if they materialize (Hood and Miller, 2009; OECD, 2015). They are: • •

Opportunity loss – as relates to learning and achievement. Anti-social conduct such as smoking and alcohol consumption by teenage school children.

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Theoretical Framework for Analysis

•

Social injustice and inequality, for example, an increase in attainment gaps with children from wealthier homes performing better than those from deprived families especially in numeracy and literacy. Fragmented family and social units.

•

Unlike the private sector, the public sector is responsible for managing social risks (Young, 1996) as a part of their fiduciary duty. Therefore, senior public sector managers are risk arbiters. According to Hardy and Maguire (2016, p. 88), “the role of risk arbiters is to engage in prepared routines of monitoring risk as it materializes and to decide which responses are to be deployed by front-line workers”. This makes it necessary for public sector organizations to embrace an organizational culture that encourages riskawareness in general and more specifically, social risk-awareness. This forms the thrust of the following discussion. ORGANIZATIONAL CULTURE: RISK CULTURE OF PUBLIC SECTOR ORGANIZATIONS AND IN PSR

Organizational culture is a holistic concept because it affects all facets of organizational life. It is a soft aspect because it is invisible and intangible; historical because it dates to the 1960s; change resistant because it is derived from successful environmental adaptation thus making change a difficult task. It is also socially constructed because it is subjective and conceived by society (Buono et al., 1985; Hofstede et al., 1990; Gordon, 1991; Lukasik et al., 2016). There is no universally accepted definition of organizational culture as it can be defined in different ways (Goddard, 1997; Kloot and Martin, 2007). It comprises common assumptions, customs, and values (Namenwirth and Weber, 1987), including formal and informal systems, verbal, visual, and physical items symbolizing and manifesting assumptions, customs, and beliefs (Schein, 1982, 2010). Organizational culture affects employees’ thoughts and behaviour (Bellante and Link, 1981; Trice and Beyer, 1993; Hofstede, 1997; Hofstede et al., 2010) and can therefore influence reform especially when employees are motivated, and innovation is encouraged (Barney, 1986). It can improve organizational performance (Lukasik et al., 2016) by driving the development and use of effective management control systems (Ouchi, 1979; Scheytt et al., 2003), like risk management. A risk averse organizational culture may negatively impact PSR because it limits the capacity of public sector organizations to innovate and satisfy service users (Potts, 2009). Another consequence of risk aversion is the creation of less adaptive systems. Decision-makers can become reactive rather than proactive and overly reliant on systemic solutions (Rolfstam et al., 2011). Nevertheless, risk aversion can be justified if the perceived benefit of risk taking is outweighed by a potentially catastrophic impact on service users or even the public sector organization. For example, risk aversion may be justified if risk taking breaches legislation and/or

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introduces/exacerbates inequality of outcomes (see discussion on politics and legislation as SSES drivers in Section 1.7.2). In this case, public bodies can become paralysed. Nevertheless, a risk culture that encourages staff to confront and handle emerging changes arising from exogenous institutional structures (see Section 3.3.3) will encourage the required paradigm shift (Osborne and Brown, 2005, 2011a, 2011b), leading to effective PSR and consequently improved service delivery. Table 3.3 presents a few definitions of organizational culture used over the past 40 years (Lukasik et al., 2016). These definitions were extracted from relevant literature on organizational culture. Schein’s (1982) definition is more suitably aligned with this monograph because it considers adaptive challenges introduced by changing external and internal factors. Thus, within the public sector context, organizational culture in this monograph refers to patterns of identical and fundamental assumptions developed by specific groups and promoted to new members as the right approach to resolving external and internal challenges of adaptation (Schein, 1982). This definition conceptualizes organizational culture12 as a component of risk management or a lower social order capable of facilitating PSR.13 The adopted definition suggests that organizational culture is a dynamic concept that could evolve (Trice and Beyer, 1993) and adapt to changing environments. Although organizational culture is difficult to change (Hofstede et al., 1990), environmental change could create a culture change revealing a need for new people and new learning (Gordon, 1991). Still, organizational culture can only be fundamentally changed in the long term (Schraeder et al., 2005). So, organizational culture is relevant to risk management as it assumes certain risk-related values, beliefs, and behaviours. There has been significant pressure on public sector bodies to successfully adapt to the substantial changes in the outer context of public service Table 3.3 Definitions of Organizational Culture Definitions

Sources

Prevailing pattern of assumptions, beliefs, myths, standards, values, including their artefacts, symbols, language personification, actions, attitudes, feelings, interactions, technology, and management objectives practices. Developmental patterns communicated through daily routine, ideology, knowledge, laws, and values. Collective mind programming which differentiates between human groups. Pattern of identical and fundamental assumptions developed by specific groups and promoted to new members as the right approach to resolving external and internal challenges of adaptation.

Likert and Likert (1976)

Source: Adapted from Schein (1982).

Morgan (1997) Hofstede (1980) Schein (1982)

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provision and for employees to implement organizational reform. This could explain the pressure placed on the public sector to adopt some of the private sector’s management practices (Bradley and Parker, 2001) such as risk management (Fone and Young, 2000). This is because organizational culture is created based on “… an internal reaction to external imperatives” (Gordon, 1991, p. 404). However, risk management is scrutinized only when it fails (Braig et al., 2011). This makes it difficult to judge its overall effectiveness, even in the public sector. The next section provides an overview of risk management in the public sector and what it entails. AN OVERVIEW OF PUBLIC SECTOR RISK MANAGEMENT

The nature and conceptualization of risk differ across the public sector. This drives different risk management approaches within the public sector (Murray and Enang, 2022). Nonetheless, it is necessary to have a structured and sustainable approach to exploiting upside risks, and preventing, managing, or eradicating downside risks. Public sector risk management has been defined as “the planned and systematic approach to the identification, evaluation and economic control of risk” and “the discipline by which organizations identify and deal with the uncertainties that threaten their success” (Ene and Dobrea, 2006, p. 126). This definition covers a range of risks, including insurable and non-insurable risks. HM Treasury (2004) points out that the identification and assessment of inherent risk including the selection of a suitable response is part of the risk management process. Basically, risk management involves identifying, analysing, responding to, and monitoring risk (Aritua et al., 2011). A more comprehensive approach involves (AIRMIC/Alarm/IRM, 2010): • • • • • • •

Identifying risks. Risk evaluation or ranking. Risk response (by tolerating, treating, transferring, or terminating the risk). Resourcing controls. Reaction planning. Monitoring and reporting risk performance. Reviewing or re-examining the risk management structure.

An effective risk management programme aligns with strategic corporate functions. It is comprehensive and dynamically responsive to fluctuating circumstances and is embedded into daily activities (ibid). Originally, most risk management processes concentrated on project risk management.14 However, reports like the Cadbury report (Cadbury, 1992), Managing Risks in Government Departments (HM Government, 2001), and the Turnbull report (1999) stressed need for risk management at strategic level. While validating the importance of risk management in public governance, the Cabinet office report (2002) recommends a comprehensive approach so that risk be managed at the level of strategy, programme, and operations/project.

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Risk management typically starts as a compliance measure. Overtime, it may be refined to improve organizational performance (PricewaterhouseCoopers, n.d.). Public and private sector organizations encounter several risks that may negatively impact organizational productivity and survival (Hood and Smith, 2013). Consequently, risk management frameworks are designed to anticipate the regularity and severity of these risks, expedite preventative measures, and ensure organizational resilience (Hood and Smith, 2013). Fone and Young (2000) argued that the distinctiveness of public sector risks demands a risk management approach that differs from that in the private sector. This distinctiveness (Crawford and Stein, 2004) is evident in stakeholders’ (service users, the media, and taxpayers) requirements for transparency and accountability from the government (Standards Australia/Standards New Zealand, 2003). Beyond enabling alignment to strategic corporate functions and functioning as a compliance tool, risk management is required during PSR, and is driven by several factors, discussed next. RISK MANAGEMENT DRIVERS IN PSR

Effective risk management is influenced by politics and society (Power, 2004); driven by the need to prevent, mitigate and/or manage reformrelated risks (IFG, 2012); and required to overcome PSR barriers (Scottish Parliament, 2013). The requirement to achieve improvements (deliver cost savings and provide high-quality services) with less resources (in times of fiscal consolidation and growing demand) drives need for risk management during PSR (NAO, 2011). These factors promote the adoption of effective risk management during PSR and highlight some risk management benefits, thus validating its adoption. Nonetheless, Asenova et al. (2013, 2015b) report that in their bid to mitigate organizational risks resulting from the scale, pace and aggregation of fiscal consolidation, public service organizations could transmit risks to other organizations (organizational risks), including individuals and the society (social risks). So, public service organizations can manage and inadvertently transmit risks (Hutter and Power, 2005), including social risks during PSR. This makes it necessary to understand the limitations and benefits of risk management in PSR, presented next. LIMITATIONS AND BENEFITS OF RISK MANAGEMENT IN PSR

Whilst risk management may be deployed as a tool for blame attribution (Hood, 2002), public scrutiny of services can make the implementation of risk management challenging. Likewise, Palermo (2014) outlined two limitations of public sector risk management which apply in a PSR context. The first which aligns with the NAO’s (2011) perspective suggests that due to complex public service institutional structures, customized risk management processes that reflect these complexities are needed rather than the

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generalized processes and guidelines provided by regulatory (Audit Commission, 2001; HM Treasury, 2004) and professional bodies (COSO, 2004; AIRMIC/Alarm/IRM, 2010). Second, a lot of undue pressure is borne by senior public servants who are responsible for the overall adoption of risk processes (Palermo, 2014). Yet, knowledge regarding available opportunities for success are enhanced through risk management (AIRMIC/Alarm/IRM, 2010). Also, the probability of success is increased while the likelihood of failure and uncertainty associated with realizing organizational objectives is minimized (ibid). There are strategic, tactical, operational, and regulatory benefits of risk management (Hopkin, 2014) which can be related to PSR: • • • •

Strategy: Various strategic options introduce a variety of risks. The identification and analysis of these risks inform better decision-making at strategic level. Tactics: Analysis of the different approaches to PSR, including the attendant risks can guide the adoption of the most effective alternative. Operations: Proactive approach and preventative measures can reduce the likelihood of a negative event or mitigate its negative consequences. Regulatory: Risks associated with an inability to deliver “best value” which is a statutory duty of local authorities can be identified and managed.

Hence, the overall responsibility for embedding organization-wide risk management lies with organizational leaders (AIRMIC/Alarm/IRM, 2010). Also, risk management can be embedded in an organization that encourages staff involvement, experiential learning, accountability, and transparency of actions (while eliminating any blame culture), and good risk communication (ibid). Conventional risk management practices promote uncoordinated and isolated risk management activities across departments; for example, financial and operational risk management activities could occur in isolation. Hoyt and Liebenberg (2011) and Wallig et al. (2012) encourage movement away from this approach to an enterprise risk management approach that allows organization-wide management and analyses of different risks in an integrated way. This enables valuable insight into the quantifiable/financial and non-quantifiable/non-financial risks (like social risks) that organizations may encounter, encouraging organizational innovation and development (Wallig et al., 2012). Effective risk governance within the public sector promotes the consideration of both types of risk (Asenova et al., 2013). It involves an enterprise approach to risk management which is spearheaded at strategic levels of government by designated “Risk Tsars” (Murray and Enang, 2022). It also ensures that the content and focus of reform is effectively realized. Considering the overarching research aim and objectives addressed in this monograph, risk management theory is used to:

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• • •

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Conceptualize external institutional structures as risk sources. Identify and describe various types of SSES reform-related risks, particularly social risks. Articulate how they are currently being managed in line with AIRMIC/ Alarm/IRM (2010) and ISO 31000 (2018) guidelines.

3.3.4 Structuration Theory Theoretical Perspectives and Analytical Implications

According to Cohen (1989), structuration theory emerged in the 1970s and was developed by Anthony Giddens, a British Sociologist. Giddens (1976, 1979, 1984, 1991) presents structuration theory as a process theory that perceives structure15 as simultaneously producing and constraining human action leading to unintended consequences (in this case, social risks). Others view it as a process theory that provides a unique framework for assessing inter and intra-organizational change (Den Hond et al., 2012) or continuity (Englund and Gerdin, 2014). Structuration theory asserts that institutional patterns arise from interactions over time and across space because agents operating in those spheres produce and reproduce those routines through their agency.16 In other words, institutions enact agency-structure duality (Archer, 1995), leading to the reproduction of structures or social systems across space and time (Giddens, 1984; Tembo-Silungwe and Khatleli, 2018). Central to structuration theory is the argument that although structures constrain agency, they may be reconstructed by agency over time (Langley, 1999). To put it another way, “structure and agency are not thought of as only mutually constraining, but also as mutually generative” (Nicolini, 2012, p. 45). Therefore, power does not reside solely with social structures but to some extent, with agents. Power is multidimensional and “an element of social relationships” (Den Hond et al., 2012, p. 239). In this way, structuration theory promotes dualistic thinking during research by analysing the agencystructure relation (Spenceley and Meyer, 2017). Specifically, the theory questions how agentic action and societal structures are related (Spenceley and Meyer, 2017). It seeks to understand how structure is derived from production and reproduction of organized elements of action (ibid). In addition to the education research enumerated in the previous section, structuration theory’s use in this monograph extends previous management studies. These include but are not limited to studies aimed at: • •

Investigating the management of information system risks and the deployment of risk management systems (Odejide and Iyamu, 2012). Exploring crisis decision-making processes during emergencies (Goldberg, 2013).

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•

Investigating the role of information technology in institutionalizing organizational risk management in a financial organization (Hsu et al., 2013). Understanding the agent-structure relationships and its role in the UK financial crisis (Ashby et al., 2014). Examining when and how agency is utilized within the boundaries of institutionalized structures driven by distinct education policy (Bray and Russell, 2016). Identifying facilitators and barriers of risk allocation in the construction industry (Tembo-Silungwe and Khatleli, 2018).

• • •

Structuration theory is adopted as an analytical lens in this monograph to promote better understanding of the duality existing between institutional structures and agents during SSES reform. It facilitates understanding about how SSES managers perceive, define, conceptualize, and manage the social risks associated with SSES reform. This monograph explores and theorizes the (re)production and management of social risk during SSES reform based on agent-structure duality. This is discussed extensively in Chapter 6 using the following analytical elements: • • •

The three dimensions of structuration including signification, domination, and legitimation. The three modalities of structuration associated with the three dimensions: interpretive schemes, power, and sanctions. Actors’ reflexivity and knowledgeability.

Structuration theory can be condensed into three layers of structure (Giddens, 1984; Schwandt and Szabla, 2013; Englund and Gerdin, 2014). Interaction between the top (structure) and bottom (agency) layers through the middle (modalities) layer depicts the agent-structure duality. Signification structures refer to the production, reproduction, interpretation, and/or conveyance of meaning through language, symbols, or other acceptable array of collective schemata and procedures. Domination structures convey the degree of power conferred at macro, meso, or micro-institutional levels, delineating the acceptable use of influence at these levels. Legitimation structures define what is acceptable and appropriate in certain contexts by establishing norms or legislation which in turn can constrain and/or enable action. The middle layer shows that structures can be converted into (inter)action/ agency through modalities or generative mechanisms. Considering modalities, an interpretive scheme signifies a framework for interaction and communication. Facilities are used to allocate resources (allocative resources) and power (authoritative resources). Depending on the context, norms define what is appropriate and acceptable. Thus, modalities can explain the behaviour of individuals/agents in specific situations. Equally, agents can influence structures through their knowledge and reflexivity. Therefore, structures

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cannot exist independent of agency, nor does it necessarily determine action. Giddens (1984) refers to this inherent relationship between structures and agents as duality of structure because they are mutually constitutive. The bottom layer contains variables like communication, power, and sanctions which characterize agentic action. For instance, communication encapsulates speech, symbols, and gestures; power represents resources that can be allocated or authority that can be exercised; while sanctions signify displeasure of inappropriate behaviour or action in certain contexts, and non-compliance to rules and norms. The third analytical element utilized to demonstrate the agent-structure duality in this monograph is actors’ reflexivity and knowledgeability. Structuration theory acknowledges that agents are knowledgeable and reflexive, able to reform their environments through their agency (Den Hond et al., 2012). Accordingly, there is a recursive relationship between the reflexive conduct of agents and structures leading to a reorganization (or reform) of social systems (Boland, 1991). Critiques of structuration theory argue that its ontological17 concepts make it philosophical and overly abstract (Coad et al., 2016; Jack, 2017). However, this argument does not apply to this monograph because this theory promotes ontological understanding of social risks by integrating macro (structures), meso, and micro levels of analysis. Furthermore, the agency-structure duality epitomizes the patterned way or “institutional practices” driving social risk production and management (or lack thereof) in two Scottish councils as presented in Chapter 6. Another argument against structuration theory is that it does not provide sufficient information on how it can be applied in empirical settings (Englund and Gerdin, 2014; Stones and Jack, 2016; Jack, 2018). This issue was addressed based on PCCPT. The later guided primary data collection along the lines of content, context, and process of SSES reform. Data relating to institutional structures and agency were effectively captured at an appropriate level of detail. The main reason for using structuration theory as a theoretical framework is that it permits critical analysis into ontological issues relating to social risks and SSES reform. In summary, this monograph uses structuration theory’s analytical elements discussed in the preceding section to explain primary research findings from two anonymized Scottish councils. It describes the conditions under which social risks may be produced. Additionally, it illustrates the role of the three dimensions of social structure, including their modalities and mode of action and in the production, reproduction, and management of social risks.

3.4 Concluding Remarks – towards Theoretical Conceptualization The monograph is grounded in risk management and structuration theory traditions and supported to relatively lesser extents by complexity leadership

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and institutional theories as demonstrated in Figure 3.1. The punctuated equilibrium theory does not feature in this conceptualization because reform drivers can be explained using critical junctures as explained in institutional theory (particularly historical institutionalism). The main justification for using risk management and structuration theories is the critical depth and insight that it lends to describing and explaining the evolution and management of social risks. This is demonstrated in Chapter 6. Figure 3.1, which reflects this theoretical conceptualization, is divided into three sections. Section A captures the outer context of reform, as articulated by PCCPT. This is synonymous with the institutional theory’s concept of a higher social order (Meyer and Rowan, 1977; DiMaggio and Powell, 1983; Lounsbury, 2007; Thornton and Ocasio, 2008) and structuration theory’s conceptualization of structure. It represents the political, legislative/regulatory socio-economic, and technological contexts where SSES operate. PCCPT asserts that analysis of the outer context or, in this case, higher social order reveals the challenges driving PSR. These challenges which are referred to as adaptive by complexity leadership theory, drive SSES reform and reveal the content or focus of reform efforts. From a risk management lens, these adaptive challenges constitute risk sources. Institutional theory clarifies if these adaptive challenges result in institutional continuity or reform within an SSES context. Section B portrays the inner context of reform. According to Suchman (1995) and Greenwood and Hinings (1996), this is synonymous with institutional theory’s conceptualization of the lower social order, and structuration theory’s conceptualization of agency. In this research, the lower social order and agency refer to council managers’ reflexivity and knowledgeability of social risk management which can facilitate or hinder the SSES reform. The process of reforming SSES based on the 4Ps approach may introduce social risks which may negatively impact key stakeholder groups and the higher social order or outer context. This recursive relationship between institutional structures and agents (council managers responsible for school education delivery and reform in two Scottish local councils) is illustrated using a line with two arrows. This shows that changes in the higher social order (structure) impacts the actions and behaviour of agents (agency) belonging to the lower social order. Conversely, the decisions made by these agents have far reaching effects on the higher social order including politics, society, and economy. Section C represents the social mechanism (Sminia, 2011) depicting the agent-structure duality. Using the three dimensions and modalities of structure, this social mechanism describes the agent-structure relationship enacted during SSES reform in relation to social risk production and management. This theoretical conceptualization and framework are fully applied to research findings as discussed in Chapter 6. The following two chapters present documentary and interview analyses from Councils A and B case studies, respectively.

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Notes 1 See the section on “Why SSES” in the Preface for a justification of these dates. 2 Primary data was collated from 2004 in Council A, and 2005 in Council B because that was when the earliest information on school education reform in those councils was available. 3 The Preface justifies the focus on risk management in this monograph. 4 Punctuated equilibrium was one of the theories considered for use. It was not selected as either dominant or supporting theory. Institutional theory could explain institutional reform based on critical junctures and continuity based on path dependencies. Punctuated equilibrium could only explain reform and not institutional continuity. Hence, institutional theory was selected instead. 5 The complex adaptive system (CAS) is the framework within which CLT is considered and refers to a system where associations are defined based on interactions among dissimilar agents and across their networks ( Lichtenstein et al., 2006). 6 Institutional theory is broadly divided into the old and new institutional theories. 7 Institutional structures are also referred to as outer context in this monograph. 8 Institutional logic refers to the cocktail of material practices, assumptions, beliefs, and values whereby individuals and organizations make meaning of their daily routine, reproduce their experiences and lives, and organize space and time ( Thornton et al., 2012 and Thornton and Ocasio, 2008). 9 See discussion in Chapter 1, under Brief History of School Education Reform in the UK ( Section 1.7.1). 10 See the Preface for articulation of the research aim and objectives. 11 This includes public sector organizations. 12 During SLR Phases 1 and 2 (See sub-section on emerging themes in Sections 3.3.1 and 3.3.2, respectively), organizational culture was identified as a sub-theme under leadership, and so one of the inner institutional influencing factors of PSR. This illustrates awareness of the relevance of organizational culture during PSR. 13 Lower social order is discussed under Institutional Theory in Section 4.5.1, Chapter 4. 13 Lower social order is discussed in more detail in Section 3.3.2: Institutional Theory. 14 Project risk refers to a condition or uncertain event that can positively or negatively impact a single or multiple project objective(s) if it occurs ( Rose, 2013). The systematic identification, analysis and response to project risk is project risk management ( Project Management Institute, 2000). 15 Structure refers to informal and formal rules and resources ( Tembo-Silungwe and Khatleli, 2018). Rules are further broken down into signification and legitimation structures. Resources refer to domination structures which themselves comprise allocative capital and authoritative power (ibid). 16 Agency refers to individual action or the deliberate action and behaviour of actors ( Giddens, 1984). It is their ability to reform or make a difference. 17 Ontology refers to the nature of reality, or what counts as meaningful reality Dillon and Wals, 2006; 2016).

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Empirical Research Findings from Council A

4.1 Introduction Based on original data, primary research findings from Council A are presented in this chapter, though for reasons of anonymity, the interview transcripts are not attached to this monograph. The chapter is divided into the documentary analysis section and the interview analysis section. Data collected from Council A focused on analysis of institutional structures driving Scottish school education services (SSES) reform and the risks associated with the reform process. As previously discussed,2 Pettigrew’s Context Content Process Triangle (PCCPT) is used to guide data collection and analysis (Rabbani et al., 2011). Accordingly, both documentary and interview analyses sections capture findings on the context, content, and process of school education reform in Council A between 2004 and 2018, and critically appraises these claims. Given that public services are complex systems, the analysis does not aim to provide a comprehensive report of public services. Rather, it contextualizes the study within SSES. The following section addresses objective 1 by discussing external institutional structures (politics/legislation, society, and economy) driving SSES reform in Council A. The internal institutional factors influencing SSES reform in the council are presented next and relate to objective 2. Focusing on objective 3, SSES reform between 2004 and 2018, including associated risks and their management are then discussed. The year 2004 was selected because that was when the earliest information on the reform of Council A schools was available. Interview analysis follows the documentary analysis. It focuses on the years between 20103 and 2018. The interview analysis, like the documentary analysis addressed objectives 1, 2, and 3 and is structured in the same way. Discussions relating to the reform of school education curriculum are not included because it falls outside the remit of this monograph. This chapter concludes by presenting salient points from observations in relation to Council A. Primary research findings are first presented and critically appraised at the end of each section. DOI: 10.4324/9781003154327-4

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4.2 Documentary Analysis 4.2.1 Relevant Documentation

A total of 47 documents were analysed, including corporate documents published by Council A, the Scottish government, the council’s external auditors and other relevant secondary literature. However, for reasons of anonymity, these documents will not be presented in this monograph. The documents selected for analysis: • • • • •

Provided background information on Council A, including contextual issues. Referred to school education delivery and reform in Council A. Provided historical data between 2004 and 2018.4 Discussed the council’s perception of risks associated with school reform. Presented independent analysis of risks associated with school reform in Council A.

4.2.2 Context and Content of SSES Reform in Council A External Institutional Structures SOCIETY AND ECONOMY AS DRIVERS OF SSES REFORM

Compared to other councils, Council A has relatively low economic activity and one of the highest unemployment rates in Scotland. About 20% of Council A’s population are unemployed. This is the primary cause of depopulation. Approximately 70% of Council A’s population decline annually is due to outward migration by young people and families searching for higher education, work, and/or better family housing outside the area. The remaining 30% of population loss is caused by natural changes for example, the decline in birth rate. Demonstrating the impact of depopulation, Council A’s Early Years’ Education Service underspent its budget by £0.63 million because some nurseries operated below the registration capacity of the Care Commission. This form of selective depopulation may reduce the demand for services that target young people like schools and nurseries, school activities like volleyball and basketball, and school clubs; thus, influencing the form of SSES reform adopted by the council. Depopulation threatens the sustainability of current service delivery models in Council A because available resources may be insufficient to address changing service needs. Depopulation also threatens the potential viability and financial sustainability of Council A; thereby constituting a significant strategic risk. Since population size is one of the key factors influencing government funding, Council A’s future funding levels may be relatively reduced unless this issue is addressed.

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The projected financial impact of depopulation on the Council A region is a loss of £3 million. Further, Council A expects to have positive longterm economic impact on the area and enable repopulation through a highly skilled community, with better housing, infrastructure, and jobs. Repopulation is therefore a strategic priority for Council A. A significant portion (42%) of Council A’s expenditure is targeted at Education and Social Care. Whilst these services have been prioritized in budget allocation, they may still be negatively impacted by reduced public funds because of their dependence on other council departments that currently bear the brunt of fiscal consolidation. Overall, a 12% reduction in Council A’s population is projected by 2039. Within this context, child poverty remains a national problem and significant risk. The council contains areas of deprivation alongside some areas of affluence. A significant poverty-related school education attainment gap (henceforth referred to as attainment gap) exists between more affluent communities and those with high deprivation and poverty levels. Over a fifth of Scottish children live in poverty, while more than a fourth of children in the Council A region live in poverty. Eradicating child poverty is therefore important to Council A as poor attainment is associated with both intra and inter-generational poverty. Child poverty can exacerbate the risk of widening the attainment gap across social strata. The council aims to address this risk by identifying and developing a strategy to address the roots of inequality. Tackling inequality represents the content and focus5 of reform and is a key priority area for Council A. It underpins the strategies outlined in the 2013–2017 Single Outcome Agreement (SOA) and the council’s 2018/2022 corporate plan. Against this backdrop, prevailing socio-economic factors in Council A such as depopulation, demography and child poverty issues provide imperatives for reforming school education. POLITICS AND LEGISLATION AS DRIVERS OF SSES REFORM

As previously noted,6 politics cannot be divorced from legislation, particularly within the context of public service delivery and reform. This is because legislation sanctions the implementation of public policies developed by governments. This section exposes the complex and intimate relationship between politics and legislation, illustrating how both factors drive SSES reform in Council A. The drivers for public service reform (PSR) in Council A are three-fold. They include the need to deliver efficiency savings, with improved outcomes for residents, and enable access to more personalized services by more highly skilled workforce. The council’s stated vision is therefore to ensure that every child, citizen, and community is “safe, healthy, achieving, nurtured, active, respected, responsible and included”. This vision is underpinned by political and legislative factors which themselves constitute

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national priorities and are enshrined within the Getting It Right for Every Child (GIRFEC) principles. Thus, Council A’s strategic priorities for education services are informed by national political priorities, including the National Improvement Framework (NIF). They also reflect Council A’s SOA and adherence to local political priorities. These priorities are summarized below: • •

•

Address pupil needs by ensuring that they have equitable access to excellent curriculum and learning experiences. Raise attainment for all pupils and improve their literacy skills by developing strong partnerships with families and communities and promoting leadership development across management levels. This will enable them to be employed or access further/higher education post school. Encourage all pupils to achieve their potential, while making them feel included in and safe at school.

Council A’s mission is to work with its community planning partnerships (CPP) to achieve these strategic school education priorities. CPP exemplify the partnership approach to PSR recommended by the Scottish government and are embedded within the Community Empowerment (Scotland) Act 2015. The structure of CPP illustrate the twin roles occupied by politics and legislation in driving SSES reform in Council A. To summarize, SSES reform in Council A does not occur at random but is driven by a range of political and legislative factors like GIRFEC, NIF, CPP, and SOAs. Various socio-economic factors are also responsible for SSES reform in the council and are discussed next. Internal Institutional Factors Capable of Influencing SSES Reform 7

The systematic literature review (SLR) conducted in Chapter 2 identified leadership, risk management, and public participation as key internal institutional factors capable of influencing PSR. Likewise, documentary analysis revealed that these factors can facilitate and/or hinder SSES reform. Although discussions on leadership and public participation fall outside the remit of the primary research for this monograph,8 the following discussions summarize the role of leadership and public participation in SSES reform, corroborating findings from the SLR conducted in Chapter 2. Since this monograph focuses on reform-related social risks, risk management is discussed in more detail. LEADERSHIP

The reviewed documents clearly demonstrate that CPP occupy leadership positions and so are responsible for effective service delivery and reform.

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They were advised by Audit Scotland to focus on addressing inequalities in deprived communities and supporting those with protected characteristics whose needs may not be addressed because of inadequate service design. As recommended in the SOA, CPP are required to develop specific plans on how to reduce inequalities by promoting preventative approaches and early intervention. Similarly, in the reviewed documents, the council leaders were held accountable for effective SSES provision and reform, implying that strong leadership was a requisite for effective reform. The documents included recommendations for leadership training and development particularly as related to the Scottish Attainment Challenge. New leadership positions such as that of the Attainment Challenge Manager were created to address the attainment challenge. RISK MANAGEMENT

Explicit and implicit discussions on risk, including its management and governance were evident in the 12 reviewed annual audit reports including the risk register, and reports to the education committee, children and young people’s services plan and others. Most of the discussions concentrated on organizational risks and mostly in a service provision context. References to risk management during service reform were limited. To address organizational risks, services updated their risk registers, developed Business Continuity Plans, and created a Corporate Risk Management Group to facilitate service consistency. Only a few documents addressed social risks like inequality issues in school education delivery. This suggests that Council A concentrate on quantifiable financial risks, paying less attention to nonquantifiable, non-financial risks, like social risks. This is rather surprising given the supposed sophistication of risk management techniques adopted. Corporate risks are regularly communicated to the Corporate Management Team (CMT) via the corporate risk register. The council identified 11 common risk areas, including strategic, financial, reputational, political, partnership, legal/regulatory, operational, information, customer/citizens, environmental, and people risk. According to the council’s risk management framework, some risks are objective and therefore require objective analysis for example financial risks. Others are more subjective, for example, reputational risks. Nonetheless, both forms of risks are assessed using the council’s risk assessment and prioritization framework. The audit committee are presented with the progress and annual risk management reports throughout the year. Most risk-related discourse in Council A centred on strategic risks. Strategic risk was identified as the possibility of not realizing the expected SOA outcomes and Council A’s strategic priorities due to inappropriate targeting of financial resources. It was addressed by (1) allocating financial resources to Council A’s strategic priorities in the 2010/2011 budget and (2) improving the relationship between Resources and Service Planning departments. Council A’s risk

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management processes reportedly improved, particularly in terms of the financial risks associated with the 2007/2008 recession. Nonetheless, the council was advised to ensure alignment between operational and strategic risks and the availability of appropriate reporting structures by reviewing risk registers at service, directorate, and corporate levels. The annual reports referred to strategic risks as those that “sit above the risk appetite”. Although there was no follow-up explanation for what this means, they were categorized into: •

• •

Human resources risk: Ineffective resource allocation, possibly leading to non-achievement of outcomes. This may be caused by a failure to recognize, develop and exploit workforce capacity. Likewise, human resources risk refers to the possibility that Council A fails to realize their staff absence management target owing to non-implementation of absence controls by managers. Financial risk: Likelihood that Council A may not effectively manage the substantial funding restrictions in the (medium to long term) between 2015 and 2019. Health and safety risk: Likelihood that Council A may not execute its health and safety duties.

Social risk did not feature in this categorization. From Council A’s perspective, effective risk management means that they can achieve desired outcomes, tolerate some threats, and exploit inherent opportunities. Risk identification, assessment, management and control, and review and reporting are the four key stages of Council A’s risk management process. One of the strategic areas requiring improvement according to Council A’s CPP Improvement Plan was its approach to risk. Council A recorded slow progress in embedding risk management in 2006. In 2008, the internal audit department occupied a more prominent role resulting in increased risk awareness amongst council services, but mainly around financial risk. This improved risk governance as the internal control review evidenced in the internal audit’s effective operations. Equally, the 2012/2013 and 2013/ 2014 audit reports highlighted Council A’s progress in embedding risk management by: • • • •

Referring to the recruitment of Corporate Risk Advisor for ongoing risk management development. Making risk management key to strategy and performance. Maintaining and reviewing strategic, financial and operational risk registers. Regular staff training on risk management and corporate governance.

The audit report also presented the council plans to further embed risk management, along with its partner in the 2013/2014 financial year.

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As identified in the 2014/2015 audit report, councils tended to focus on relaying financial information when presenting council reports. As a result, there was a dearth of information on relevant non-financial activities, for example, school attainment, integration of health and social care, and others. To address this, Council A’s external auditors recommended that they capture the development of relevant non-financial activities in management commentaries. To sum up, reform-related risks were not explicitly identified or discussed in most of the reviewed council documents. The 2006 audit report did not discuss service change, service reform, nor identify the associated risks. Likewise, Council A’s education committee and performance overview reports made no explicit reference to reform-related risks. In reports addressing attainment challenge matters, and the education directorate improvement plan, risks were conceptualized as barriers. These barriers related to operational risks, such as potential difficulties in implementing the attainment challenge because seconded staff were hard to replace, and the possible impact that might have on pupils. In reports to the CPP Board and Education Committee on standards and quality, National Improvement Framework, and Pupil Equity Fund, risks were implied based on references to financial, human resources, legal, equalities, and repopulation implications associated with the reform of schools in the Council A region. However, only one out of the four reports associated risk with inequality, vulnerable children, and families. No negative financial, human resources or legal implications were identified in these reports. Equalities implications referred to addressing inequalities in deprived communities and amongst those with protected characteristics. So, inequality was recognized as a strategic priority and challenge requiring resolution. It was not explicitly considered as social risk even though it aligns with the definition of social risk provided by Asenova et al. (2015a). As a legislative requirement, Scottish Councils under the Standards in Scotland’s Schools etc. Act 2000 are expected to present their educational progress on the achievement of local and national improvement plans. Therefore, the legal implications related to schools’ adherence to statutory guidance for partnership working and procurement. Substantial human resources implications were identified and focused on job sizing, recruitment, and payment contracts. Neither the 2016–2017 education of children performance overview, the education services improvement plans for 2017/2018 and 2018/2019, nor the local scrutiny plan referred to reform-related risks. No explicit references were made to social risks in any council document, including the risk register. The operational, project, and strategic risks identified in the council documents were systematically addressed showing that Council A were familiar with these risks and their management. Nevertheless, Council A’s risk management procedures are not sufficiently robust as they fail to acknowledge, identify, and address reform-related social risks in their corporate documents. This contradicts the socio-economic duty,9 requesting

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all local authorities to assess the potential impact of reform initiatives on service users, especially as relates to inequality. The following sections explore the risks associated with two different approaches to SSES reform. The first approach focuses on the regeneration of the schools’ estate, and the second concentrates on addressing the Scottish Attainment Challenge (SAC). The sections aim to identify if social risks are recognized or otherwise appear during the reform processes, and the way in which they might manifest. PUBLIC PARTICIPATION

Documentary analysis showed that CPP were one of the ways in which public participation was enacted in Council A during SSES reform. The CPP were referred to in most of the reviewed articles including the Scottish government documents, council documents, and the annual audit reports. From these documents, effective CPP are considered essential to reforming SSES for raising attainment and securing positive destinations. Operational risks associated with implementing the CPP were highlighted in a report to the CPP board. They included: • • •

Inconsistencies associated with leadership, challenge, and scrutiny of CPP. Lack of clarity on the part of the Scottish government regarding the role that should be played by CPP in reforming public services. CPP’s failure to clearly articulate their goals and develop a strategic approach to preventing negative outcomes during service delivery and reform.

So, although the CPP are beneficial to PSR and SSES reform, the report to the CPP board highlighted ensuing risks. 4.2.3 Process of SSES reform: Regeneration of the Schools’ Estate and Associated Risks

This section focuses on the regeneration of the schools’ estate between 2004 and 2018. School education provision underpins Council A’s socioeconomic regeneration objectives, and is one of the ways it addresses inequality. The council aims to meet the needs of the community by providing high-quality school education services. Prior to 2000, school education reform in Scotland, including Council A focused on improving the schools’ estate. This is being addressed via the School Estate Management Plans (SEMPs) and represents the most significant investment over the last 100 years. In 2004, the condition and suitability of most of Council A’s primary, secondary and special needs schools were classified as poor. Apart from one school built in 1979 and another in 1999, most were built in the 1960s and 1970s.

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According to the SEMP, school education reform in Council A began in 2004 and is ongoing. One of the SEMP’s key objectives is for all Council A schools to be in good or satisfactory condition. The 2007 statistics from the Scottish government showed that 77% of primary schools and 88% of secondary schools in Council A were in poor condition, while 75% of additional support needs (ASNs) schools were in poor or very poor condition. By 2017, there was significant improvement in the condition of Council A schools as all three school categories were in good or satisfactory condition. Thus, from 2004, Council A focused on reforming and regenerating its schools’ estate. This is central to the regeneration of the Council A region and a key council priority because schools are expected to provide a safe environment for learning, resources to support leisure, lifelong-learning and community services and a catalyst for repopulation. This form of reform improved the morale of school children, teachers, parents, and local communities. The imperatives for reforming schools in Council A were political, arising from the Scottish government and Council A’s strategic priorities. This corroborates discussions in earlier sections on the role of politics and legislation as SSES reform drivers. The main issues and potential risks associated with this approach, as indicated in the Council’s Annual Audit Report, were financial. It involved the maintenance of the funding model integrity over programme lifespan despite the prevailing economic context (i.e., fiscal consolidation and the need to deliver efficiency savings). This seemed to have been addressed as no financial risks were identified in the Council’s 2016 Annual Audit Report. Project risks were also associated with the SEMP. These related to missed deadlines and can be categorized as financial risks because they could exacerbate financial pressures, impacting negatively on education service delivery. There are also regulatory risks such as the possibility of not meeting future statutory financial goals, invariably leading to financial risks as captured in the Council’s Annual Audit Reports, and subsequently potential reputational risks. In June 2008, Council A approved a funding model and updated its SEMP to transform its school estate. The financial risks were tied to £6.2 million slippage in the capital programme and overspend on the £2.7 million approved for the capital revenue account. These risks were managed by the education director through the Council’s Capital Programme Investment Group created for this purpose. The project risk involved potential slippage in meeting key project deliverables as can be expected in large-scale capital projects, and the likelihood of diverting resources from core services. This may have led to additional monetary pressures and/or hindered effective school education delivery. To address these risks, services updated their risk registers, developed Business Continuity Plans, and created a Corporate Risk Management Group to facilitate service consistency. Council A expected to fully address

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these risks by 31 August 2009 via constant monitoring and review of the School Estate Management Plan and Strategy. However, the project slippage risk persisted in 2009 and 2010 leading to the establishment of a board to supervise the SEMP (in 2009), and reviews of the funding model in 2009 and 2010. Slippage risk occurred again in 2014 and 2015 and the council agreed to initiate early slippage notification, monitor future (2014–2015) performance targets, anticipate delays arising from external factors and accelerate the project where possible. Documentary analysis show that political and socio-economic institutional structures played active roles driving school education reform in Council A from 2004. Reform was based on the SEMP and concentrated on regenerating and modernizing the schools’ estate. The key risks and challenges were organizational. They related to financial and project management matters, including reputational risks which are invariably outcomes of the former. The council documents clearly articulated the strategies and timelines for risk management, including risk owners. In cases where the adopted organizational risk management strategies failed to achieve the desired objective, they were able to refine them accordingly because they were knowledgeable about these types of risks and their management. In contrast, the concept of social risks is relatively new. As evidenced in preceding discussions, they are not explicitly recognized or captured in corporate documents; thus, their management may be haphazard. The proceeding sections discuss the process of SSES reform. They concentrate on the SAC which has been the content and focus of SSES reform since 2015. 4.2.4 Process of SSES Reform: The SAC and Associated Risks

This section focuses on SSES reform between 2015 and 2018. The 4Ps approach to SSES reform10 was evident from the council’s documents. Hence, discussions in this section are structured accordingly. People Approach

Recall (Section 3.2.4) that the people approach to PSR recommends that service providers place service users at the heart of decision-making by addressing their needs and aspirations (Public Services Commission, 2011). Evidencing this approach, SSES reform across Scotland, including Council A seeks to simultaneously improve and raise attainment across social strata. An example of the people focused approach is the SAC introduced by the Scottish government in February 2015.11 Between 2015 and 2019, the SAC was expected to provide approximately £100 million to improve the numeracy, literacy, health, and well-being in nine local councils with the most deprived communities in Scotland (SMID 1 and 2), including Council A. Council A’s approach to reducing the attainment gap involved reforming the way parents engage with their children’s learning and with

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school activities. It also focused on reforming how the council attends to children requiring additional support in their learning and enabling workforce expertise. The council classifies children and young people as vulnerable if their education attainment can be negatively impacted by disrupted and/or restricted curriculum. Looked After and/or Accommodated Children (LAAC) fall into this group. Other groups of vulnerable children and young people include: • • • •

Those Those Those Those

who are looked after at home by relatives. who have left the care of local authorities. from the most deprived communities. with ASNs.

Some of the children in these groups may be recipients of the SAC funds and Pupil Equity Fund (PEF) if they have access to free school meals. Additionally, SSES reform as relates to closing the attainment gap concentrates on them. The Corporate Directorate Improvement Plan informs Council A’s education services improvement plan. The issue of inequality was one of the main themes discussed in the document. The SAC and PEF were developed by the Scottish government to address this issue in schools. The Scottish Government (2018b) conducted a comprehensive Equality Impact Assessment12 on the SAC to ascertain any potential positive or negative impact on children and young people, specifically those with protected characteristics. No negative impact was identified during the assessment process, although new avenues for advancing equality of opportunities were identified for children and young people with protected characteristics (Scottish Government, 2018b). Council A did not conduct any Equality Impact Assessment for its 2015 Report to the Education Committee on SAC arguing that the report neither proposed nor endorsed a new strategy, function, or policy. No risks were identified or associated with executing the SAC, as per the Equality Impact Assessment. Similarly, the audit reports neither discussed SAC nor identified any SAC-related risks. Partnership Approach

The Children and Young People’s Services Plan aligns with the Children and Young People (Scotland) Act 2014. It is the CPP’s first integrated service plan for children and promotes the partnership approach. It captures Council A’s strategic priorities, discussions with partners, young people, and their parents. In collaboration with CPP, Council A aims to confront child poverty and reduce inequality by raising attainment. One way in which they are addressing the attainment gap risk is by funding employability initiatives, and by establishing income maximization surgeries to support poor families.

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This embodies the partnership approach as recommended by the Christie Commission (Public Services Commission, 2011). Parental participation maintained through parent councils, well-attended meetings, and involvement in working and policy groups represents public participation. Parent councils encourage parental participation at school level. Their involvement in decision-making facilitates shape discussions around PEF and attainment. Similarly, a coaching officer works with nurture teachers and class teachers in Council A’s Attainment Challenge schools to identify children requiring support and to map out individual plans to improve their attainment. The coaching office also advices, supports, and trains the council’s support staff, teachers, and senior management. Parents, pupils, and teachers believe that this approach improves the attainment, social skills, and confidence of targeted pupils. Parental participation was identified as a key facilitator of children’s achievement, while poor parental participation was identified as a barrier. This can be associated with both the partnership and people approach to SSES reform. However, the reasons for poor parental participation were not given. This risk is being addressed through partnership working with Family Support Workers, and Community Learning and Development Workers. The family support workers who are recruited by Barnardo’s, collaborate with schools to develop family events promoting healthy parent-child interaction. Council A noted that Barnardo’s involvement has helped to reduce attainment gaps and raised attainment in all P1 learners in its region. It has improved school attendance of LAAC. In Council A, exclusion is expressed in terms of school attendance rates and their data show that the risks of exclusion are relatively low. Community learning and development workers support communities, schools, and families to promote sustainable child learning methodologies. Such preventative risk management approach seems to be effective as parents, teachers and head teachers provided positive feedback, and noted improved overall confidence of deprived children with attainment issues. Partnership working is evident between the Council A, the Education Department, and the educational psychology services. This partnership supports parents and improves pupil participation in school education. Partnership working also involves Council A schools, local business/private sector, other local councils, Education Scotland, all aimed at developing young workforce. Other examples of the partnership approach to reforming school education services in Council A are: • •

National partnerships involving regular discussions with other Attainment Challenge Councils and opportunities for cross-council training, sharing best practice on how to improve numeracy and literacy. Third sector partnerships with for example Barnardo’s aimed at promoting family learning, strengthening parent-children relationship, and increasing parental participation in their children’s learning.

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•

Partner steering group that focuses on developing the young workforce in the Council A region. The group comprises parents, delegates from education services, colleges, businesses, and employee development organizations. Other forms of college partnerships encouraging young people to learn a vocation and start foundation apprenticeships. Inter-council partnerships with entrepreneur programme including groups from early years establishments, primary and secondary schools. Inter-council partnerships established to share best practice in leadership, mathematics, developments in early learning and childcare, and others. School/employer partnerships to facilitate smooth transition to work, vocational learning or apprenticeships for young people post school. Intra-council partnerships that facilitate the delivery of ‘family connect’ an evidence-based initiative by the Education Service’s Attainment Challenge team, the community learning and development team, library services, school nurture teachers, and parents. Intra-council partnerships with the children services, families, communities, and educational psychology services. Volunteer partnerships aimed at delivering free extra-curricular activities and comprising committed school staff, club coaches, young people, and college students.

• • • • •

• •

These activities illustrate that the partnership approach to school education reform in Council A has a direct impact on raising attainment and securing positive destinations. The main risk associated with this approach in council documents was that of poor parental participation which was handled by family support workers and learning and development workers. Performance Approach

In line with the performance approach recommended by the Christie Commission, Council A staff are trained on how to promote positive pupilpupil, teacher-pupil, and staff-staff relationships and behaviour. The council performs “small tests of change” initiative to identify reform-related issues, and address them prior to adopting comprehensive change strategies. This is expected to reduce the risk of failure. Council A’s use of data reveals the need for continuous support for children, who receive care at home and those from the most deprived areas. To address this, the council used a partnership approach whereby parents are supported by the family support workers working in attainment challenge schools. The data also revealed that LAAC children tended to end up in negative sustained destinations post school. To manage this issue, Council A is devoting more resources to improve employability skills of young people, while also encouraging schools to better analyse their data on the aspirations of school leavers.

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Council A’s corporate plan is a vital component of its strategic planning and performance management framework. It includes performance indicators and highlights: • • •

Its repopulation aims. Investment and prioritizing early prevention and intervention approaches. Delivering improved outcomes for LAAC and young people to enable them to maximize their potential.

To sum up, Council A’s corporate documents revealed that the learning experiences and outcome, including future employability of LAAC and those living in deprived communities may be negatively impacted if they are not offered relevant and timely support. The documents also showed that the council was addressing this performance risk through a partnership approach and resource allocation towards employability schemes. Prevention Approach

The prevention approach aims to address attainment issues and inequality by enabling early access to support children and young people while ensuring that parents are aware of these available pathways. Council A does this by focusing on the “working poor” households, providing a child plan that tracks the development of every LAAC and young person. Despite fiscal consolidation, the council perceives the prevention approach as key to reforming the lives of vulnerable children and families. Like the performance approach, the corporate plan is linked to the prevention approach. It stresses the need to deal with fiscal consolidation by adopting preventative approaches. This is because the budgetary pressures make it necessary to address the causes of poverty and disadvantage early as opposed to resolving the adverse effects it creates. Council A aims to achieve this in several ways including the reduction of the poverty-related attainment gap that currently exists between children and young people from more deprived communities and their counterparts from less deprived communities. The document discusses plans to improve outcomes for and deliver opportunities to LAAC. In comparison to their more deprived counterparts, statistics provided by Council A show that learners from less deprived communities are more likely to pursue further/higher education or become employed. Likewise, children from working and non-working lone parent families are more inclined to struggle with attainment compared to their cohorts who do not fall into this category. This explains Council A’s focus on implementing preventative approaches that aim to address attainment issues earlier in the child’s life. However, no risks were linked to implementing the prevention

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approach in council documents, which is an apparent weakness that needs to be addressed. In summary, it is worth pointing out that the 4Ps approach was not explicitly mentioned in council documents. Rather it was alluded to. For example, discourse around the CPP align with the partnership approach, while the council’s aim to prioritize preventative spending and service incorporates the prevention pillar. The SAC and PEF epitomize the people approach, while the use of data analytics encapsulates their performance approach to reforming school education services. No risks were associated with the people pillar for example the SAC and PEF in reviewed documents. The use of data analytics to identify children and young people in need of support was the main feature of the performance pillar. Data analytics was also used to identify the content or type of support required. There was some acknowledgement that change efforts could fail; hence the adoption of the “small test of change” model to identify and manage the risk of failure. The key documents addressing performance management in Council A were the corporate plan and the strategic planning and performance management framework. Like the performance pillar, the prevention pillar relies on data analytics to identify children, young people and families requiring early support and interventions in relation to the delivery and reform of school education in Council A. The key documentation discussing the prevention pillar was the corporate plan. No risk was associated with this approach in reviewed documents, hence at this stage, the effectiveness of this approach is unclear. Council A implemented the partnership pillar was via public participation and participation with CPP, children and young people, parents/ carers, third sector, private sector/local businesses, national partnerships, Education Scotland, and others. The key documentation underpinning the execution of the partnership pillar are the Children and Young People’s Services Plan, and the Children and Young People (Scotland) Act 2014. The key risk associated with the partnership pillar in reviewed documents was identified as poor parental participation. This is being managed by family support workers employed by third sector organization (Bernardo’s) and Council A’s community learning and development workers.

4.3 Analysis of Interviews with Council Officials from Council A 4.3.1 Respondents’ Profile

This section is based on interviews with eight officials from Council A as denoted in Table 4.1. Like the documentary analysis, this section addresses

Chief executive

Education director

Head of education

Head of inclusive education Head of children services

Chief internal auditor

Policy manager

Attainment challenge manager

1

2

3

4

6

7

8

5

Job Role

#

Middle manager with strategic role (MMS-2A) Frontline manager with implementation role (FMI-1A)

Middle manager with strategic role (MMS-1A)

Senior manager with strategic role (SMS-1A) Senior manager with strategic and implementation roles (SMSI-1A) Senior manager with strategic and implementation roles (SMSI-2A) Senior manager with strategic and implementation roles (SMSI-3A) Senior manager with strategic role (SMS-2A)

Managerial Role

Table 4.1 Managerial Levels of Respondents from Council A

Ensures academic well-being of all young people in Council A. Directly involved in education provision and reform. Responsible for education provision across Council A. Previously head teacher. Ensures academic well-being of all young people in Council A. Previously head teacher. Promotes inclusive school education in Council A. Previously head teacher. Ensures overall well-being of vulnerable young people in Council A. Indirectly involved in education provision and reform. Promotes corporate governance and risk management function in an advisory capacity in Council A. Reduced level of strategic input. Establishes and maintains CPP in Council A. Reduced level of strategic input. Addresses attainment challenge in Council A’s most deprived communities.

Level of Involvement in SSES Provision and Reform

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objectives 1, 2, and 3. Respondents were asked to provide information spanning the period between 2010 (when fiscal consolidation began in Scotland) and 2016 (when the interviews were conducted). A few respondents like the chief executive and chief internal auditor who have worked at the council since 2006 and 2008, respectively, provided additional information covering those periods. Managers from four levels were selected, including: • • • •

Senior managers with a strategic role (SMS). Senior managers with strategic and implementation roles (SMSI). Middle managers with strategic roles (MMS). A frontline manager with an implementation role (FMI).

As indicated in Table 4.1, the managers have separate roles and responsibilities, which may partially overlap in some respects, but are complementary. For instance, the heads of education and inclusive education are both responsible for the successful implementation of GIRFEC, albeit from their different perspectives. Also, the head of inclusive education and the corporate policy manager are both involved in corporate policy and community planning but have different focus. The diversity in managerial levels could be expected to facilitate understanding around the risks in SSES reform at both strategic, decision-making levels and frontline, implementation levels. These perceptions are considered in presenting research findings to current developments. Interview responses are summarized in tables which capture the number of managers in each level who are knowledgeable about the issues. Responses were contingent on the managers’ roles, responsibilities, and level of involvement in SSES provision and reform. The following section presents interview analysis. 4.3.2 Context and Content of SSES Reform in Council A External Institutional Structures

Respondents agreed that the improvement of school education services is an ongoing process within their council. However, they named five external institutional structures that prompted more transformative change. These were society and economy, politics and legislation, and technology. These structures are like those discussed in Section 2.7.2. Although the role of technology as an external institutional structure and driver of SSES reform was not evident in Chapter 2, it was evident from discussions with respondents in Council A. As indicated in Table 4.2, these factors are presented along with the number of managers in each category (SMS, SMSI, MMS, FMI) that

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Table 4.2 External Institutional Structures and Their Role in SSES Reform #

Institutional Structures

Who

Why

1

Society and economy

• Increased societal recognition of educational values and skills deficit • Societal inequities • Budget allocation • Fiscal consolidation

2

Politics and legislation

3

Technology

SMS-1A SMS-2A SMSI-1A SMSI-2A SMSI-3A MMS-1A SMS-1A SMS-2A SMSI-1A SMSI-2A SMSI-3A MMS-1A MMS-2A FMI-1A SMS-1A SMSI-1A MMS-1A

• Political priority • Political agenda • Legislative structures and mandate

• Technological changes

identified them and their reasons. The following sections discuss these external institutional factors in more detail. SOCIETY AND ECONOMY AS DRIVERS OF SSES REFORM

The majority view (six out of eight managers) was that socio-economic changes drive SSES reform. Two managers were not of this opinion. MMS-2A is more involved with Scottish government legislation and the council’s corporate policies and cited politics and legislation as reform driver, rather than society and economy. FMI-1A may be too closely involved in strategy implementation (SSES reform) to be aware of possible societal drivers. Nevertheless, this manager admitted that SSES reform could allow a more focused approach to addressing the emotional well-being of children and young people, including their literacy and numeracy skills. Six (SMS-1A, SMS-2A, SMSI-1A, SMSI-2A, SMSI-3A, and MMS-1A) explicitly identified changing societal factors as drivers of SSES reform. These changes include increased societal recognition of education value, skills deficit, and societal inequities. In the managers’ opinion, reform is required to develop a different breed of young people, able to effectively contribute to and benefit from society. SMS-1A, SMS-2A, and MMS-1A discussed societal influence on SSES reform from a value system and skills deficit perspective. SMS-2A acknowledged the considerable value placed on education by the Scottish society and their recognition of the need to improve educational standards. The three managers noted societal recognition of the need to address local

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deficits regarding the skills gap in the work force. Evidencing their claims, they explained that this is largely due to: • • •

Demographic issues associated with an increasing number of the elderly population. A loss of the manufacturing, shipping, and sugar refining industries. The emergence of jobs that previously never existed in response to technological advancements like robotics and artificial intelligence.

In addition to academic skills, SMS-1A emphasized the need to teach children and young people social interaction skills, and the value of resilience and excellent work ethics. These can transform them into “well-rounded, wellprepared young citizens for the community, and the country going forward”. The managers implied that these generic employment skills should supplement, and not replace job-specific academic skills taught in schools. The three SMSIs had different explanations about how societal factors influence SSES reform. SMSI-1A supported the previous skills deficit argument, noting that in the 1960s, the manufacturing industries which existed in the regions surrounding Council A ensured ready-made employment. However, with the decline of most of these industries, these opportunities are no longer available. Therefore, the content of SSES reform as identified by SMSI-1A is the Scottish government’s desire to: … close the attainment gap between children and young people from deprived areas and to give them equality of opportunity so that they have the (1) same rights to education, (2) the same level of provision that meets their needs and (3) the same opportunities as children and young people from more affluent homes. SMSI-2A felt that education was built for a Victorian society13 and should cater for the needs of a 21st century society by equipping children and young people with adaptive social skills and transferable technical skills. SMSI-3A spoke about social inequities. The manager thinks that there are significant issues and inequities as far as the educational provision is concerned. Therefore, a new model of SSES that collaborates more holistically with health and social services, transport, communities, and housing services is required. The manager noted the societal shift from social inclusion to high academic achievement. Four out of eight managers identified changes in economy as a driver of school education reform in Council A. They justified their reasons in terms of (1) budget allocation from the Scottish Attainment Challenge funds and the PEF, and (2) the ongoing fiscal consolidation experienced by Scottish local councils. Referring to budget allocation, SMS-1A and SMSI-2A explained that whilst fiscal consolidation is ongoing in other council departments, additional funds via the SAC are being allocated to Council

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A’s school education department. So, the council is enabled by the SAC funds to transform their school education service. Such funding may not be available to other Scottish councils. The alternative view taken by SMSI-1A and MMS-2A was that fiscal consolidation occurring in other council departments necessitated a more efficient approach to the resource allocation and utilization within the education department; hence the need to transform SSES. Both views suggest that Council A may be taking some proactive steps towards contingency planning. POLITICS AND LEGISLATION AS DRIVERS OF SSES REFORM

Whereas the majority mentioned politics as a driver of school education reform in Council A, FMI-1A did not. FMI-1A plays an implementation role, unlike the other seven managers who have strategic responsibilities and therefore direct access to a wider scope of information pertaining to the Scottish government. The seven managers identified the Scottish government’s political priority and agenda as key reform drivers. SMS-1A stressed that the SAC is a key political priority for the Scottish government, who have provided funding via the SAC and PEF and are monitoring schools’ performance. This SMS admitted that schools should be improved and not transformed. The manager believes that as a reform model, PEF may interfere with the integrated support that children and young people could enjoy when schools collaborate with each other, education services and other council departments. From SMS-2A’s perspective, the Scottish government’s intention is to simultaneously improve the experiences of children and young people and raise educational standard. This aim is too general and so unspecific that attainment cannot be tested or proven. Thus, it is more an idealistic wish than a practical objective. At SMSI and MMS levels, discussions focused on why SSES reform was critical to the Scottish government and how this dictated the reform approach. The league tables show that Scotland was falling behind in attainment indicators (Adams et al., 2016; OECD, 2016; The Guardian, 2016; Freeman, 2017b). As noted by SMSI-1A, SSES reform was politically driven because the Scottish government decided a change of approach was required to ensure the delivery of a world-class education service. Again, this vague generalization of the aim of SSES reform may hinder effective implementation. Expounding on this argument, SMSI-2A, MMI-1A, and MMI-2A noted that the Scottish government dictate the strategic direction of SSES reform, set the reform agenda, and design the implementation plan. Similarly, SMSI-3A identified politics as a driver of SSES reform, explaining that since SSES provision is controlled by the prevailing political agenda, the focus of reform inevitably changes as governments change. Like SMS-1A, SMSI-3A argued for improvement of SSES, which involves building on existing changes, that is, conventional incrementalism, rather than its reform which is perhaps more holistic. The improvement of school

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education according to this manager, should be based on research evidence and a planned approach that considers the nature and culture of the school, including the needs of the local community. According to SMSI-3A, change should not be driven by political expediency as politicians do not always make the right choices concerning education. This manager did not identify those who may be better suited for decision-making around school education but suggested that the decisions of political leaders are influenced by whether they would continue in power either at local councillor level, as member of parliament, or as member of Scottish Parliament. Thus, “… education continues to be in a consistent state of flux purely because it becomes a political tool in a lot of cases”. Less than half (three out of eight) of the respondents identified legislation as a driver of SSES reform. The remaining five did not probably because they did not take this view. The former explained that legislation made it mandatory to transform SSES. SMSI-1A, MMS-2A, and FMI-1A cited legislation associated with the education bill, and the Children and Young People’s Act as drivers of SSES reform. These legislations underpin reform models such as the Curriculum for Excellence, the Scottish Attainment Challenge, GIRFEC, and the National Improvement Framework. The managers think that reform models like the Scottish Attainment Challenge are changing how SSES organize support and protection for pupils, providing guidance on how these models are applied. They explained that the Scottish government’s political priorities dictate national legislation. Citing the previous Scottish parliament elections which held on the 5th of May 2016, FMI-1A explained that addressing the attainment challenge was a priority for all the political parties. Expressing doubts about SSES reform, SMS1-A and SMSI-3A argued for a gradual approach to improving SSES rather than a complete overhaul of SSES via complete reform. The others seemed satisfied with the push for SSES reform as they did not state otherwise. SMS-1A’s doubt seemed to stem from how the PEF would be administered; while for SMSI-3A, the doubt seemed to arise from a distrust of the political impetus. The responses reveal the primary aim of SSES reform as addressing the poverty-related attainment gap. The responses also suggested that SSES reform was driven primarily by the political structures and instigated by low OECD PISA14 scores. All eight respondents alluded to the role of the Scottish government in the governance of school education services and in dictating the approach and focus of SSES reform. TECHNOLOGY AS DRIVER OF SSES REFORM

Three out of eight respondents believed that technological change is instrumental to driving SSES reform. The remaining five did not mention technology as a SSES reform driver. SMS-1A spoke about how the council updated their Information Communication Technology (ICT) infrastructures in the schools to accommodate technological changes in the

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society. MMS-1A explained that technology had evolved with school children now having more access to computers and tablets. The manager admitted that Council A responded by introducing the GLOW system. Authorized by the Scottish government, GLOW encourages flexible and autonomous working in school children while enhancing communications between school children and their teachers (Scottish Government, 2016c). According to the manager: My daughter’s gone into 6th year now. She would use GLOW to submit test questions to her teacher whereas we [her mother’s generation] would just do something at home and hand it in a handwritten format. She can type it, she can send it, she gets comments on it, she can update it, change it, re-submit it. Whereas we didn’t have access to those facilities, then. From a different perspective, SMSI-1A considered the rapid change in technology as a source of societal change, because young people may be employed in jobs that do not yet exists. This necessitates a reform in SSES, whereby children and young people are taught adaptive, transferable IT skills that prepare them for new types of jobs that will inevitably arise as technology continues to evolve. Although a lot more is needed than just transferrable IT skills as suggested in the preceding sections. Overview of External Institutional Structures

There was agreement across managerial levels on the role of politics and legislation, society and economy, and technology in driving school education reform in Council A. Senior and middle managers seemed to be more aware of the political terrain in relation to SSES reform, than the frontline manager. Due to the formers’ strategic roles, they engage more with the Scottish government and are responsible for strategy formulation; that is, translating Scottish government policies into action plans. This may explain their understanding of politics within the SSES reform context. On the other hand, frontline managers enact strategies handed to them by senior/middle management and so may not be as aware of political matters. There was understanding about legislation as driver of school education reform across managerial levels, probably influenced by need to adhere to legislation and sanctions associated with non-compliance. The role of socio-economic and technological factors in driving reform was obvious at senior and middle management levels but not at front line management level. Senior managers particularly, seemed more aware of the economic drivers of SSES reform, probably because they are responsible for budget planning and allocation, unlike middle and frontline management who may not be as involved. Additionally, the FMI is allocated additional funding to address the Attainment Challenge and as a result does not directly feel the impact of fiscal consolidation.

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Whilst SSES reform drivers were considered separately, the responses acknowledged that they are interconnected. For example, legislation was perceived as an outcome of political decision-making at strategic and implementation levels. Equally, respondents pointed out that technological change was a source of societal change, and SSES reform. Therefore, rather than single out one aspect (for instance, the Scottish Attainment Challenge), effective and sustainable SSES reform should seek to satisfy these interconnected priorities. The responses demonstrated that managers’ perception of external institutional structures driving SSES reform were largely influenced by their roles and responsibilities. This suggests that they did not “think outside the box” and so could not always adopt a more holistic view of transformative change. In addition to identifying external drivers of school education reform, it was necessary to identify internal institutional factors that could facilitate or hinder the reform process. This revealed the councils’ perception of and approach to (or lack thereof) social risk management. The facilitating factors are discussed first, and then the barriers. Internal Institutional Factors Influencing SSES Reform

Chapter 2 addressed research objective 2 by identifying and critically discussing key internal institutional factors capable of influencing (facilitating or hindering) PSR. This section addresses this objective from Council A’s perspective within the context of school education reform. FACILITATING FACTORS OF SCHOOL EDUCATION REFORM IN COUNCIL A

As presented in Table 4.3, respondents noted leadership and public participation as factors capable of facilitating school education reform in Council A. Leadership

Five (SMS-1A, SMSI-1A, SMSI-2A, SMSI-3A, MMS-1A) out of eight managers identified leadership as a facilitating factor of school education Table 4.3 Facilitating Factors of SSES Reform #

Internal Institutional Factors

Who

How

1

Leadership

SMS-1A SMSI-1A SMSI-2A SMSI-3A MMS-1A

• • • •

2

Public participation

SMSI-3A

Strong political and executive leadership Effective fund allocation Provides strategic direction Organizational culture encourages SSES reform/innovation and creativity • Appropriate legislation Employee participation

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reform in Council A; the remaining three managers (SMS-2A, MMS-2A, FMI-1A) did not. The former reported that strong political and executive leadership, effective fund allocation, appropriate legislation, provision of strategic direction, and enabling an organizational culture that encourages innovation and creativity could facilitate school education reform. SMS-1A described the twin roles of political and executive leadership in facilitating SSES reform. In the words of this manager: So, leadership comes from the political leadership, converts to policy and given to me as the chief executive and then we deliver on that. And in terms of closing the loop, the members [councillors] also have a role to scrutinise the performance of, the delivery of that policy. So, we have reports that go up and say, “we said we’dhave this done by this time”, or “we’re going to ensure a 10% improvement in our performance of the said category of the young people” and that gets reported back to council. And if we’ve achieved it, well, we usually get a pat on the back because we’ve achieved their political aspirations over and above that. If we don’t, we usually get challenged to do better. So, that’s effectively, our [executive leaders] score card of how we’re doing and delivering the policy for them [political leaders]. Building on this, SMSI-2A said that allocation of funds by the Scottish government allows a wider scope for innovation. In addition, council leadership is required to dictate the strategic direction and process of SSES reform. Addressing political leadership, SMS-1A believed that elected councillors were better informed about the needs of the community because they had closer community participation. By considering community needs during the development of their reform policies, they could gain relevant stakeholder support, thus facilitating the process. According to MMS-1A, SSES reform was facilitated by the ideas, perceptions, and priorities of the incumbent political administration. In line with the governing political party’s political priorities, SSES reform included the improvement of school education attainment, and structural reform of the schools’ estate, which is still ongoing. Executive leadership was considered by SMSI-3A as a factor that could facilitate SSES reform if it enabled an organizational culture that encouraged innovation and creativity. In a previous role as head teacher, this manager had the freedom to innovate and be creative. This led to the development of a support framework for children and young people that granted access to other relevant council services. From a leadership stance, SMS-1A and SMSI-2A noted legislation as a facilitating factor of SSES reform. Considering the Best Value Audit, they claimed that Council A had to self-evaluate to ensure that they were getting the best value for the council and its education services. The managers

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explained that the legislation on child protection guided the council in matters related to children and young people during SSES reform. Likewise, the Best Value Audit encouraged a culture of self-assessment. Public participation was another facilitating factor of school education reform in Council A and is presented next. Public Participation

Only one manager, SMSI-3A identified public participation as a facilitating factor of SSES reform; the other seven did not. SMSI-3A disclosed that employee participation rooted in the development and sustenance of a highly skilled teaching workforce could facilitate SSES reform. The manager expects that children and young people would benefit directly from findings of action research15 conducted by their teachers. Consequently, employees were identified as a key stakeholder group because of their ability to facilitate SSES reform. Leadership and public participation were also perceived as barriers to school education reform. The next section explores the reasons for this. BARRIERS TO SCHOOL EDUCATION REFORM IN COUNCIL A

Like the facilitating factors, leadership and public participation were listed as factors that could hinder SSES reform. As captured in Table 4.4, ineffective leadership, poor decision-making, inappropriate legislation and insufficient resources are components of leadership, which could hinder school education reform. Equally, poor employee participation was portrayed as a potential hindrance to school education reform. Leadership

Most (six) of the managers considered leadership as a potential barrier to reform. Only two managers did not discuss leadership in this context. SMS1A and SMSI-3A described political and executive leadership as potential Table 4.4 Barriers to SSES Reform #

Internal Institutional Factors

Who

How

1

Leadership

• • • •

2

Public participation

SMS-1A SMS-2A SMSI-1A SMSI-2A SMSI-3A MMS-2A FMI-1 SMSI (1)

Ineffective leadership Poor decision-making Legislation Insufficient Resources

Employee participation

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reform barriers. SMS-1A said that lack of effective leadership could hinder school education reform. According to the manager, if political or executive leaders did not understand their teams, they may not apply the right leadership model required to motivate them. Commenting on the PEF structure, SMSI-3A critiqued the Scottish government’s decision to transfer financial authority and governance of schools from the local authority to head teachers. This manager explained that this would cause a degree of divisiveness because schools would “look to their local circumstances, rather than to the wider societal impact that it [their actions] may have”. Interestingly, both respondents were in the executive leadership team of Council A and had considerable leadership experience. Their responses insinuated that ineffective leadership, that is, leadership devoid of the right skills (e.g., team knowledge, foresight, decision-making), would hinder school education reform. SMS-2A and MMS-2A described the technical drafting of legislation as tedious and problematic. This makes it difficult to transform as in the case of the Supreme Court’s ruling against the named person legislation16 (Nicolson, 2017). SMSI-2A commented on the potentially restrictive nature of legislation. While procurement legislation may be restrictive because it is time consuming, employment legislation does not permit short-term contracts which are required in some instances. Similarly, teaching unions resist some forms of reform, because they do not know if “they’re going to have the same terms, conditions and pay”. The need for consistent, sustainable, evidence-based, and researchoriented legislation, rather than frequently changing legislation was identified by SMSI-3A. From this manager’s perspective, the latter which gave rise to the current PEF situation in Scotland, is so because it is politically driven. In this instance, the manager linked the legislation supporting the PEF to political leadership, classifying leadership, and legislation as interrelating factors that could hinder reform. As discussed in the previous section, this is so because PEF can be divisive. SMS-2A, SMSI-2A, SMSI-3A, and MMS-2A disclosed three reasons why legislation could potentially hinder school education reform. They are: • • •

Lack of clarity in the technical specifications of legislation. Lack of evidence-based justification for creating and passing legislation. Restrictive nature of some legislation.

In addition to legislation, lack of human, financial, and material resources17 were considered as potential barriers to SSES reform by SMS-1A, SMSI2A, MMS-2A, and FMI-1A. Despite the ring-fenced funding allocated to education services, respondents identified fiscal consolidation as a severe limiting factor in SSES reform. Since a disproportionate amount of savings from other council services is required, there could be a reduction in cleaning regimes within a school, for example. Expounding on this issue, SMS-1A pointed out that in a school environment, “I may well have to say,

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‘right we’re doing 200 square meters an hour for a cleaner at the moment, when we have to do 250 square meters’”. Therefore, the amount of cleaning per square meter and the number of cleaners is reduced to conserve funds. In this way, the school environment and by extension the pupils may be exposed to the negative impact of fiscal consolidation. According to MMS-2A, this issue may be exacerbated by Council A’s relatively small population size which dictates the amount of fund allocated to it by the Scottish government.18 Nonetheless, senior managers are trying to protect education services as much as possible. Additionally, disproportionate allocation of funds could breed resentment between council departments because employees would be treated differently, as observed by SMSI-2A. FMI-1A touted insufficient human resources as another barrier to effective SSES reform as they may hinder or prolong effective SSES reform. Supply teachers provide teaching cover, thus enabling full-time teachers participate in relevant training (e.g., the attainment challenge training) and/or other professional development. Hence the current lack of supply teachers in Council A may delay professional development and effective SSES reform as noted by FMI-1A. Only this manager supervised staff training on the attainment challenge and was able to identify and discuss this issue. This was not the case with the other managers. SMS-1A also implied that SSES reform may be hindered or delayed owing to insufficient financial resources in other council departments. This implies that departments that support education services may be unable to contribute to SSES reform. Public Participation

Only one manager noted that an absence of employee participation could hinder effective SSES reform. The other seven managers did not identify poor public participation as a barrier to SSES reform. SMSI-3A explained that including teachers in SSES reform discourse has been the corner stone of educational change for decades. Teachers are knowledgeable about the educational needs of children and young people because of the close interactions existing between them and their pupils. Therefore, excluding them excludes this knowledge and could hinder effective SSES reform. Overview of Internal Institutional Factors

Considering facilitating factors of SSES reform, leadership was identified at senior and middle management levels. Respondents (SMS-1A, SMSE-1A, SMSI-2A, SMSI-3A, MMS-1A) explained that leadership could be enacted through political leadership (referring to Scottish government, and elected councillors) and executive leadership (referring to senior managers in Council A). They implied that these forms of leadership could be effective if there was mutual understanding of their roles and harmony between

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them. Also, the legislative environment could facilitate SSES reform because of its guidance and advisory role. Only one manager (SMSI-3A) recognized employee participation as a facilitator of SSES reform. The other seven did not. So, effective leadership (at both political and executive levels) and stakeholder (employee) participation were identified as prerequisites for SSES reform by Council A managers. There was unanimous agreement across managerial levels on the limiting potential of leadership. Managers with strategic responsibilities perceive leadership as a potential barrier probably because they have a broader view of legislation, strategy formulation, and resource allocation. Consequently, they can see how these factors may hinder school education reform. FMI-1A has a more significant implementation role and therefore, a more in-depth view of the aforementioned factors. This manager can see gaps between strategy formulation and implementation. For example, the manager supervises staff training on the attainment challenge and could see how limited numbers of supply teachers in Council A could negatively impact effective SSES reform. Interestingly, the role of risk management in influencing school education did not feature explicitly in discussions with respondents. However, implicit references were made to risk management in terms of encouraging an organizational culture of innovation (via appropriate fund allocation) and selfassessment (via Best Value Audit). Despite poor recognition of the role of risk management in school education reform, the following sections demonstrate that social risks can be manufactured/produced during school education reform. The sections explore the process of SSES reform between 2010 and 2018, focusing on the nature of associated social risks. 4.3.3 Process of SSES Reform: The SAC and Associated Risks An Overview

This section focuses on school education reform in Council A between 2010 and 2018. In addressing research objective 3, the section considers the nature of risks which children and young people may be exposed to, based on a 4Ps approach. Respondents spoke about the process of reform between 2010 and 2017/2018 although discussions concentrated more on school reform from 2015 because that was when the Scottish Attainment Challenge was introduced. Respondents said that the 4Ps approach provides opportunities to empower young people and build inclusive communities. These upside risks and opportunities are not discussed in this monograph as they fall outside its scope. The respondents were concerned about some risks with the reform of school education namely the potential for exclusion, inequality, and reductionism. As discussed in Chapter 3, these risks are called social risks because they can create “further socio-economic disadvantage, poverty, and/or marginalization of groups and individuals” (Asenova et al., 2015a, p. 4).

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Table 4.5 An Overview of Social Risks Associated with the 4Ps Approach in Council A S/N

People

Partnership

Performance

1 2 3

Exclusion Inequality Reductionism

Exclusion Inequality

Inequality

Prevention Exclusion

The tables in this section capture the number of respondents who identified a potential social risk in SSES reform. They capture the respondents’ occupation, their managerial roles, and levels of involvement in SSES provision, the causes of the social risk under discussion and those who may be impacted by the risk. This level of depth is required as this section specifically addresses research objective 3. Interview responses were analysed and coded with the aid of NVivo 10. Three specific themes associated with social risks emerged from the interview analysis. They are exclusion, inequality, and reductionism, presented in Table 4.5. SSES reform based on the partnership, people and prevention pillars may exclude groups of young people from reform initiatives if wrongly implemented. Likewise, the partnership, people, and performance pillars may further exacerbate inequality. The people pillar seems to be the only pillar that may introduce reductionist tendencies if not properly implemented (as captured in Table 4.6) and explained in the sections following. The next section explores these potential risks identified by council respondents and how they can impact children and young people. Exclusion PEOPLE PILLAR

Though deprived children are currently the focus of transformative efforts, SMS, SMSI, and FMI identified some additional groups of vulnerable children that could be excluded due to insufficient care from staff. SMS-1A and MMS-3A added that this insufficient care may be related to lack of adequate skills. As listed in Table 4.6, excluded groups include for example, those with ASNs, refugee children, those from black ethnic minority groups, and LAAC. Other groups comprise young people who were exposed to domestic violence. From a social work perspective, SMS-2A explained that exclusion of these vulnerable groups during the process of reform could further widen the attainment gap not because they struggle with school, but because of a societal culture that stigmatizes, discriminates against, and marginalizes them. No strategy was explicitly identified for addressing this risk, although the assumption was that this could be achieved by creating societal awareness around this issue.

Why (Reason)

Skills gap Societal culture. Insufficient focus on inclusivity and vulnerability. Domestic violence Poor public participation Unforeseen demographic changes in population and social strata Skills gap Poor public participation Antisocial behaviour/special education needs Funding focused exclusively on children from deprived homes identified using the SIMD index

S/N Managerial Role

SMS-1A SMS-2A

SMSI-1A SMSI-2A

SMSI-3A MMS-1A MMS-2A FMI-1A

1 2

3 4

5 6 7 8

Table 4.6 People Pillar – References to Exclusion as Social Risk

Subset of vulnerable children who are LAC No specification Subset of vulnerable children who are LAC Children from medium income families (MIF)

Subset of vulnerable children who are Looked After Childeren (LAC) All vulnerable children from deprived homes, those with ASNs, refugee children, those from black ethnic minority groups, and LAC. Children and young people exposed to domestic violence. No specification No specification

Who (Groups that may be excluded during SSES reform)

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Similarly, a societal culture of domestic violence could negatively impact the learning capacity of young people from such families. To address this risk, the council developed an innovative peer mentoring project in partnership with children services, education services, and the violence reduction unit of the police department. The project develops older school children as peer mentors. They educate their younger counterparts about domestic and gender-based violence, equipping them with skills and tools to challenge the assumption that these ills are acceptable. Another probable cause of exclusion cited by SMSI-1A and MMS-1A was poor public participation by parents because they failed to present and advocate for their wards’ needs. MMS-2 said this was being managed through capacity building activities that address poor participation and increase representation. These activities are funded by the European Social Fund (ESF) and the Fairer Scotland Action Plan (Scottish Government, 2016d). They are guided by: • • •

The strategy outlined in the Council’s SOA. Community Learning and Development (CLD) framework. Scottish government’s strategic guidance for CPP (Scottish Government, 2012c).

As observed by SMSI-2A, if the society becomes more affluent the reform initiatives may exclude some less deprived children because the focus is exclusively placed on deprived children. No strategies were identified for managing these risks. MMS-2A explained that children may sometimes become excluded from reform initiatives and by extension school provision if they had special educational needs or exhibited anti-social behaviour consistent with LAC. According to this manager, this risk is being managed by embedding restorative practices featuring greater emphasis on nurturing teacher-pupil, pupil-pupil, and teacher-teacher relationships. Implementation of such practices began in 2010 and is based on the council’s behavioural policy document. The manager reported that this risk management strategy can minimize overall exclusion rates in primary and secondary school pupils leading to better attendance. FMI-1A observed that efforts to close the attainment gap may reduce attainment in young people from MIF because they focus exclusively on those from deprived households as identified by the Scottish Index of Multiple Deprivation (SIMD) areas: Obviously, the aim is that we all raise the bar altogether to narrow and then close the gap. But for some parents, there is a worry that this might lead to too much emphasis on children who have lots of challenges in their learning and not being able to focus on [other] children who are desperate to learn and keen to progress.

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The attainment gap can be reduced by “levelling up or levelling down”. If pupils from MIF can be excluded from transformative initiatives, then levelling down to narrow the gap may be an unwelcome option. FMI-1A’s frontline managerial responsibilities and frequent communication with parents and teachers may have informed this perspective. SMS-1A and MMS-2A implied that such risks were being managed at implementation level. The managers suggested that transparent decision-making processes underpinned by effective communication and negotiation as articulated in the CLD framework could be effective in managing service users’ expectations. PARTNERSHIP PILLAR

The view held by SMSI-3A was that reform underpinned by the partnership pillar could potentially exclude some young people from reform projects/programmes leading to unequal provision of school education. This manager expressed concern that poor participation by parents during meetings meant that the solutions proffered by parents in attendance may not be sufficiently reflective of the wider population of children and young people. This could hinder effective reform because the wider needs of young people may not be fully considered in designing and delivering school education. No strategy was identified to manage this risk. However, MMS-2A mentioned that capacity building was used to manage the risk of exclusions associated with the people pillar as stipulated in council’s policy documents and the Scottish government’s guidance framework. It is therefore not clear if capacity building is also be used to address this issue. PREVENTION PILLAR

SMS-1A and SMS-2A noted that if resource allocation is diverted towards preventing future negative outcomes, the most significant risk associated with this pillar, would be the possibility of excluding some children and young people who are already experiencing high levels of need (see Table 4.7). There have been recent press reports that some English schools have been gaming the Attainment Challenge by excluding less academically able pupils in their admissions and, subsequently, by expelling less able pupils to Table 4.7 Prevention Pillar – References to Exclusion as Social Risk S/N Managerial Role Why (Reason)

Who (Groups that may be excluded during SSES reform)

1 2 3

SMS-1A SMS-2A SMSI-2A

Resource allocation Resource allocation Resource allocation

4

FMI-1A

Resource allocation

Deprived and vulnerable children Deprived and vulnerable children Children and young people without attainment issues No specification

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improve overall pupil performance (Flood, 2017; Busby, 2018). Further insight on how inappropriate implementation of the prevention pillar could constitute social risk is evident in FMI-1A’s quote: I remember we were told years ago, when you close a door to a pupil by excluding them, you’re opening a prison door and just all of that, they cost long-term, not just financially, the demands on services, never mind that they’re affecting individuals’ lives. I just can’t see that there’s another alternative to not trying to get it right the first instance. No strategy was identified for managing this risk. Conversely, the possibility of excluding young people who cope well with education in reform initiatives was another social risk identified by SMSI-2A. This could occur by allocating funds specifically to deprived young people to prevent further widening of the poverty-related attainment gap. The implication is that the attainment levels of those who already cope well with education could be reduced because of a failure to maximize opportunities for further development. No strategy was identified for managing this risk. This is probably because the PEF initiative which may exacerbate exclusion if wrongly implemented is still relatively new and managers may be trying to understand the nature of this risk. Nevertheless, SMSI-3A19 recommended that the exclusion risks posed by the PEF may be addressed through a whole system approach whereby all the professionals in education agree to focus on generating employment, regenerating the environment, and improving health and education. Still, this may be difficult to implement in an atmosphere of fiscal consolidation. To sum up, of the eight managers, only SMSI-3A linked the partnership pillar with the possibility of excluding young people from SSES reform initiatives (see Table 4.8); hence this issue does not seem to be sufficiently recognized and therefore may not be adequately addressed. All eight managers at strategic and implementation levels associated the risk of exclusion with the people pillar and four with the prevention pillar which shows some level of awareness of this risk. No manager associated the performance pillar with this risk, probably because the performance pillar focuses more on the council staff who are implementing reform rather than the service users who benefit from reform. Table 4.8 Summary – References to Exclusion as Social Risk Manager Levels

Total No of Managers

People

Partnership

Prevention

SMS SMSI MMS FMI

2 3 2 1

2 3 2 1

0 1 0 0

2 1 0 1

Empirical Research Findings from Council A 105 Inequality PEOPLE

Inequality caused by a widening attainment gap and inconsistent service delivery may arise from the Scottish government’s decision to bypass councils by devolving key decision-making directly to schools through the PEF initiative. Aware of the political mandate to reduce inequality via the Attainment Challenge, the SMS-1 noted that the process of implementing PEF could heighten inequality by introducing inconsistent service quality and curriculum across SSES (see Table 4.9). This manager stressed the potential risk of exacerbating inequality by alluding that the PEF can detract from a more holistic approach to the provision of SSES and pointed out that the potential negative impacts of PEF may be evident in the medium term but not in the short term: All our kids in Scotland should have access to the same opportunities and the same high standard of education right throughout the country. I believe in that. I’ve always believed in that. If you start then giving stuff to head teachers directly, they’re all different. And some of them may well stick with the rules as a standard but you’ll get somebody who is more maverick and may well want to go away and do their own thing and it may well have an impact four or five years before it comes out in the wash how that’s been the wrong approach. This quotation is a warning that impacts (whether positive or negative) resulting from new initiatives are not immediately obvious. SMSI-2A and SMSI-3A who are involved with the PEF at strategic decision-making and implementation levels expressed reservations about this approach. It is indicative that SMSI-2A who leads change in Council A’s primary and secondary schools, is responsible for ensuring high quality of learning and teaching in schools, and has operational experience as a head teacher, associates the PEF with inequality. This manager questions the introduction of the PEF because of potential for operational distractions and unrest in some schools. Since head teachers must add administrative Table 4.9 People Pillar – References to Inequality as Social Risk # Managerial Role Why (Reason)

Who (Groups that may be affected by the impact of inequality)

1 SMS-1A

Children and young people

2 SMSI-2A 3 SMSI-3A

Inconsistent service quality and curriculum Operational distractions Unaddressed poverty-related issues

Children and young people Deprived and vulnerable children

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functions and financial resourcing to their mandates, this organizational risk can lead to unequal provision and inconsistent quality of education services. Likewise, SMS-3A warned that if the wider issues causing poverty and deprivation remain unaddressed, the poverty-related attainment gap will remain. No strategy was identified for managing this risk, possibly because at the time of this research, the national framework for implementing the PEF was still being developed.20 PARTNERSHIP PILLAR

FMI-1A articulated the main aim of SSES reform in Council A as closing the poverty-related attainment gap. This manager expounded on the possibility of losing sight of the original reform aim with so many partners being involved. The foreseeable implications could be a further widening of the attainment gap and poor learning outcomes which exacerbate inequality. Local communities may also be affected if young people do not arrive at positive destinations. In FMI-1A’s words: Well, if the gap doesn’t close and if it gets wider, that will lead to poorer outcomes for more of our children. And by virtue of that, it affects all the community through all the things we talked about before; about what happens if they don’t have positive outcomes from schools.You know, they not being in employment or training … perhaps err … being involved in the justice system and benefits, etcetera. The other seven managers engage with service partners, teachers, and/or parents on attainment issues but not to the same extent as FMI-1A whose core focus is to address attainment challenge. This probably explains this manager’s ability to identify and link “widening attainment gaps” and “poor learning outcomes” with partnership-focused reform. While the FMI’s response indicates that this risk has not yet been addressed, SMSI-3A, MMI2A, and FMI-1A suggested that developing partnerships with the same reform agenda in mind could any risk associated with the partnership pillar. With a declining workforce brought about by fiscal consolidation, this might be difficult to achieve because of the time and work required to identify and develop relevant partnerships. PERFORMANCE

Respondents identified the potential to exacerbate inequality as the main potential social risk associated with the performance pillar (see Table 4.10). Expounding on the possibility of exacerbating inequality, SMS-2A argued that the attainment gap widens because of a failure to think holistically and address the root causes of the poverty-related attainment gap. This SMS suggested that this risk may be managed by ensuring that performance

Empirical Research Findings from Council A 107 Table 4.10 Performance Pillar – References to Inequality as Social Risk #

Managerial Role

Why (Reason)

Who (Groups that may be affected by the impact of inequality)

1

SMS-2A

2

FMI-1A

Unaddressed povertyrelated issues Skills gap

Deprived children and young people with attainment issues Deprived children and young people with attainment issues

measures focus on the right index because they may divert attention away from understanding the inter-relatedness of poverty, neglect and other social factors that may compound inequality. Again, this suggests measuring the measurable and ignoring the unmeasurable factors as identified in earlier sections. Notably, more managers linked SSES reform based on the people pillar with the risk of inequality, followed by the performance and then partnership pillars. This has certain policy implications because it conflicts with the recommendations of the Fairer Scotland Action Plan (Scottish Government, 2016d). FMI-1A noted that the attainment challenge is an innovative concept and has not been tried and tested elsewhere, which bears some level of risk with regards to its implementation. Ill-equipped workforce that lacks the expertise required to handle attainment-related issues and may unwittingly widen the attainment gap. The consequences would be a failure to arrive at positive destinations (or large numbers of young people who are neither in employment or training) and possibly widespread anti-social behaviour. FMI-1A addresses this risk by conducting collaborative pilot studies based on the council’s “start small, think big” philosophy where individual teachers try out and measure the impact of different approaches on a few children, before they can be implemented council-wide. Still, the manager accepted that “these are all still early days”; implying that the success of their approach may be evident in the medium to long term. The report to the Education Committee on Standards and Quality validated this strategy. The prevention pillar was not associated with the risk of inequality. In summary (see Table 4.11), the responses suggest that the potential for aggravating inequality, which has been associated with the partnership pillar, appears to be more evident during implementation. Table 4.11 Summary – References to Inequality as Social Risk Manager Levels

Total No. of Managers

People

Partnership

Performance

SMS SMSI MMS FMI

2 3 2 1

1 2 0 0

0 0 0 1

1 0 0 1

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So, whilst SMSI and MMS were aware of this risk at strategic level and offered suggestions on how it could be managed, the FMI alone could describe the nature andimpact of this risk on young people. Considering the people pillar, this social risk has been linked to the PEF and is apparent at strategic levels of SMS and SMSI only. This is probably because of its novel nature hence at the time of the interviews only senior management were involved for decision-making purposes. Also, it had not yet been implemented at school level. According to MMS-2A and the FMI-1A, social risks may be similar, different, or non-existent when considering the legal, policy, and/or implementation implications. Furthermore, the “inequality risk” associated with the PEF is a new initiative in school education reform, and so managers have not yet identified a risk management strategy. The potential for increasing inequality based on the performance pillar was obvious at strategic and implementation levels. At strategic level, it was linked to inadequate use of performance measurements and responses. This suggests that though this risk is yet to be managed, some plans were in place to address it. At implementation level, the risk was associated with the attainment challenge and was already being addressed. These responses demonstrate that the conceptualization of social risk including potential risk sources/causes could vary depending on managerial levels, roles and/or responsibilities. Reductionism PEOPLE

Reductionism is “an attempt to explain a complex inter-related whole in terms of its simpler elements or parts, or in terms of elements belonging to a lower level of phenomena” (Sloane, 1945, p. 217). Here, “complex interrelated whole” refers to the multifaceted interaction between young people, local communities and the wider society who benefit from the SSES reform. Considering wider societal needs, SMS-1A noted that exclusive focus on addressing the attainment challenge can result in slow recognition and development of wider cognitive non-academic skills in young people. By ignoring the diverse needs, abilities, and aptitudes of young people, including current and projected socio-economic needs, the people pillar could lead to a reductionist approach. SMS-1A and SMS-2A explained that SSES reform should be a “whole system approach” accommodating health and social care issues and not just educational attainment; without which learning, may be hindered. Health, social care, and educational issues are such a big and diverse area that councils may simply not be able to consider all of them simultaneously and effectively (see Table 4.12).

Empirical Research Findings from Council A 109 Table 4.12 People Pillar – References to Reductionism as Social Risk S/N

Managerial Role

Why (Reason)

Who (Groups that may be negatively impacted by reductionism)

1

SMS-1A

2

SMS-2A

3

SMSI-2A

Non- academically inclined children and young people Vulnerable children and young people Children and young people

4

SMSI-3A

Narrow focus on attainment challenge Narrow focus on attainment challenge Narrow focus on deprived children Unaddressed povertyrelated issues

Deprived children and young people

So, whilst the “whole system approach” may seem overambitious or unrealistic, there is recognition of their interaction. The whole system approach therefore appears to be an adaptive solution to an adaptive problem (see Section 2.5). SMSI-2A stressed that narrow focus on deprived children can make reform models and processes unsustainable and unadaptable, which could negatively impact overall academic performance of young people in the long term. SMSI-3A pointed out the futility of targeting funds at deprived young people without addressing the underlying causes of societal poverty including poor housing, lack of employment, alcoholism, and other socioeconomic issues to which parents and carers in deprived households are exposed. This manager noted that: … putting money into education to try to transform young people’s opportunities and to prevent those negative outcomes, if you don’t address the issues that are causingpoverty for people in society, you will never be able to close that gap. SMSI-2A and SMS-3A have in-depth knowledge of how reform is implemented, thus their responses addressed the strategic (unsustainable reform models) and implementation (failure to close poverty-related gaps) aspects. All respondents noted that society would be negatively impacted by reductionism, although there seemed to be no organizational strategy targeted at managing this risk. Thus, this risk may have not been addressed. This is probably because these senior managers seem to believe that the peoplefocused transformative strategies like the attainment challenge act like policy directives, allowing them little or no input in the decision-making processes.

4.4 Concluding Remarks Data triangulation based on documentary and interview analysis yielded interesting results. In some cases, both groups of data were aligned; in

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others, they were not. Findings from documentary and interview analyses suggest that the socio-economic imperatives for SSES reform remained similar from 2004 to 2018. They had to do with depopulation, demography, child poverty, and inequality issues in the council area. Favourable budget allocation, fiscal consolidation, societal recognition of educational values, skills deficit, societal changes, and societal inequities were identified as additional socio-economic imperatives for reforming school education. The interview analysis also suggests that legislative and political imperatives were more prominent from 2015 onwards, and instrumental to reforming school education by addressing the SAC. Likewise, the technological imperatives for reforming school education were more prominent from 2015. Politics, legislation, and economy were identified as major institutional factors driving reform in school education delivery from 2015; whereas from 2004, documentary analysis indicate that major drivers were politics and socio-economic factors. Still, both forms of analyses illustrate the interconnectedness between external institutional factors, exposing their role as drivers of SSES reform in Council A. From documentary analysis, the key internal institutional factors capable of influencing (facilitating or hindering) SSES reform were identified as public participation, leadership, and risk management. Organizational risks (financial, operational, and reputational risks), including risk owners and risk management, were clearly articulated in council documents. If there were social risks, they were not identified, acknowledged, or reported. These findings differed slightly from those from the interview analysis. Like findings from the documentary analysis, respondents considered leadership and public participation as critical to successful and sustainable SSES reform. Whilst they failed to explicitly identify risk management as relevant to this process, they could identify the potential negative social impact that the 4Ps reform approach could have on school children, young people, and the society. Accordingly, three different forms of social risks (exclusion, inequality, and reductionism) were associated with the 4Ps approach to reform. These social risks may be due to operational (skills gap/employee distractions), and socio-economic issues (poverty) as cited by six respondents on two different occasions. Interestingly, organizational culture did not feature in these discussions. Documentary and interview analysis suggest that in some cases, Council A is still conservative in the sense of being reluctant to embrace reform in a proactive rather than reactive way. For example, embracing a social risk governance approach without being mandated to do so by the Scottish government. In other areas the council is more proactive. For example, developing and executing a behavioural policy document to address school exclusions resulting from anti-social behaviour. Respondents had different ideas of what constituted social risk sources. Political issues relating to resource allocation were identified by five respondents as a social risk source. Following these closely were other operational issues like inconsistent service quality and narrow focus on

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addressing attainment issues identified by four respondents, and poor public participation identified by three respondents. Socio-economic issues relating to demography and societal culture were each cited by one respondent. Of the identified risks sources, only poverty issues, demographic issues and poor public participation were managed according to council policies, although the approaches were not explicitly articulated as social risk management. This suggests that council managers are aware of and can conceptualize social risks. Yet, they do not articulate them as such. This is probably because there are no explicit discussions about it at the macro socio-political institutional level of the Scottish government, mesoinstitutional level of the council, or micro-implementation level of the heads of department and head teachers. This may impact their approach to social risk management as they do not seem to have a systematic, holistic, well-articulated, transparent framework which could be adapted to address different types of social risks that may emerge during or be exacerbated by SSES reform. Despite respondents’ references to the risks of exclusion associated with the partnership and prevention pillars, no strategy was identified for managing these risks, meaning they may not yet be addressed. Regarding the plethora of exclusion risks associated with the people pillar, only SMS2A and MMS-2A identified the council’s approach to managing this risk. This approach was corroborated by the council’s capacity building and behavioural policy documents. Likewise, no strategy was identified for managing the risks of inequality associated with the partnership and people pillars. As presented by FMI-1A, performance-related inequality risks were being addressed by “start small, think big philosophy”, while SMS-1A spoke about how the council’s performance measurement framework was used to address this risk. Both strategies aligned with the council’s generic risk management strategy. People-related reductionism risk was identified by SMS-1A, SMS-2A, SMSI-2A, SMSI-3A, but no-risk management strategy was identified, also suggesting that this risk is not being managed. Apart from discussions around addressing inequality and attainment gaps, social risk management was not explicitly discussed in council documents, although it was being clearly understood during the interviews. There seems to be no concerted approach or knowledge on how to manage these social risks. Additionally, the perceptions of risks amongst the managerial group, differ quite substantially. As shown from the interview data, this may be due to managers’ variable knowledge about risk or the councils’ approach to risk communication. This issue has been explored in Section 6.3.2. Overall, the evidence from the documentary and interview analyses reveals the council’s silos approach to risk management remains within the boundaries of conventional or compliance-based risk management, rather than being extended into the reform scenario. Most importantly, it suggests that reform-related social risk is under-recognized and under-reported; implying that managers were either unaware of social risks and their impact

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or fail to consider such during strategic planning, decision-making and/or implementation of reform initiatives. This may also be because of the difficulties associated with measuring social risk. Consequently, risk management practices in Council A do not seem to be fully fit for purpose in mitigating social risks associated with transformative change when viewed holistically. In other words, even if the risk management practices developed by Council A were optimal in successfully mitigating social risks associated with incremental change in school education and other services (which this research has not tested), the same cannot be said of transformative change of Council A’s school education service. This conclusion is supported by the previously noted absence of discussion of social risks in Council A’s documents and there being no explicit recognition and/or acceptance of the need for a systemic approach to their mitigation by managers during their interviews. This has practical implications relating to the need to train council staff on how social risk can be identified, conceptualized, reported, managed, monitored, and governed. In terms of the policy implications, if social risks are not managed, they may evolve into strategic risks with potentially farreaching negative impact on political and socio-economic structures. The social mechanism underpinning social risk (re)production and management is explored in more detail in Chapter 6. Additionally, comparative analysis on results from Councils A and B are presented in Chapter 6. Like this chapter, Chapter 5 presents primary research results on: • • •

External institutional factors driving school reform in Council B. Influencing factors of the reform process. Associated social risks and how they are currently being managed.

Notes 1 In-depth discussions on PCCPT can be found in Section 3.2. 2 In-depth discussions on PCCPT can be found in Section 3.2. 3 Like the SLR (see Chapter 2), the year 2010 was selected because it represented the peak of the global financial crisis, thus acting as a critical juncture or driver of PSR in most countries. From an SSES perspective, the year 2010 was instrumental because it marked the start of fiscal consolidation in Scotland. Since this represented a change in Scotland’s socio-economic context, it was necessary to understand the impact (if at all) this may have on SSES reform. 4 The 2004 documents capturing school reform in Council A were unavailable as separate reports, but the information was captured in other documents. 5 The content and focus of reform are described in Section 3.2.3. 6 The role of politics and legislation as drivers of SSES reform is discussed in Section 1.7.2. 7 Internal institutional factors identified in Chapter 1, Section 1.8 differ from those identified and discussed in this section. This is because Section 1.8 only provides an overview of these factors and identifies need for a more systematic approach to identify them. This was the focus of the SLR presented in Chapter 2, where leadership, risk management, and public participation were identified as internal institutional factors.

Empirical Research Findings from Council A 113

8

9

10 11 12 13 14 15 16 17 18 19 20

Therefore, discussions in Chapter 2 align more with discussions in this section and in Section 5.2.2, where similar internal institutional factors were identified and discussed. The SLR presented in Chapter 2 identified leadership, risk management and public participation as internal institutional factors capable of influencing PSR. Of the three factors, the role of risk management (particularly social risk management) in PSR was under researched despite its perceived benefits; hence the focus on this area of analysis. In keeping with the intent of the duty, public bodies must minimize potential social risks by assessing the impact of PST on service users prior to, during and after implementation of their existing and new policy processes ( COSLA, 2017). The duty is linked to SSES reform through the Child Poverty (Scotland) Act, Children and Young People (Scotland) Act 2014, and Education (Scotland) Act 2016. The 4Ps approach to SSES reform is discussed in Sections 1.6.2, 1.7.3, and 3.2.4. Discussions in Background to Public Service Provision and Reform located in Section 1.7.1, provide relevant information on the SAC. Equality impact assessments (see people-focused legislation in Section 1.7.2) are intended to assess service delivery and reform to identify any potential negative impact on service users. The manager referred to the tattie holidays during the Victorian era when children picked potatoes during the mid-term break. This was necessary because of the agricultural economy in the United Kingdom at that time. OECD stands for the Organisation for Economic Co-operation and Development and PISA for the international student assessment ( Adams et al., 2016) as previously introduced in Chapter 1. Action research is a systematic inquiry process undertaken for and by participants to improve learning and teaching in their practice ( Sagor, 2000; Hines et al., 2016). In an SSES reform context, the Named Person is someone responsible for monitoring the welfare of a child, young person, and/or their parents by providing advice, direct support, and assistance with service access. These were classified under leadership because leadership is responsible for resource allocation. In Scotland, funding allocation is directly proportional to council size. This manager’s views on PEF were not specific to the prevention pillar alone, which is why this view was not captured in Table 4.7. The national framework for implementing PEF was published months after data collection.

5

Empirical Research Findings from Council B

5.1 Introduction This chapter is based on Enang et al.’s (2021) article on “Implementing New Funding and Governance Structures in Scottish Schools: Associated Social Risks”, published in Public Money and Management. It partly addresses research objectives 1, 2, and 31 of this monograph. For reasons of anonymity, interview transcripts are not attached. The chapter follows the structure of Council A (see Section 4.1). The documentary analysis section is presented first. It contains findings from the council documents which are critically appraised. Objective 1 is partly addressed through discussion on the external institutional structures (politics/legislation, socio-economic conditions, and technology) driving Scottish School Education Services(SSES) reform in Council B. The internal institutional factors influencing the reform process are presented next; thus, addressing research objective 2. Thereafter, Objective 3 is addressed focusing on SSES reform between 2005 and 2018, including the associated risks and their management. The year 2005 was selected because that was when the earliest information on the reform of Council B schools was available. Following the documentary analysis is the interview analysis that covers the period between 2010 and 2018 and addresses research objectives 1, 2, and 3. The chapter concludes by presenting salient points from observations in relation to Council B.

5.2 Documentary Analysis 5.2.1 Relevant Documentation

For the documentary analysis, 81 documents were reviewed. As with Council A, the information was gathered from corporate documents published by Council B, the Scottish Government, the Council’s external auditors, and other relevant secondary data (Wilson, 2014). To ensure anonymity, these documents are not presented here. The documents included for analysis are those that: DOI: 10.4324/9781003154327-5

Empirical Research Findings from Council B 115

• • • • •

provide background information on Council B, including contextual issues, refer to school education delivery and reform in Council B, provide historical data between 2005 and 2018, discuss the Council’s perception of risks associated with school reform, and present independent analysis of risks associated with school reform in Council B.

5.2.2 Context and Content of SSES Reform in Council B External Institutional Structures SOCIETY AND ECONOMY AS DRIVERS OF SSES REFORM

Council B is in a large, predominantly rural area. There is relatively small, dispersed population with characteristics that differ significantly across regions. So, services are tailored to address the specific needs of each subregion. For instance, education services collaborate with social work to deliver specialized services to vulnerable communities. However, it may be difficult for minority and relatively small groups to access these specialized services in a consistent manner because of how geographically dispersed the communities are. There are also difficulties in recruiting social work staff in the more rural regions of Council B. 45.8% of Council B’s population live in such rural areas2 and about 19.6% of the population live in remote rural areas. Roughly, a fifth of Council B households do not own a vehicle; making it difficult for service users to access key services. These challenges could have a negative impact on the delivery of school education services in Council B, hence the need for reform. Council B has significant natural resources but lacks large economic activities. Although economic growth in the area is slightly below the Scottish average, employment rates are higher than the Scottish average. This may be because there are many self-employed people, or people working in small businesses. Council B has a relatively low wage economy, a low skilled and declining workforce, and high levels of youth unemployment. As highlighted in Council B’s Improvement Plan, “82.4% of income deprived and 82.8% of employment deprived people living in Council B do not live in what are commonly identified as the most deprived areas”. Therefore, such populations, including children and young people, may be inadvertently excluded from reform initiatives or resources earmarked for deprived communities, despite their need for such. An overall population decline of 6.1% has been projected for Council B by 2037. By 2030, a population decline of 3% is expected in Council B’s region, while a 2% decline has been projected in the under 16-year-old

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Empirical Research Findings from Council B

population. This contrasts with the Scottish average where both figures are projected to rise (NRS, 2014). A 10% decline in the 18-year-old and below population has been projected by 2039, while a 25% increase in the 65–84-year populace is expected by 2037. Despite outward net migration of younger people, the main cause of depopulation in the Council B region is an increase in death rates (NRS, 2014). These factors weaken Council B’s socio-economic environment. Council B’s ability to attract and retain young people in the area is therefore critical to their economic regeneration and is the Council’s major objective. Preparing young people for employment and adulthood by delivering excellent and equitable education services is one of the ways for Council B to achieve this. Hence, the annual budget for Council B’s Education Directorate comprises almost 50% of its total net revenue. Yet, education services may still be impacted by ongoing fiscal consolidation because they are required to deliver efficiency savings. This is compounded by the national restrictions to maintain teacher numbers and the associated high teaching costs. Additionally, education services are affected by other Council services experiencing fiscal consolidation. Weakening of the socio-economic conditions exacerbates poverty and inequality. There are only small pockets of deprivation and poverty in Council B. Yet, they are not identified by the Scottish Index of Multiple Deprivation (SIMD) poverty measurement because it concentrates on identifying area-wide poverty, rather than individual poverty. Poverty has a negative impact on educational outcomes and is demonstrated by the existing attainment gap (especially in numeracy and literacy) between high- and low-income groups (Sosu and Ellis, 2014). One way for Council B to deal with poverty and the attendant inequality is by raising overall school attainment. A combination of partnership-working, universal support, and targeted interventions for young people is required to address this. One of the Council’s approaches to dealing with inequality issues is by using its Scottish Attainment Challenge fund and Pupil Equity Fund (PEF). Dealing with inequality epitomizes the content and focus of reform3 and is a priority for Council B as outlined in their Children Services Plan, Education Service Business Plan, Education Service Report, and Single Outcome Agreement (SOA). From this perspective, underlying political and socio-economic factors (societal inequalities, economic and demographic challenges) drive school education reform in Council B. POLITICS AND LEGISLATION AS DRIVERS OF SSES REFORM

As reported in Section 1.7.2, the imperatives for Public Service Reform (PSR) in Scotland reside within external institutional structures including political, legislative, and socio-economic changes. There were

Empirical Research Findings from Council B 117

no clear boundaries between political and legislative issues in reviewed documents as both were discussed in tandem. Thus, discussions on both are presented here. The Scottish Government drives school education provision and reform in Council B via a range of acts and initiatives. They include: • • • • • • •

Additional Support for Learning Act (2004) revised in 2009, Curriculum for Excellence (CfE), Children and Young People (Scotland) Act 2014, Getting it Right for Every Child (GIRFEC), National Improvement Framework, Standards in Scotland’s Schools Act, and Scottish Negotiating Committee for Teachers’ (SNCT) agreements.

The reform of Council B’s education service is thus underpinned by government initiatives like the National Improvement Framework.4 As indicated in the Education Directorate’s Business Plan, the service is responsible for the achievement of Council’s priorities 25 and 36 and contributes significantly to the achievement of priorities 17 and 4,8 summarized thus: • • • • •

Develop better skilled workforce and communities, and generate sustainable well-paid employment through the development of a diverse economy; Tackle inequalities by raising attainment and ambition, ensuring early intervention, particularly to protect the Council’s most vulnerable children; Invest in the building of community-focused, 21st century-compliant schools; Ensure that decision-making is built around individuals and local communities, and empower them to optimize their assets; and Ensure equal opportunities.

Education services in Council B contribute significantly to the measures outlined in the SOA. The overarching aim of education delivery and reform in Council B is therefore to “ensure that all young people become successful learners, confident individuals, effective contributors, and responsible citizens”. This is based on GIRFEC and CfE and driven by partnership working. For service users, partnership working can improve outcomes by providing access to a variety of community opportunities and services. For staff, it improves service efficiency and reduces service duplication across service providers. According to the Education Services Business Plan, Council B achieves this by focusing on addressing the needs of children and young people as articulated in GIRFEC and CfE. It also aims to:

118

•

•

Empirical Research Findings from Council B

Improve partnership working with parents, multi-agents, professional learning groups, Community Learning and Development (CLD) partners, including collaboration with Care Inspectorate and Education Scotland. Streamline business processes, and develop transformational leadership, staff capacity and professional autonomy by promoting a culture of innovation, collaboration, and learning and sharing.

The SOA (Scottish Government, 2012b), GIRFEC (Scottish Government, 2012e), CfE (Scottish Government, 2016e), National Improvement Framework (Scottish Government, 2016f), and CLD partners (Scottish Government, 2012c) are all initiatives of the Scottish Government. These evidence the Scottish Government’s role in driving school education reform in Council B. Still, changes in the society and economy are additional external institutional drivers of reform in the Council, which are discussed next. Internal Institutional Factors Capable of Influencing SSES Reform

Research objective 2 was addressed in Chapter 2. The chapter identified and critically analysed key internal institutional factors (leadership, risk management, and public participation) capable of influencing PSR.9 Similarly, primary research data from Council A corroborated these findings as illustrated in Chapter 4. This section partly addresses research objective 2 based on documentary analysis. It supports findings from the aforementioned sections on influencing factors of PSR in SSES. LEADERSHIP

The four components of Council B’s financial efficiency plan are “more with less”,10 spend control, budget strategy and a business reform programme. The later aimed to promote service improvement and efficiencies through fundamental and sustained changes to service operation and delivery within Council B. Corporate leadership was identified as relevant to achieving this. According to a report prepared for the Accounts Commission by the Audit Controller, Council B’s political leadership was criticized for failing to provide a coherent strategy to monitor the Council’s performance. Likewise, Council B’s executive leadership was criticized for neither coordinating the execution of strategic objectives nor adopting a culture of consistent service improvement in the Council. These perceived weaknesses in political and executive leadership may have been due to changes in the Council’s ideological disposition regarding public service delivery and reform as no political party held majority administration.

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The Accounts Commission raised some concerns relating to: •

Weak political and executive leadership: • • •

•

referring to lack of clear strategic direction by political leadership, and poor coordination and clarity provided by senior managers on the execution of strategic objectives. Insufficient political leadership in performance scrutiny and performance management due to vague articulation of councillors’ responsibilities. Poorly developed corporate approach to efficient and effective management of council staff.

Organizational culture: referring to ineffective performance management and an absence of a continuous improvement culture.

These leadership issues hinder the improvement of service quality and prevents the Council from securing best value in its approach to work. Strategies for addressing these were provided and executed leading to improved political and executive leadership. This was evident in the 2016/17 progress review conducted by the Care Inspectorate and Healthcare Improvement Scotland services. The review highlighted improvements in the leadership and improvement activities within education services. Also noted were the strong leadership in Council B’s education directorate, appropriate governance structures to ensure well led and organized education delivery, and a robust quality improvement framework. Likewise, the review noted that the Council had developed strategies to improve educational outcomes by tackling attainment and inequality issues with its Scottish Attainment Challenge fund. Plans to use the PEF for the same purpose were underway. Council B believes that the delivery of an effective, integrated, and localized platform for children’s services depends on a visible model of collaborative leadership. This is required to promote and create partnership working, and cultural change in Council B. To this end, collaborative leadership in Council B was in the form of partnership arrangements between council departments. The creation of chief officer’s group, strategic planning groups, and children’s service executive group demonstrates this. Within this leadership arrangement, there were clear lines of responsibility, with managers answerable to elected leaders, chief executive officers, and board members. Thus, responsibility for effective and sustainable SSES reform rests on political leaders and managers with strategic and frontline implementation roles. In terms of risk management, Council B’s Internal Audit Committee assume leadership role in embedding risk management processes council wide. The Council’s 2014 Assurance and Improvement Plan highlighted

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the importance and role of political leadership (elected members) in undertaking scrutiny activities to drive service improvement and effective performance in the Council. Involved in the development of Council B’s corporate risk register are the Corporate Management Team, and Directors and Heads of Services at strategic level; and service committees at operational level. This shows that overall responsibility for risk management lies with Council B’s leadership team. The next section examines this in more detail. RISK MANAGEMENT

Risk management contributes significantly to management processes in Council B because it can lead to service improvement and sustainability. The strategic risks identified in Council B’s external annual audit reports published between 2006 and 2016 were identical. They included but were not limited to legislative risks (relating to statutory performance indicators), financial risks (relating to fiscal consolidation), human resources risks (relating to workforce consolidation), performance management risks, and IT risks (relating to failing computer systems). Those related to structural school reform, that is the regeneration of the schools’ estate were financial and time-bound project risks. Planned management actions for addressing these risks, along with the responsible manager, and target date were included in the reports. Whilst Council B’s financial management arrangements were sound, there were still substantial financial risks around the ability to balance fiscal consolidation with increasing demand for public services and investments in the Council’s infrastructure. Also, there were issues associated with the Council’s approach to risk management. Between 2006 and 2012, the external auditors advised the Council to adopt a more comprehensive approach because the current models were not sufficiently robust. In terms of best value and continuous improvement, Council B’s internal arrangements were deemed to be significantly weak. There was no corporate culture for performance management, or service improvement. Additionally, the management and planning processes tied to their asset and risk management practices were underdeveloped. Consequently, the Council’s strategic planning processes were not informed by risk management, though some improvements were evident. Moreover, the participation of political leaders (elected members/councillors) in risk management activities was low. To address this and further embed risk management in its operations, Council B aims to train elected members and staff by October 2018. A risk management toolkit and SharePoint web portal have been developed to provide risk management information to staff. The Council’s poorly updated risk registers only listed high-ranking corporate risks, excluding

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service-level risks (for example those associated with school education services), action plans and timelines for addressing them. Without proper risk management structures, the realization of strategic objectives may be hindered; the knock-on effect on service users, including young people being poor service delivery. Basically, Council B’s risk management processes were perceived as weak and their approach to addressing this was considered slow by the external auditors. From 2013, the auditors expressed satisfaction with the Council’s risk management arrangements, although they suggested that links be established between risk management priorities of senior management, corporate risks, and the risk impact associated with non-achievement of council priorities. This would ensure council-wide integration of risk management functions, enabling senior management to concentrate on strategic risks and their management, and present comprehensive action plans to the Audit, Risk and Scrutiny Committee, and the Corporate Management Team. As reported in Council B’s education services business plans, the service operates within a distinct planning, reporting and risk management structure that links national, local, council and service objectives and outcomes. The Audit, Risk and Scrutiny Management Committee consider and direct Council B’s risk management processes and are responsible for mitigating any risks encountered by the council. Essentially, they are concerned with managing organizational risks. Although no references were made to social risks either implicitly or explicitly in the 2017 Audit, Risk, And Scrutiny committee meeting reports, discussions in two of the 2018 committee reports included PEF and the need to update committee members in September 2019, two years post execution of the fund. This evidences the committee’s growing awareness of the need to include service reform matters and possibly the attendant social risks in committee discussions. It aligns with the committee’s duty to ensure “independent assurance of the adequacy of the risk management framework and the associated control environment within the Council to provide reasonable assurance of effective and efficient operations and compliance with laws and regulations”. This is relevant as unidentified and untreated social risks to children and young people during education service reform bridges laws and regulations like the Audit of Best Value and Community Planning, the Socioeconomic duty, Children and Young People’s (Scotland) Act 2014, GIRFEC and others. Processes in Council B are risk assessed in two ways. First, through corporate guidelines which provide a framework for assessing the impact of new policies or changes to policies. Second, through risk registers. Processes are high risk when litigation may be involved. For example, lack of teaching and/or learning experience and reduction in internal capacity for professional development. They are medium risk if information circulated is not parent friendly or if pupil personal information is shared.

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They are low risk if the policies uploaded to the website are outdated. Since social risk does not explicitly appear in any council document including that of education services, it may feature in this ranking implicitly, rather than explicitly. Council B’s approach to risk assessment has evolved over time. The services’ 2011 risk register listed the following as key risks: • • • • •

Loss of business continuity. Overspend on projected budget. Health and safety risk to children enroute school. Weak leadership capacity. Potential failure to develop educational provision based on innovative projects.

While the 2011 risk register concentrated on organizational risks that may prevent the service from realizing the objectives outlined in its improvement plan and SOA, the 2018 version includes organizational and social risks. The social risks are not described as such in the risk register. Instead, they are embedded within the four themes as illustrated in the italicized sentences in Table 5.1. Table 5.1 Council B’s Education Directorate Risk Register for 2018 Theme

Risk Description

Statutory

Failure to realize statutory obligations related to education delivery and to address stakeholder expectations including pupils and parents Failure to meet legislative learning and training requirements of the workforce Inability to deliver positive outcomes and effectively address the needs of children and young people due to poor public participation Failure to adhere to Community Learning and Development requirements Failure to reduce attainment gap for Council B’s most vulnerable children and young people Systematic failure which interferes with the protection of the Council’s most vulnerable citizens Failure to deliver priorities at national and local level leading to reputational risks Failure to attract and retain highly skilled, motivated staff in Education services Failure of support systems and processes managing pupils and change processes in schools Failure to deliver legislative duties due to low numbers of skilled social workers Failure to complete new building projects

Partnership

Vulnerability

Resourcing/Financial/ Capacity

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This demonstrates increased social risk awareness, though not strictly confined to SSES reform. These social risks are poor learning outcomes and inequality of outcomes. Table 5.1 demonstrates that failure to deliver positive outcomes, effectively address the needs of young people, attract, and retain highly skilled education and social work staff, and support systems may lead to poor learning outcomes. Inequality of outcomes may occur due to a failure to reduce attainment gaps between the Council’s least and most vulnerable young people. As detailed in previous SOAs, the Local Outcome Improvement Plan (which now replaces SOAs, the Children (Scotland) Act 1995, the Adult Support and Protection (Scotland) Act, 2007, and the Social Work (Scotland) Act 1968, social work services take the lead in assessing and managing the risks and harm to vulnerable children, adults and communities. This relates more to social policy risks as opposed to social risks. However, the Council B’s education service’s 2018 education risk register suggest, the service is gradually becoming more aware of social risks and perhaps more adept in managing them. PUBLIC PARTICIPATION

In Council B, public participation occurs through the partnership approach. Like Council A, the Community Planning Partnerships (CPP) is one way in which the partnership approach, and by extension public participation manifests. Their relevance including associated risks is discussed under the Partnership approach to SSES reform in Section 5.2.4 and so is not discussed here. In terms of leadership, Council B believes that the delivery of an effective, integrated, and localized platform for children’s services depends on a visible model of collaborative leadership. This is required to promote and create partnership working, and cultural change in Council B. To this end, collaborative leadership in Council B is in the form of partnership arrangements between council departments. The creation of chief officer’s group, strategic planning groups, and children’s service executive group demonstrate this. Within this leadership arrangement, there are clear lines of responsibility and managers are answerable to elected leaders, chief executive officers, and board members. Thus, responsibility for effective and sustainable SSES reform rests on political leaders and managers with strategic and front-line implementation roles. Regarding risk management, Council B managers believe that it contributes significantly to the management processes because it can lead to service improvement and sustainability. There are no explicit references to social risk in corporate documents. Still, contents of Council B’s education service’s 2018 education risk register suggest that in recent

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times, the service is assuming a more active role in identifying and managing social risks. The following sections focus on two distinct approaches to school education reform in Council B and associated risks. As in Chapter 4, the aim is to see if social risk is explicitly acknowledged in the reform process, and to understand the nature of potential social risks. 5.2.3 Process of SSES Reform: Regeneration of the Schools’ Estate and Associated Risks

The overarching aim of school education delivery in Council B “is to ensure that all young people become successful learners, confident individuals, effective contributors and responsible citizens”. School education reform in Council B between 2005 and 2018 aimed to regenerate the schools’ estate. Simultaneously, there was some evidence of the Council’s intention to improve learning. To illustrate, there were projects to improve child learning, introduce free school meals, increase in preschool hours, and other residential childcare projects. Financial risks associated with these reform initiatives were identified and discussed in the Council’s 2009/2010 external audit report. No explicit references were made to social risk and/or its management prior to, during or after the implementation of these initiatives. Regeneration of the schools’ estate in the Council B region is based on the School Estate Management Plan (SEMP) and funded through publicprivate partnership (PPP). This form of reform began in 2005 and is ongoing. It includes the largest project undertaken by Council B, costing approximately £120 million. Over a 30-year period, the Council is committed to paying a unitary fee towards the provision, maintenance, and facilities management of 10 new schools. Regeneration of the schools’ estate in Council B is expected to: • • • • •

Enable the adoption of modern curriculum and modernized teaching methodologies through provision of suitable teaching facilities. Deliver a network of modernized schools suitable for 21st century. Enable lifelong learning and make Council B the preferred location to learn, live, grow, work. Hasten community renewal by introducing Broadband Technology i.e., community development. Enable economic regeneration, and improve life quality and stakeholder (learners, cares and parents, Council staff and relevant agencies) participation in the process of learning.

The most prevalent project risks associated with regeneration of the schools’ estate were financial risks. They manifested during the PPP

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bidding process and related to funding issues and residual value. The funding issues may be related to the strict risk-return criteria implemented by financiers following the 2007/2008 global financial crisis (Asenova and Beck, 2010; Connolly et al., 2011). These risks were identified beforehand, and risk workshops were organized to address their management. Still, funding issues persisted. The residual value risk was managed in collaboration with the private company by constructing buildings that can serve alternative commercial purposes. A risk register was provided for the project and key project risks were constantly scrutinized by the Project Board and Team. Planned management actions for addressing these risks, along with the responsible manager, and target date were included in annual reports. Regeneration of the schools’ estates is part of Council B’s capital programme, which itself was plagued with significant slippage.11 For seven consecutive years (2004/05 to 2010/11), Council B failed to deliver on its capital plan due to capital slippage. Failure to effectively address capital slippage hinders successful execution of regeneration projects. The causes of the slippage related to unrealistic project timescales and the award of project funds prior to the start dates. Major capital slippage occurred in some of Council B’s capital projects including the children with learning difficulties’ projects and schools’ regeneration project. The Council adopted new project management methodologies to reduce slippage risks on its subsequent programme, for example, an updated version of the SEMP plan was prepared, specifying how projected Schools PPP project costs and loan charges would be addressed. Also, project affordability and requirements were to be continuously monitored and reviewed at key project stages and during the annual budget process. Financial, operational, and reputational risks that directly related to the SEMP was a potential failure to regenerate all the school estate resulting from insufficient funds, which could have impacted on the Council’s reputation. Strategies for managing these were specified in Council B’s 2007/08 annual report. Discussions on social risk was somewhat implicit in the Care Inspectorate report and in their 2013/2014 external audit report, though from a school provision perspective. The Care Inspectorate report noted a general improvement in the poverty-related attainment gap, in children’s social and learning skills, and preparedness for school due to increased parental participation. The report also noted reduced rates of school exclusions. To sum up, documentary analysis demonstrates that school education reform in Council B is mostly driven by political and socio-economic institutional factors. Between 2005 and 2014, reform focused on improving attainment levels occurred, but not to the same extent as regeneration of the schools’ estate. The latter was associated with organizational risks. These categories of risk were familiar to the management

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and staff of the Council, and thus had clear guidelines for their management specified in Council documents and in external audit reports. For risks that were not adequately addressed, new strategies for their management were developed and revised until they were effectively addressed. This was evident in the case of project risks that related to recurring cost overrun. In some cases, risks were interlinked. For example, project and financial risks could cause reputational damage if not effectively managed. Social risk was alluded to firstly in 2014, with the first reference to social risk being made in the Care Inspectorate report; within the context of school provision (not school reform). Social risks in previous school reform initiatives were neither mentioned nor implied between 2005 and 2014. This highlights gaps in social risk reporting in Council B within that period, and perhaps lack of awareness of potential social risk implications. It suggests that some category of children and young people may have been exposed to negative social outcomes resulting from school reform without the knowledge of the Council. However, from 2014, discussions began to include reform matters and associated social risks but not to the same extent as service provision matters and the associated organizational risks. The following sections examine in more depth, reform focused on addressing the Scottish Attainment Challenge (SAC) from the 4Ps perspective. 5.2.4 Process of SSES Reform: The SAC and Associated Risks

Between 2015 and 2018, school education reform in Council B focused on addressing the SAC via the 4Ps approach. Discussions in this section is structured accordingly. People Approach

The people approach requires addressing the needs of service users (see section 3.2.4). In Council B, it is articulated as a ‘personalization agenda’ which drives service delivery and development by engaging with individuals and their networks to realize desired outcomes. To achieve this, the Council’s education service has established an Executive Group responsible for ensuring continuous improvement of schools in the region, and for identifying and mitigating risks to vulnerable children and young people. The people approach enabled Council B to reduce the attainment gap, raise attainment by addressing the specific needs of young people, as children and young people realize better their potential. Furthermore, the Council can target resources towards the support and protection of the most vulnerable children and young people, thereby

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reducing inequality, which is one of their priorities. Vulnerable children and young people are described as: • • • • • • • •

Babies with low birthweight, Those who are looked after and accommodated, Those at risk of abuse and neglect, Those who speak English as an additional language, Those living in deprived communities, with poor health, and/or entitled to free clothing grant and school meals, School leavers who end up in negative destinations, Children with additional learning support needs and/or disabilities, and Pregnant teenagers.

In Council B, the people approach is enacted in different ways. A few examples include GIRFEC framework, the Scottish Attainment Challenge, the PEF, free breakfast clubs, increased early learning and childcare hours from 600 to 1140 hours by 2020/21. Of all the new initiatives, Council B seemed more concerned with the introduction of PEF because it entailed devolving more decision-making and fund allocation powers directly to schools and head teachers. The Council argued that the change in governance arrangement may introduce various risks. For example, the operational risks included potential operational challenges associated with increased staff workload, increased administrative costs, recruitment issues, difficulties accessing shared services, and the introduction of competition amongst schools rather than cooperation and collaboration. All these may lead to poor learning outcomes, which is a social risk to children and young people. This view was supported by Council B Head teachers and external partners like the SEEMis.12 Council B argued that the establishment of new educational regions as part of the new governance arrangements would introduce partnership risks by restricting local decision-making and collective responsibility, possibly stifling innovation. The Council alluded to the possible introduction of additional social risks by raising concerns about “unintended negative consequences” that may be associated with PEF. Respondents explicitly identified inequity (unequal delivery of school education across communities), fragmentation and lack of collegiality as possible unintended consequences and risks of PEF. Council B’s response suggests that the strategy for implementing PEF was unclear in some areas and could lead to poor outcomes for service users and providers during and post execution. Nevertheless, Council B stressed their support for positive change, and the need to consider how cultural and capacity changes can enhance educational outcomes for young people in Scotland.

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Despite the various people-led reform initiatives executed in Council B, the discussions above highlight the concerns of the management team towards the PEF, particularly the risks of inequality and poor learning outcomes. So, although the Council did not articulate these as social risks, they seemed aware of the implications and concerned about their possible impact. No strategy for managing these social risks was presented. Partnership Approach

Although the 4Ps approach to service reform was not recommended until 2011 (see Section 3.2.4), partnership working was evident in Council B from 2006. The Council noted then that partnership working may not improve service delivery because of the difficulties associated with measuring the impact of partnership arrangements; thus, constituting more of an organizational risk. This was addressed with the introduction of a performance management framework, as well as mapping of accountability and governance arrangements. Council B’s education services aim to improve achievement, attainment, and participation levels for all children and young people using its CPP. The CPP have five objectives, one of which is linked to the reform of school education. Specifically, they are responsible for ensuring that vulnerable young people arrive at positive destinations. In 2015, an employability plan funded by the European Social Fund and European Regional Development Fund was developed to address this. It encouraged employer and parental participation, transitional support and learning pathways for young people. Council B believe that the poverty gap cannot be bridged by education alone, but in partnerships across sectors to mitigate and reduce inequality and poverty in the region. For example, the absence of adequate housing may impact negatively on choices made by young people. To manage this, Council B partnered with the housing association to prioritize young care leavers on housing waiting lists. Partnership working in Council B’s education services involve key stakeholder groups like parents, multi-agents, and professional learning groups, CLD ;partners, other public services, Care Inspectorate and Education Scotland, and the private and third sector organizations. This approach is underpinned by GIRFRC and CfE. It ensures that the needs of children, young people and families are identified and addressed, and their views reflected in decision-making. Thus, partnership working can enable more consistent, and seamless approach to service-delivery. An external review of education services conducted in 2014 identified insufficient participation of young people, parents, and staff in the creation of a vision for children services as a risk to the education delivery and reform in Council B. Moreover, inequitable access to children

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services provided by some partners (which may include additional support for learning) was an issue. Thus, inefficient partnership approach could exacerbate inequality. According to Council B, attainment is raised by the adoption of proven methods like parental participation to support children in their learning while at home, mentoring opportunities, peer-tutoring, and the development of study skills. Similarly, partnership working between the school, homework clubs and home help to improve children’s social and learning skills. Despite the varied support aimed at developing parenting skills, some parents are unable to engage due to location and availability issues. This may impact negatively on the learning outcomes of young people whose parents are unable to engage in reform, inadvertently exacerbating the risk of inequality. Other partnership models put in place for improving learning outcomes and increasing the life chances of children and young people in the Council B region include: • • • • •

Early Years Collaboration for demonstrable evidence of participation and participation of children, young people, and parents, Youth Involvement Framework: a platform enabling children and young people to communicate their priorities and challenges to political leaders or elected members for resolution, Pupil Councils which evidence children’s participation and input in decision making to improve their community and school, Schools for the Future which evidence the participation of children, young people and parents in decision-making and service design, and Youth Participation which helps to identify and address youth needs.

In 2016, the Council was commended by the Care Inspectorate for including children and parents in relevant investigations, and for their use of the National Risk Framework in risk identification and assessment, although inconsistencies in the quality of some risk assessments were identified. Some staff requested for wider tools that could be adapted for different types of risk assessments like parenting assessments. While there was increased children and family involvement in decision-making, the Care Inspectorate noted that this could be improved further, encouraging independent advocacy. In terms of school education reform, absence of independent advocacy implies that more vocal and/or literate families can push forward their agenda, excluding those who lack such skills from being heard. Again, exclusion could occur because of ineffective execution of the partnership approach. In summary, the key social risks associated with the partnership approach as gleaned from Council B documents are exclusion, inequality, and poor learning outcomes. The council seemed to be managing these social risks by increased attempts at parental participation and by using the National Risk Framework. Nonetheless, the above

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discussions indicate that attainment gap issues cannot be resolved by education services alone. While a more holistic approach that includes relevant stakeholder, groups would be more effective in addressing attainment issues, weak partnership models or poor public participation may hinder the process. They may also introduce or exacerbate existing exclusion and inequality issues. Performance Approach

In Council B, the performance approach is driven by technology, and executed by collating and analysing performance information to identify areas requiring improvement. The focus of this approach is on identifying early warning signs in pupils’ performance. However, partners could not establish links between the improvement in young people’s wellbeing, and the early intervention and preventative models adopted to effect positive change. This was because data analysis did not necessarily evidence improved performance (performance risk). The CPP planned to manage this social risk to pupils’ learning outcomes through closer partnership working to identify, develop, and agree on clear outcome indicators, including targets to enable joint measurements of improvement over time. These ambitious targets are now set for all pupils and the progress of individual learners is monitored using individual data. To summarize, most of the discourse in the reviewed documents on the performance approach related to staff performance and highlighted some operational risks. Only two documents discussed the performance approach from the perspective of school education delivery and reform. The only social risk associated with the performance approach was the possibility of poor learning outcomes for some pupils which the council seems to be managing through partnership working. Prevention Approach

Improving the life chances of all Council B children and young people by giving them the best start in life is one the Council’s four priorities. It indicates a prevention-focused approach to reforming school education, underpinned by the Children and Young People (Scotland) Act 2014 and GIRFEC principles. By encouraging preventative activities and/or service delivery through early learning and childcare services, the Council can intervene early and address emerging pre-school attainment gaps. Additionally, staff have been trained in poverty awareness as relates to school assessment data and demographic profiles. This enables them to contribute towards addressing inequality and preventing its escalation. The prevention approach also encourages preventative spending whereby money is spent to prevent negative outcomes. For instance, the

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Council removed the costs of technical (£40,000 per annum) and hospitality/home economics subjects (£90, 000 per annum) for pupils over a two-year period (January 2016 – January 2018). Thus, all pupils, regardless of social strata, can access these subjects. Other ways in which the prevention approach is implemented in Council B is through: •

•

The named person approach: The named person is a staff member responsible for the safety and wellbeing of a child or young person and who can take appropriate action if the need arises. Despite the implementation delay of the Named Person Scheme in June 2016, Council B has continued to undertake named person functions. These include conducting assessments, requesting for assistance, and planning for children and young people, albeit within the boundaries of data sharing and legislative contexts. The named person is also responsible for ensuring children and young people access timely support by identifying risks before they manifest and where possible mitigating them. Staged intervention: This approach enables children and young people to access additional learning support if required.

One of the key risks associated with this approach as identified in the 2012 – 2015 education services business plan, was the inability to deliver timely assistance to some vulnerable children, possibly leading to poor learning outcomes. According to an external review of Council B services, some vulnerable stakeholder groups including children, young people and families could not access preventative services promptly. Some of the preventative services (like the Parents as First Teachers programme) can encourage optimal child development during the critical early years; possibly delivering crucial timely support to vulnerable children. However, the lack of alignment in information sharing components was highlighted. This could pose a risk leading to poor learning outcomes to the young person if the need for early intervention is not promptly identified. Prevention risk (though not explicitly identified as such) could also manifest as inconsistencies in family support and school nursing roles, possibly leading to inequality of educational outcomes. In some cases, this was already limiting early intervention options, although the reviewed document did not explain how. Furthermore, there was limited access to parental support involving older children and some families were unintentionally excluded from transformative preventative services. For example, some fathers did not receive specific support, and some families who did not receive timely help. This happened because staff were unable to refer vulnerable families to existing support services due to their insufficient knowledge and understanding in this regard. These issues were recognized by Council B managers who were developing a more effective approach to supporting parents. It could be argued that non-resolution of

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these issues may potentially increase the risk of excluding vulnerable young people and their families from these school-related reforms. In short, there are two main social risks associated with this approach as gleaned from the reviewed documents. The first is the potential to exclude children and young people from reform initiatives because of poor parental participation and inadequate parental support. As explained in the previous paragraph, this is currently being managed as the Council is trying to support parents better. The second relates to the potential negative impact on the learning of vulnerable young people if their needs are not promptly identified (poor learning outcomes). Whilst there is awareness of this social risk, it is not clear from the reviewed documents if it is being managed. Considering the 4Ps approach presented in the reviewed documents, social risks like exclusion, inequality and poor learning outcomes were evident in the Councils attempt to address the SAC. However, they were not explicitly identified as social risks in any of the reviewed documents. This is possibly because there is little awareness of the concept of social risks. Still, documentary analysis, particularly from 2012 showed implicit references to social risks (Care Inspectorate, 2016). Hence, despite growing awareness of social risks, they are not always explicitly articulated and addressed.

5.3 Analysis of Interviews with Council Officials from Council B 5.3.1 Respondents’ Profile

This section is based on interviews with nine officials from Council B as denoted in Table 5.2. Like the preceding documentary analysis, it addresses objectives 1, 2 and 3. Respondents were asked to provide information spanning the period between 201013 and 2018. The respondents fall under four different managerial levels, hence they had strategic and/or implementation roles in SSES provision and reform as shown in Table 5.2. Amongst the nine respondents, two (the Chief Executive and the Communities Director) were senior managers with strategic roles (SMS) and three were senior managers (Education Director, Head of Education and Schools Manager) with strategic and implementation roles (SMSI). Another three (Internal Auditor, Inclusion Manager, and Improvement Manager) were middle managers with strategic roles (MMS), and one (Service Review Manager) was a middle manager with strategic and implementation roles (MMSI). The diversity in managerial levels is expected to facilitate understanding of the risks in SSES reform at both strategic, decision-making levels and front-line, implementation levels and yet the above analysis suggests that

Job Role

Chief Executive

Communities Director

Education Director

Head of Education

Schools Manager

Internal Auditor

Inclusion Manager

Improvement Manager

Service Review Manager

#

1

2

3

4

5

6

7

8

9

Middle Manager with strategic and implementation roles (MMSI-1B)

Middle Manager with strategic role (MMS-1B) Middle Manager with strategic role (MMS-2B) Middle Manager with strategic role (MMS-3B)

Senior Manager with strategic and implementation roles (SMSI-3B)

Senior Manager with strategic role (SMS-1B) Senior Manager with strategic role (SMS-2B) Senior Manager with strategic and implementation roles (SMSI-1B) Senior Manager with strategic and implementation roles (SMSI-2B)

Managerial Role

Table 5.2 Managerial Levels of Respondents

Involved as a member of Council B’s senior leadership group. Along with the senior leadership group, ensures Council B’s strategic priorities are addressed. Directly involved in setting the strategy for schools. Responsible for education and social work, leisure and sport. Maintains strategic overview of education. Responsible for the provision of school education across Council B as defined in the Standards in Scotland Schools’ Act, and education service review. This officer line‐manages all head teachers in Council B schools. The officer is also responsible for strategic transformational change in school provision, school operations (3–18 schools or partnership primary schools), school curriculum (CfE), and management structures. Responsible for allocation, distribution, and management of resources centrally. In terms of SSES reform, leads resource meeting and provides schools with resourcing formula to adopt and apply. Responsible for ensuring greater school autonomy regarding resourcing. Co-led some of the education service review in previous role as education officer. Responsible for finance. Leads risk management within Council B in an advisory capacity. Not directly involved in school education. Primarily focused on GIRFEC and Additional Support for Learning. Was previously responsible for the provision of early learning and childcare. Indirectly involvement in SSES provision and reform. Involved in an advisory capacity. Developed service review toolkit to support change and improvement across Council B’s departments. Involved in the provision of nursery education. Responsible for ensuring positive outcomes for all learners in nursery, primary and secondary schools. Responsible for reforming Council B’s education service within the context of the National Improvement Framework and the Scottish Government’s directive for increased school autonomy and collaboration. Leads reform on curriculum and school improvement.

Responsible for setting the strategic direction of the education department.

Level of Involvement in SSES provision and reform

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such understanding is partial rather than holistic. These perceptions are considered in presenting research findings. The following section presents interview analysis. Interview responses are summarized in tables which capture the number of managers in each level who are knowledgeable about the issues. Responses were contingent on the managers’ roles, responsibilities, and level of involvement in SSES provision and reform. 5.3.2 Context and Content of SSES Reform in Council B External Institutional Structures

From strategic perspectives, SMS-1B, SMS-2B, and SMSI-2B believe that SSES reform is a bold and ambitious change programme focused on the delivery of better outcomes for children and young people. They expect that it will redefine the role of education by ensuring that young people are equipped for and can access various positive options after leaving school. From an implementation perspective, SMSI-2B expects more creativity as an outcome of a stakeholder approach that enables local decision making, autonomy and trust across the teaching staff. These align with the Council’s vision to “improve outcomes for children and young people” as presented in their Children’s Services Plan. As depicted in Table 5.3, politics and legislation, society and economy, and technology were key external institutional factors prompting reform in Council B. Table 5.3 External Institutional Factors Driving SSES Reform #

Institutional Structures

Who

Why

1

Society and Economy

2

Politics and Legislation

• • • • • • • • • •

3

Technology

SMS-1B SMS-2B SMSI-1B SMSI-2B SMSI-3B MMS-1B MMS-2B MMS-3B MMSI-1B SMS-2B SMSI-1B SMSI-2B MMS-1B MMS-2B MMSI-1B SMS-1B SMS-2B SMSI-3B MMSI-1B

Demographic issues Employability Societal changes/expectations Societal inequities Economic regeneration Rural poverty Fiscal consolidation Pace of savings Political agenda Legislative structures and mandate

• Technological changes

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As in the previous chapter, Table 5.3 captures the number of managers in each category (SMS, SMSI, MMS, MMSI) that identified relevant external factors and their reasons for doing so. The following sections expound on the external institutional structures displayed in Table 5.3. SOCIO-ECONOMIC FACTORS AS DRIVERS OF SSES REFORM

All nine respondents identified economic and societal factors as important drivers of school education reform. As noted by MMS-2B, Council B addresses economic regeneration issues so that “it does not fall into a dependency culture and become a dependent state”. SMS-1B noted that there are difficulties associated with developing the labour force because there are not enough young people in the region. This manager raised concerns about the prevalence of a “distorted, prejudiced, conservative right-winged view of society for older people which makes it difficult for young people to blend in”. To address this, SMS-1B believes that school education needs to be the Council’s unique selling proposition. Therefore, education should be reformed in such a way as to attract and retain young people to the area, including immigrants. Council B is enabling economic regeneration by improving young people’s employability skills. Evidencing this, MMSI-1B said: “… we have a drive for employability and developing employable skills. We now have a skills tool kit in nursery so that we can make decisions there. We need to build our own infrastructure where employability and economic development can be addressed by building on what we need as a Council”. The nine respondents believed that addressing rural poverty, including poverty-related attainment gaps and demographic challenges drive reform of school education delivery in Council B. The Council is attempting to address rural poverty is via its anti-poverty strategy. As SMSI-2B observed, Council B has a low wage economy and a lot of hidden poverty, including working poor communities. Since these communities are not identified by the SIMD, they are not eligible for additional funding. The Council must consider this when they look at how they deliver education and the expectations they have from parents and families. Some towns in the region have too many children and very full schools, yet there are smaller schools in more rural areas. According to SMS-2B, SMSI-1B, and SMSI-2B, the urban settlements have people coming in for work and the rural settlements are occupied by older people or contain holiday home destinations, which means that there are limited educational needs. SMSI-2B, SMSI-3B, and MMS-3B explained that the council has reformed their delivery of school education to address this by adopting a school partnership model, where the head teacher is responsible for two or three schools. SMSI-2B believes that this gives staff and pupils a wider peer group and partly limits the isolation both educationally and socially.

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According to MMS-2B, rural areas with predominantly elderly people present unique challenges in terms of service delivery priorities. Older people are more inclined to lobby for more old people’s homes because their children are all grown. The issue with this is that without an increase in young people in the region, or targeted services to improve their life chances there may be no one left to take care of the elderly. However, this does not seem to be a key area for concern. According to the SOA, Council Plan, and Education Services Plan, school education provision and reform is one of the priority areas, with a significant portion of the Council’s budget allocated to this. The imperative for service reform as noted by all nine respondents means that the Council must ensure the sustainability of education services despite the limitations imposed by the ongoing fiscal consolidation and the requirement to deliver efficiency savings. POLITICS AND LEGISLATION AS DRIVERS OF SSES REFORM

Six out of nine managers named politics and legislation as drivers of SSES reform. The remaining three (SMS-1B, SMSI-3B, and MMS-3B) mentioned socio-economic and technological factors as drivers. SMSI-1B, SMSI-2B, MMS-2B, and MMSI-1B believed that the reform in their school system was determined by political imperatives. They cited the current mandate of the Scottish Government to (a) provide enough nursery places for all nursery children, (b) address the attainment challenge, and (c) implement PEF as political drivers of school reform. Respondents established links between external political structures on one hand, and legislative and economic structures on the other hand in driving the reform of school services. They were also critical to what they see as funding inadequacies in relation to some key initiatives. According to SMSI-2B: “The legislative duties have been brought in recently by the Scottish Government to control the actions and work of local government. But the funding that has also been given to local government, perhaps it could be argued, has not fully taken account of the costs of delivering on those statutory duties. The named person legislation was brought in without any, to be argued defined budget that was then allocated to local government. Regarding early learning and childcare statutory duty, service provision will default from 600 hours to 1140 hours. Now, there is no evidence of costings that will meet the real costs of delivering that in a rural area. So, very high expectations, very high parental expectations because of all the work about community consultation, high political expectations but reducing budgets”. Four managers (SMS-2B, SMSI-1B, SMSI-2B, MMS-1B) alluded to the role of politics in their discussions on legislation. The other five managers did not explicitly establish this link probably because they did not take this

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view. Delving further into the role of legislative structures, SMS-2B noted that Council B as the education authority needs to comply with the legislation of the Scottish Government. Ultimately, they need to deliver education services that not just comply with legislation but embrace the policy objectives that are set for them. So, legislation drives education provision and reform, reflecting the political platform of the Scottish government. Though closing the attainment gap is now a statutory duty, legislatively, SMSI-1B argued that Council B teachers have always worked for the best educational outcome for young people. So, whilst this new legislation does not change the culture it empowers education authorities to enhance their efforts in monitoring and addressing attainment issues. In this way, legislation reinforces the status quo. TECHNOLOGY AS DRIVER OF SSES REFORM

Four managers (SMS-1B, SMS-2B, SMSI-3B, and MMSI-1B) identified technological changes as driver of school education reform and linked this to societal change. The managers explained that technological changes influence the expectations of young people in terms of: • • • •

How they learn, Their global interaction through social media, Their expectations of prompt access to information. For example, young people can access information more quickly via search engines like google. They can also learn in an interactive way with their phones, and Types of jobs (information technology) available.

Therefore, school education provision should be reformed to reflect this changing technological landscape and prepare young people accordingly. The other five managers seemed to believe that school education reform in Council B was driven by socio-economic and technological factors alone. Overview of External Institutional Structures

To sum up, respondents unanimously agreed about the role of socioeconomic factors in driving the reform of school education delivery in Council B. Across managerial levels, the respondents noted the complex relationship between all five external institutional factors. For example, respondents suggested that political factors drive the reform of school education services directly and indirectly by influencing legislation. Two of them linked technology to changing socio-economic conditions. Nonetheless, the consensus is that socio-economic factors act as primary drivers for reforming school education in their region. Most importantly, their responses suggest that they are already acting on this understanding.

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Internal Institutional Factors Capable of Influencing SSES Reform

Research objective 2 was partly addressed in Chapters 3 and 6. The chapters14 identified and critically discussed key internal institutional factors capable of influencing (facilitating or hindering) PSR and school education reform from Council A’s perspective, respectively. This section addresses this objective from Council B’s perspective within the context of school education. FACILITATING FACTORS OF SCHOOL EDUCATION REFORM IN COUNCIL B

Respondents recognized that leadership and public participation as key internal factors capable of facilitating school reform. These factors captured in Table 5.4 are discussed next. Leadership

All nine managers associated strong leadership with an organizational culture that develops staff competence and confidence, celebrates, and motivates them. The managers considered strong leadership as instrumental to effective SSES reform referring to qualities such as political will, organizational structure/vision, ambition, and bravery from political and executive leaders as key to the process. Equally, the ability to clearly communicate strategic goals to ensure alignment between strategy and implementation can facilitate reform. SMS-1B stressed the advantage of developing effective leadership across the broader well-being and social inclusion agenda, rather than focusing only on developing leadership to deal with the attainment gap. Public Participation

SMSI-2B, SMSI-3B, and MMS-2B acknowledged the role of public participation as vital to effective SSES reform. SMSI-2B recognized the value Table 5.4 Facilitating Factors of SSES Reform # Internal Institutional Structures

Who

How

1 Leadership

SMS-1B SMS-2B SMSI-1B SMSI-2B SMSI-3B MMS-1B MMS-2B MMS-3B MMSI-1B SMSI-2B SMSI-3B MMS-2B

• Strong political and executive leadership • Holistic approach to leadership • Effective communication • Support, motivation, and aspiration • Organizational culture and structure • Pupil participation • Parental participation • Staff participation

2 Public Participation

Empirical Research Findings from Council B 139

of staff, parental and pupil input in SSES reform processes to facilitate decision-making and design of reform approaches/models. SMSI-2B explained that shared learning amongst staff and schools would lead to better outcomes for young people, while MMS-2B opined that staff participation is required to implement strategic objectives. The other six managers did not identify public participation as a facilitating factor in SSES reform, probably because they did not consider it to be so. BARRIERS TO SCHOOL EDUCATION REFORM IN COUNCIL B

The barriers to effective SSES reform were considered by respondents to be the reverse of the facilitating factors (leadership and poor public participation) discussed earlier. However, Table 5.5 shows that risk management was included as an additional barrier. These barriers are discussed next. Leadership

Seven managers identified poor leadership as potential hindrance to school education reform in Council B. The managers unanimously agreed that unclear policy objectives, poor communication and ineffective management were leadership factors that could hinder reform. SMS-1B stressed that reform can be hindered if society refuses to assume a leadership role by recognising and promoting the value of school education. Considering political and union leadership, SMSI-1B insisted that an overly cautious Table 5.5 Barriers to SSES Reform #

Internal Institutional Structures

Who

How

1

Leadership

2

Risk Management

SMS-1B SMS-2B SMSI-1B SMSI-3B MMS-2B MMS-3B MMSI-1B SMS-1B SMSI-1B SMSI-2B MMS-1B

• • • • • • • • • •

3

Public Participation

MMS-1B MMS-2B

Excessive caution Lack of flexibility No political will Poor organizational structure Poor communication Motivation and aspiration Absence of shared vision Bureaucracy Risk aversion Poor understanding of risk management • Legislation • Poor public participation • Poor staff participation

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Empirical Research Findings from Council B

attitude and lack of flexibility could hinder reform. This is illustrated in SMSI-1B’s quote below: “Another one is the political governance locally, because in Scotland, the local government and therefore the local members have got a responsibility for education. It does mean that there is a “cautiousness” about change. And therefore, if you’re trying to be innovative or you want to be the only school which does something in a certain way, then sometimes the local members, the council members might get approached by constituents who do not like change… … We have very good relationships with our unions but at the national level, particularly for the teaching unions, there is a lack of flexibility and that’s been a hinderance to change”. Nonetheless, SMSI-1B admitted that local political leaders have been supportive of school reform and emphasized the good relationship the Council has with their local unions. In MMS-2B’s view, inability to clearly communicate strategic objectives can hinder school education reform. Two managers (SMSI-2B and MMS-1B) did not explicitly identify leadership as a barrier to reforming school education but alluded to it from a risk management perspective15 along with SMS-1B and SMSI-1B, captured in the next section. Risk Management

Four managers (SMS-1B, SMSI-1B, SMSI-2B, and MMS-1B) considered risk management as potential barrier mainly in terms of it being associated with excessive bureaucracy and a risk averse organizational culture. As spoken by SMSI-2B: “Bureaucracy, over-control, micro-management, blame-culture, over-monitoring. So, I would call that transactional management. So, people having to constantly report on what they are doing and measure the impact. Measuring impact is clearly important but you can’t measure impact every month. It’s about trying to trust people that they can try and do things and if they don’t work, we are not going to blame people”. This highlights the need to establish the right balance between monitoring and trust. An excessively bureaucratic organizational culture may stifle innovation by breeding a culture of fear and is synonymous with risk aversion. SMS-1B, SMSI-2B, and MMS-1B believe that a risk averse organizational culture where people are afraid to try new things is the biggest risk to SSES reform. As observed by MMS-1B, insufficient (or partial) knowledge about reform-related risk management hinders successful SSES reform. Legislation was also discussed by senior management (SMS-1B, SMSI-1B, SMSI-2B), within the context of risk management. These managers

Empirical Research Findings from Council B 141

believed that legislation could be prohibitive and could stifle innovation. Consequently, legislation could act as a potential source of risk aversion. Staff Participation

Two managers commented on how poor public participation might hinder school education reform in Council B. From MMS-1B’s perspective, reform may be hindered if staff are reluctant to engage with the reform process. This reluctance may be because they are more comfortable with old ways of delivering school education. Due to poor participation, staff may adopt the wrong approach to reform which invariably hinders the process. MMS-2B pointed out that education is a unionized profession. Consequently, there is an inherent conservatism in the union which might oppose change, discourage staff participation, and probably hinder school education reform in Council B. The majority (seven managers) probably did not consider poor public participation to be a barrier to school education reform, and therefore did not refer to it. Overview of Internal Institutional Factors

To sum up, leadership was identified as a facilitating factor and barrier across managerial levels. The implementation roles occupied by the SMSIs and MMI necessitate participation with communities. Thus, the managers could describe how the decisions taken by political and union leaders may hinder SSES reform. Additionally, their roles probably enabled them to observe first-hand the ways in which leadership through, political will, organizational culture, and other leadership components may facilitate school education reform. The MMSs do not have implementation responsibilities. However, their strategic responsibilities expose them to the Council’s political and executive leadership team. As middle managers, they are led by senior management and provide leadership to front-line management. From this vantage position, they can also experience and observe the role of leadership in influencing school education reform. Risk management was not perceived as an SSES facilitating factor but as a barrier. This observation was made only at SMS, SMSI, and MMS levels. Discussions reveal that the senior managers engage more with legislation and are more aware of the implications of non-compliance compared with middle and front-line management. Also, senior managers are responsible for translating legislation into actionable goals to enable effective implementation by front-line managers. This may be why legislation was identified at senior management level only. Discussions with senior managers imply that legislation developed by political institutions can influence organizational culture. In the case of Council B, it may inadvertently institutionalize a risk averse culture. Worth noting is MMS-1B’s explicit

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Empirical Research Findings from Council B

discussion on the role of risk management in SSES reform which was due to the manager’s position in Council B’s internal audit committee. Still, the SMS and SMSIs alluded to the role of risk management in their discussions on bureaucracy and blame culture. Public participation was believed to facilitate school education reform by four managers and hinder the process by two managers. SMSI-2B is responsible for education provision and reform, SMSI-3B was previously responsible for resourcing, MMS-1B is the Council’s lead for risk management. These managers engage with different stakeholder groups and can critically assess the role of public participation or lack thereof, in SSES reform, hence their stance. 5.3.3 Process of SSES Reform: The SAC and Associated Risks An Overview

Considering the period between 2010 and 2018, this section addresses research objective 3. Thus, it considers the nature of risks which children, young people and communities may be exposed to, based on the 4Ps approach to SSES reform. Council B respondents believed that the 4Ps approach to reform can empower young people. Developing inclusive communities was identified as another opportunity but associated with 3Ps (partnership, people, and performance), as the prevention pillar was not included. However, these upside risks and opportunities will not be discussed further as they fall outside the scope of this research. The tables in this section capture the number of respondents who identified a potential social risk in SSES reform. They capture the respondents’ occupation, their managerial roles, and levels of involvement in SSES provision and reform, the causes of the social risk under discussion and those who may be impacted by the risk. This level of depth is required as this section expounds on reform-related social risks. Interview responses were analysed and coded with the aid of NVivo 11. Based on the responses from Council B managers, exclusion, poor learning outcomes and reductionism emerged as key social risks in SSES reform (see Table 5.6). The managers associated exclusion and poor learning outcomes with 3Ps (people, performance, and prevention). Reductionism was associated with all the 4Ps. Table 5.6 An Overview of Social Risks Associated with the 4Ps Approach in Council B S/N Partnership 1 2 3

People

Exclusion Poor learning outcomes Reductionism Reductionism

Performance

Prevention

Exclusion Poor learning outcomes Reductionism

Exclusion Poor learning outcomes Reductionism

Empirical Research Findings from Council B 143

Two managers believed that the partnership pillar was devoid of social risks, one maintained this believe with respect to the performance pillar, while one was unsure of whether the performance pillar posed any risk. Findings in the following sections are presented according to the social risk (exclusion, poor learning outcomes, and reductionism), considering each reform pillar in turn. Exclusion PEOPLE PILLAR

The people pillar focuses on addressing the needs of relevant stakeholder groups. Six out of the nine respondents associated exclusion with the people pillar (Table 5.7), the remaining three did not. SMS-1B explained that the Head Teacher may not always make the right decisions in service reform: “… on a simplistic level, you believe that the head teachers know best. So, therefore they will be able to target that [PEF] to individual children. The strategic argument against that is head teachers are good head teachers, but they are not the best managers in the world. And they can only allocate based on the knowledge that they have, their experiences. So, therefore, they may make suboptimal decisions over the collective of the bottom 10% [bottom low attaining 10%]. It’s always argued that head teachers never asked for the money directly for themselves around this, so that’s one agenda”. From this manager’s perspective, the practice of allocating the PEF directly to Head Teachers may unintentionally exclude some school children and young people from reform initiatives. Table 5.7 People Pillar – References Made to Exclusion as Social Risk #

Managerial Role

Why (Reason)

Who (Groups That May be Excluded during SSES Reform)

1

SMS-1B

2

SMSI-1B

3

SMSI-2B

4

MMSI-1B

Bounded rationality, inequality, and SIMD Inequality based on inconsistency Inequality based on inconsistency SIMD

5

MMS-2B

Inequality

6

MMS-1B

Poor public participation

Children, young people from MIF families Children, young people, local communities Children and young people, local communities Deprived children and young people Least bright and less sporty children and young people, local communities Children and young people

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Empirical Research Findings from Council B

This may be because Head Teachers can only allocate funds based on their incomplete knowledge and experiences determined by their bounded rationality.16 This implies that the risk of exclusion can be better managed if responsibility for budget allocation remains with the Council because they are trained in resource allocation and management. Four managers cited inequality as a potential source of exclusion. SMS1B referred to the possibility of exclusion from reform initiatives of young people from what can be considered middle income families. This could occur if they must pay for extracurricular school activities like school trips which were previously free for all children, but now only free to those from deprived homes. This manager believes that the Named Person17 Scheme could be used to address the risk of exclusion. In Council B, the named person is the Head Teacher because s/he would have the greatest individual contact with the child. By acknowledging that the child’s learning is a consequence of a whole range of other factors, the Head Teacher can lead that process effectively. This is reflected in the Council’s 2016/17 Improvement Plan and External Annual Audit Report. As noted by SMSI-1B, feedback from parents in relation to SSES provision and reform is inconsistent and could potentially create wider variations in terms of outcomes, including increasing the attainment gap. To manage this, Head Teachers have discretion to use innovation and flexibility to intervene should the need arise. Developing this argument further, SMSI-2B explained that communities have two tier systems comprising of the affluent and the less affluent communities, with the former exercising significant power of influence. According to this manager: “What tends to happen is that the more affluent aspects of the community can lobby, can fight for, maintain, take control and ownership. So, what we see are, for example some areas, affiliated sports clubs can take over community facilities, and have the power and the ability and the capacity to manage budgets and staff. But then in other areas, they (sports clubs) don’t come forward to do that. There is a risk of inconsistency and inequality”. Affluent communities are more skilled in advocacy and lobbying and so can push forward their SSES reform agenda more effectively than the less affluent communities who lack these skills and resources. The resulting inequality means that some children and young people could be excluded from relevant SSES reform initiatives. The implication for the Scottish Government could be an inability to meet their policy mandate to reduce inequality and increase attainment. Using an impact assessment toolkit, Council B attempt to manage these risks by evaluating the impact of any new proposal, and policy strategy to identify which proposal provides opportunities or potentially threatens any group. They also provide advocacy services so that the views of children and young people with protected status

Empirical Research Findings from Council B 145

[for example, the Looked After and Accommodated Children (LAAC)] are heard. From another perspective, MMS-2B identified the least bright and less sporty school children as those who may be excluded from SSES reform because the focus is usually on their brighter and sporty counterparts. In that manager’s words: “Education system is fundamentally flawed in that we invest most of our time on our brightest and our most sporty people and if education is about building skills, your football team should be made up of the 11 people that cannot play football because you should be teaching them to play football, not the 11 people that are the best football players in the school because they know how to play football. That’s where your focus should be, but we don’t because that group won’t win us the cup. So, we perpetuate a lot of these problems. We can tick the box, but I think that when you start to unpick it, we really struggle in terms of engaging with all the pupil”. The manager explained that this perception-based form of exclusion may increase the attainment gap and would in the long term exacerbate the issue of inequality in local communities. No risk management strategy was identified or discussed, although this may be a common issue. MMS-1B cited poor public participation as a potential source of exclusion. Some groups of children and young people according to this manager, may be excluded from SSES reform because their parents are afraid to speak up for fear that they may get into trouble. This happens if the parents believe that they have committed a crime (for example, are in the country illegally or with uncertain status) and therefore wish to remain anonymous or hidden from the criminal justice system. Parents’ refusal to engage means that the needs of their wards may not be properly identified and addressed. MMS-1B explained that work is ongoing to ensure that the Project Management Prince 2 Methodology and the Council’s risk register are used to manage council wide reform-related project risks. Two managers cited the SIMD as a potential source of exclusion. As discussed in Section 5.2, and as highlighted by SMS-1B and MMSI-1B, the SIMD which is used to identify deprived areas and to allocate attainment challenge funds is not considered appropriate for Council B because it does not effectively capture pockets of rural poverty. This argument was supported by Bailey et al. (2016). According to a report commissioned by Council B, they have as much poverty as other deprived regions. Yet, SIMD’s poverty measurement fails to identify some children because there are few deprived children in each class. They do not have whole classes comprising children with poor attainment, which is typical of some schools in deprived councils.

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Empirical Research Findings from Council B

MMSI-1B believed that the SAC could create inequalities in the local communities because of how they are funded. As an example, the manager explained that two out of three schools in one of the areas will get attainment challenge funds worth between £50,000 and £60,000 per annum over the next four years to improve attainment because they are in deprived areas, even though one of the two schools were not considered to be a low attaining one. The third school is not located in an area identified as deprived according to the SIMD index and so is not eligible for the attainment challenge fund, though they may be some deprived children attending the school. This shows that low attainment and deprivation are not always evenly matched. From a strategic perspective, SMS-1B argued that this risk can be managed by designing targeted interventions for individual children in individual classes. This differs significantly from the approach taken by councils, particularly the Challenge Authorities. With the SAC funds, those councils can develop massive projects of intervention to address attainment challenges in schools located in deprived areas. SMS-1B acknowledged that it would be a more expensive but sustainable and effective approach for Council B. In Council B, the view that inequality may lead to people-related exclusion risks dominated across senior and middle managers with strategic and implementation roles in school education provision and reform (Table 5.7). Although the risk is recognized across managerial levels, the need for their management was articulated at senior management levels only (SMS and SMSI). Responses at SMS and SMSI levels, suggested that the risks may be managed externally and internally. Although there seems to be internal arrangements in place to manage this risk, from a strategic perspective, SMS-1B noted that such risks may also be managed externally by the Scottish Government if they: • •

Modify the existing PEF fund allocation structure to enable Councils to retain greater autonomy. This view was corroborated in Council B’s response to the PEF Governance Review in 2016 and 2018; and Enact the named person legislation.

SMSI-1B and SMSI-2B pointed out that the risks were currently being managed by Head Teachers using the Council’s Impact Assessment Toolkit.18 These responses demonstrate clear awareness and involvement of senior managers in the risk management processes compared with middle managers. Also, their responses were consistent with the risk management techniques recorded in the Council’s 2016 Improvement Plan, 2017 Council Plan, and 2018 Risk Register. The responses indicate that there is some awareness of inequality as a risk source and that steps are being taken to address this.

Empirical Research Findings from Council B 147 PERFORMANCE PILLAR

Only one manager associated the risk of exclusion with the performance pillar and cited inequality as the potential source; the other eight managers did not make this observation. According to SMS-1B, the performance centred approach can create inequalities among young people, leading to some low attaining children and young people being marginalized. This manager believes that at the micro-level of the classroom and school, performance targets aimed at ensuring that more young people achieve five Highers19 can prevent teachers from focusing on the developmental stages of young people. At the meso-level (the council), these targets may prevent Council leaders from tracking and understanding the development of individual schools. The improvement measures captured in the Council’s 2016 Improvement Plan specify the need to: • • • •

Improve attainment of vulnerable pupils, Increase education and attainment tariff scores of school leavers from deprived locations, Ensure more LAC school leavers arrive at positive destinations, and Ensure children and young people achieve at last an hour of daily physical activity.

The reality however according to SMS-1B, is that performance targets may create inequalities because reform efforts focus on brighter young people, rather than on all young people, including the low attaining ones. No strategy was used for managing this risk. Nonetheless, SMS-1B admitted that these risks can be managed by creating a system that tracks individual development of young people and schools and notifies relevant stakeholders (head teachers, principal teachers, head teachers, and parents) when there is a need to communicate. Illustrating the concept of risk inter-connectedness, this risk is closely associated with the risk of reductionism discussed in Section 7.5.5. This is because SSES reform may encourage narrow focus on higher attaining and/or athletic children to enhance school reputation. PREVENTION PILLAR

SMS-1B argued that when funds are allocated directly to schools, early intervention may be compromized because nursery school budget allocation may be reduced (Table 5.8). Conversely, SMSI-1B believed that preventative approach or early intervention favours nursery and primary schools above secondary schools because they can get more resources. To illustrate, the 2017–2022 Council Plan shows that additional resources include free breakfast clubs across primary schools in Council B. However, MMS-1B argued that this approach is expensive because some children can afford to eat at home and so do not

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Empirical Research Findings from Council B

Table 5.8 Prevention Pillar – References to Exclusion as Social Risk # Managerial Role

Why (Reason)

Who (Groups That May be Excluded Groups during SSES Reform)

1 2 3

SMS-1B SMSI-1B SMS-2B

4

MMSI-1B

5

MMS-2B

Resource allocation Resource allocation Universalist 20 approach to budget allocation and spending Changing socio-economic environment Universalist approach to budget allocation and spending

Nursery school pupils Secondary school pupils Children and young people from deprived communities; local communities Primary and secondary school pupils Children and young people from deprived communities

necessarily need free school meals. Secondary schools are not considered as preventative services. Therefore, they may be excluded from some reform initiatives supporting children requiring additional learning support. As indicated in the Council’s risk register, SMSI-1B said that this risk is being managed by allocating additional resources towards vulnerable LAAC requiring additional learning support. MMSI-1B believes that “there is always a risk that some children will slip through, although this approach highlights more swiftly a child that was falling back”. The manager explained that children may be excluded from some reform initiative due to a change in the socio-economic environment (for example changing family circumstances, or a death in the family). Teachers are expected to manage this by offering relevant support immediately, as they notice any fall in attainment. Overall, SMS-1B, SMSI-1B, and MMSI-1B explained that preventionrelated exclusion risks are currently being managed through a wider partnership approach underpinned by the GIRFEC agenda. The approach includes parents, schools and local communities in partnership forums and discussions. Additionally, teachers are trained to identify early warning signs by working alongside other supportive services including health and social care. By engaging regularly with other schools on their attainment data, schools can identify struggling and successful counterparts and learn from them. SMS-2B and MMS-2B identified the Universalist budgeting approach21 as a potential source of exclusion. They believe that if the universalist approach to budget allocation and spending is not adapted to accommodate preventative spending, children and young people who need additional learning support at an earlier age may be excluded from reform initiatives because of their inability to access relevant preventative services. Still, MMS2B noted that preventative spending can divert attention away from acute issues in need of urgent attention. Given the current fiscal consolidation, this

Empirical Research Findings from Council B 149 Table 5.9 Summary – References to Exclusion as Social Risk Manager Levels

Total No. of Managers Interviewed

Partnership People Performance Prevention

SMS SMSI MMS MMSI

2 3 2 2

0 0 0 0

1 2 1 2

1 0 0 1

2 1 0 2

manager asserts that Council B has managed the expectations of the prevention pillar and associated exclusion risks well. In the manager’s words: “I think we’ve tried to indicate that we can fight on our worst fronts”. The responses suggest that the prevention approach may exclude nursery school children if resources are allocated directly to primary and secondary schools. Early intervention at nursery school level is critical because the attainment gap particularly in numeracy and literacy skills is noticeable in children from as early as three years old (Sosu and Ellis, 2004; Bradshaw, 2011). On the other hand, the prevention approach can potentially exclude deprived children and young people in primary and secondary schools. This is due to the restricted funding available for some services like the additional support for learning, leading to potential risk of exclusion at all levels of education. In summary, there seems to be awareness of the potential social risk of exclusion during SSES reform which was identified by seven out of the nine managers interviewed. The risk was associated more with the people pillar, as reported by six out of nine managers (Table 5.9). Closely following the people pillar, was the prevention pillar as reported by five out of nine managers. Two managers associated exclusion risks with the performance pillar. None of the managers associated the partnership pillar with the risk of exclusion. SMS and MMSI associated the risk of exclusion with the people, performance, and prevention pillars; SMSI focused on the people and prevention pillars; and MMS on the people pillar alone. These responses indicate that exclusion as a social risk was identified across managerial levels of implementation and strategy. Poor Learning Outcomes PEOPLE PILLAR

Two managers believed that wrong implementation of the people pillar could lead to poor learning outcomes in young people. The other seven managers did not take this view. According to SMS-2B, service reform for

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Empirical Research Findings from Council B

Table 5.10 People Pillar – References to Poor Learning Outcomes as Social Risk S/N

Managerial Role

Why (Reason)

Who (Groups That May Experience Poor Learning Outcomes)

1

SMS-2B

All children and young people

2

MMS-1B

Resource intensive, short-termism Excessive discretion to teaching staff

All children and young people

addressing the attainment challenge based on the people pillar can be resource intensive (Table 5.10). This is because it requires that staff be allocated time and space to understand how it can be effectively implemented. The reality is that insufficient time is allocated because of the pressure to address the attainment challenge. The manager believes that results will not happen overnight because the attainment challenge is also a cultural issue requiring a cultural shift. The social risk to the children is that they may not achieve the learning outcomes set out in National and Council policy objectives because of an ill-equipped, ill-prepared workforce. By extension, families may leave the local community in search of higher performing schools elsewhere if performance of local schools does not meet their expectations. No mention was made about how this risk may be managed. From MMS-1B’s perspective, allowing too much discretion to teachers may lead to poor learning outcomes because not everyone would have a good understanding of how to teach effectively. The manager suggested that this could be managed by adopting good project management principles. So, encouraging teacher creativity based on the people pillar can help them to identify and understand the risks of poor learning outcomes associated with the people pillar. PERFORMANCE PILLAR

Investing time on performance measurements could sometimes lead to poor learning outcomes for children and young people, according to SMSI-3B (Table 5.11). This is because aspects of performance assessment, impact and outcome which are equally important, may be neglected. This risk is being managed with the use of a risk register. Additionally, schools conduct risk assessments to identify different options and how they impact upon young people. The manager acknowledges the lack of formality associated with their current risk management approach. Yet, this approach seems to be preferred because it encourages a balance between the paperwork associated with risk management and the practice of implementing it. Similarly, MMS-1B and MMS-2B think that the use of performance indicators to measure performance may encourage focus on performance targets at all costs, possibly neglecting the ongoing learning needs of some

Empirical Research Findings from Council B 151 Table 5.11 Performance Pillar – References to Poor Learning Outcomes as Social Risk S/N Managerial Role

Why (Reason)

Who (Groups That May Experience Poor Learning Outcomes)

1

SMSI-3B

All children and young people

2

MMSI-1B

3

MMS-2B

4

MMS-1B

Excessive focus on performance measurements rather than performance outcomes Highly qualified staff with insufficient teaching experience Excessive focus on meeting performance targets Excessive focus on meeting performance targets

All children and young people All children and young people All children and young people

children. MMS-1B believes that this risk can be managed through discourse with Government because they are responsible for developing the performance indicators. The manager also recommends that Council B identified upside and/or downside risks including unintended consequences associated with incorporating performance indicators. The performance pillar encourages staff and leadership development, transparency, and data-driven decision making (Public Services Commission, 2011). MMS-2B confirmed that Council B has adopted this approach by sending staff on leadership courses. Time spent attending courses to ensure staff and leadership development, transparency, and data-driven decision making according to the performance pillar, means that some teachers may not have sufficient experience in the classroom. MMS-2B believes that a minimum of five years of classroom experience is required for learning from mistakes and coaching others. Some schools may therefore have highly qualified people as per the performance pillar, but without the requisite experiences. This means that children and young people may not have the best learning outcomes as a result and therein lies the risk. Additionally, MMS-2B explained that excessive administrative responsibilities brought about by SSES reform and insufficient support staff may also impact negatively on teaching and learning quality because teachers have less preparation time and support. This view was supported by findings from an independent study (Ravalier and Walsh, 2017). Furthermore, supply teachers (some of which are unaware of their roles) are recruited to provide cover for teachers on training courses. MMSI-1B considers this a risk because supply teachers may not be as familiar with children and young people as their teachers. This can create downtime in teaching and negatively impact upon learning outcomes. Such risks are being addressed via the provision of probationary support, one to one discussion between the council education manager(s) and the teachers, and by taking appropriate action where necessary.

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Empirical Research Findings from Council B

PREVENTION PILLAR

Only two managers associated the prevention pillar with the possibility of poor learning outcomes for young people. The remaining seven managers did not make this association. Adopting the prevention pillar in SSES reform is relatively new. SMSI-2B admitted that money may be invested into preventing negative outcomes. However, the lack of an evidence-base means that they may not know if the selected approach would work (see Table 5.12). According to this manager: “Sometimes, we don’t know what approaches work. So, you can plough a lot of money into approaches, but the risk is that it’s not an evidence-based approach … . but it can be a very long time before the impact can be truly measured. So, the risks are that you don’t pick the right approach … it’s got no impact. It was a nice thing to do, but it didn’t make a difference, it didn’t improve attainment.” For children and young people, the selected approach may indeed increase attainment levels. However, it may equally lead to poor learning outcomes for example a decrease in attainment or have no impact on attainment. So, the risks are that the right approach was not selected and the impact on children would manifest in the medium to long-term (in about 10 years). At this point, it may be too late to effect a change or correct the issue. This, in the manager’s words may lead to “unintended consequences” for the young person, society, Council B, and the Scottish Government. SMSI-2B said that prevention risks are managed using the 3-Horizon Modelling approach.22 As noted by MMS-2B, money should be spent on preventing negative outcomes and on addressing acute challenges such as misbehaving teenagers and/or young orphans without homes and without prospects of being adopted. Considering such acute, adaptive challenges, focus on prevention may begin to diminish, leading to poor learning outcomes evidenced by an increase in the attainment gap.23 The manager believes that Council B has managed prevention risks well by doing more with less despite the fiscal consolidation but did not provide details on how this has been achieved in practice. Table 5.12 Prevention Pillar – References to Poor Learning Outcomes as Social Risk S/N Managerial Role

Why (Reason)

Who (Groups That may Experience Poor Learning Outcomes)

1

SMSI-2B

Lack of evidence base

2

MMS-2B

Excessive focus on addressing acute challenges and neglecting preventive services

Children and young people with attainment challenges Children and young people with attainment challenges

Empirical Research Findings from Council B 153 Table 5.13 Summary – References to Poor Learning Outcomes as Social Risk Managerial Levels

No. of Managers

People

Performance

Prevention

SMS MSI MMS MMSI

2 3 2 2

1 0 1 0

0 1 1 2

0 1 0 1

In brief, poor learning outcomes as a social risk was identified by six out of nine interviewed managers. Unlike the exclusion and reductionism social risks, poor learning outcomes was associated more with the performance pillar (see Table 5.13). Two managers each associated the people and prevention pillars with the risk of having poor learning outcomes. The partnership approach was not associated with this social risk. Unlike exclusion and reductionism risks (discussed next), the groups that may experience poor learning outcomes are smaller and may include some children and young people with attainment challenges. If unaddressed, these groups widen to include local communities in the medium to long-term because young people may not arrive at positive destinations (further or higher education, work, entrepreneurship, and/or apprenticeships). This may lead to over-reliance on social care services and involvement with criminal justice issues. Reductionism PEOPLE PILLAR

Three out of nine managers associated the people pillar with the risk of reductionism. SMS-1B noted that most of the children and young people with poor attainment are those in the poverty group. This risk therefore stems from treating the attainment gap as the problem (rather than a symptom) and allocating the attainment challenge funds and the PEF to manage that risk (Table 5.14). Whereas recognizing the attainment gap as a symptom of a wider poverty related issue and managing it through poverty alleviation may produce more effective and sustainable results. According to this manager, a range of issues should be considered: “The issue is the housing, the culture, the opportunities for learning and development. They are wider ones. So, therefore I think that the danger is that we have got an outcome (attainment gap) but we’re trying to pursue it, with just one string to the bow, rather than having many strings. We’ve focused it down”. MMS-2B and MMSI-1B supported this argument, but from different perspectives. MMS-2B explained that the people pillar should not focus solely on

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Empirical Research Findings from Council B

Table 5.14 People Pillar – References to Reductionism as Social Risk S/N Managerial Role

Why (Reason)

1

SMS-1B

Unaddressed poverty related issues

2

MMSI-1B

3

MMS-2B

Who (Groups That May be Negatively Impacted By Reductionism)

Individuals, young people, families, local communities, local council, and society Unaddressed health and Individuals, young people, wellbeing issues families, local communities, local council, and society Inadequate recognition and Individuals, young people, development of non-academic families, local communities, skills in young people local council, and society

addressing the attainment challenge but should include the development of a range of social skills (for example effective communication, confidence, adaptability, and others). That manager identified another longer-term strategic risk associated with a failure to maximize the potential of every young person as inability to generate income to sustain the growing elderly demographic. MMSI-1B explained that SSES reform efforts to raise attainment seemed to focus mainly on improving literacy and numeracy skills. This manager believes that ensuring the health and wellbeing of young people could help to manage this risk because healthy and happy children learn better. According to MMS-2B, the question should not be a standalone one asking how the attainment challenge should be managed. It should be a series of inter-related broader contextual questions that seek to identify and address learning, social, health care and accommodation needs of individual school children and their families. Council B’s 2017 – 2022 Plan corroborates this argument by highlighting the relationship between parental substance abuse and the increased number of looked after children24 in the council area. According to the plan, Council B are adopting a proactive rather than reactive stance to managing this risk by ensuring better child protective services assessment and by providing early family, professional and parenting support. The consensus at strategic and implementation levels of senior and middle management was that people-related reductionist risks could be managed by addressing a range of contextual socio-economic issues that cause the attainment challenge. The responses suggest that these risks will be better managed at the macro-level of the Scottish Government. PARTNERSHIP PILLAR

SMS-1A explained that reductionism could occur in some cases if the “lens approach” to SSES reform is adopted (see Table 5.15).

Empirical Research Findings from Council B 155 Table 5.15 Partnership Pillar – References to Reductionism as Social Risk S/N Managerial Role Why (Reason) 1 2

SMS-1A MSMI-1B

Who (Groups That May be Negatively Impacted by Reductionism)

Lens Approach Individual children and young people Lack of clarity due to Vulnerable children and young insufficient information people

According to this manager, the lens approach refers to situations where different public-sector departments view pupils from their own perspective, perhaps sometimes missing the entire picture. For example, “The health service views them as a patient, the police service views them as a criminal, teachers view them as pupils, and therefore if you view them through those lenses, you don’t view them as an individual who has complex needs that need to be satisfied. You view them through the lens of your profession. And therefore, you never view them as a whole. You view them as how your lens views them and that’s what was very clear from our children services inspection was our biggest mistake.” SMS-1A argued that the lens approach may not deliver positive learning outcomes for individual pupils because the education department and their partners assume a silos approach to treating the symptoms that they see in relation to their lenses. The attainment challenge therefore becomes both a consequence and a symptom of not addressing attainment holistically. The manager explained that key contextual issues relating to health, social care, and/or housing that may impact positively on the attainment of individual children and young people may be ignored if they are viewed with different labels and from different lenses (lens approach). Furthermore, partnerships may not function effectively. SMS-1A believes that this risk can be managed by social inclusion; meaning pupils are treated from a holistic perspective as citizens. This is expected to allow different public-sector departments to participate in their overall development by aligning all services (school education, health, social care, policing, and others) to address their individual needs. Such approach can be challenging for some service areas and more difficult to implement in practice. From MMSI-1B’s perspective, reductionism can occur if there is a lack of clarity whereby teachers do not have enough relevant information about their pupils outside of their learning needs. Lack of clarity could also mean that head teachers, teachers, school managers and leaders are unsure of their roles and responsibilities. Consequently, they may not make the right decisions and may not effectively address attainment needs of young people particularly if they need input from other departments.

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While the management of this risk is still work in progress, the council needs to be fully aware of the information gaps in the children and young people’s well-being. MMSI-1B believes that the council partly addresses this risk through regular meetings between the Chief Executive and the Directors and Heads of services. However, the manager reported that school education reform may sometimes be ineffective because strategic decisions are not always properly communicated. Furthermore, the disconnect between the strategic objective set and how they are implemented by middle and front-line managers could hinder effective SSES reform. The responses above illustrate that the “lens approach” and insufficient information which were cited as sources of partnership-related reductionism risk, allude to poor communication between strategic and implementation levels in SSES reform. This risk was identified by two out of nine managers; the other seven managers made no similar identification. This suggests insufficient awareness and so may not be fully understood and adequately addressed. PERFORMANCE

Since the performance approach is measurement driven, it provides evidence for good and/or poor performance which can be motivating or demotivating. The national reporting serves to inform young people and parents about the performance of different schools in their localities. MMS-2B believes that these performance measures can demotivate the service users if their children’s schools perform poorly relative to others (Table 5.16). This may discourage them from participating in subsequent reform activities and/or encourage them to move out of their local communities in search of better performing schools. In terms of managing this risk, the manager explained that it is work in progress because the practice of national reporting is still relatively new. Like in the case of the peoplerelated reductionism risk, MMS-2B emphasized that the drive to improve children and young people’s attainment by focusing on their academic performance “without investing in other things in those communities is an almost Table 5.16 Performance Pillar – References to Reductionism as Social Risk S/N Managerial Role

Why (Reason)

Who (Groups That May be Negatively Impacted by Reductionism)

1

MMS-2B

National reporting may demotivate service users

2

MMS-1B

Tick-box exercise

Individuals, young people, families, local communities, local council and society Individuals, young people, families, local communities, local council and society

Empirical Research Findings from Council B 157

impossible task”. This may be because poor attainment is caused by a range of interconnected factors besides poor academic performance. The development of successful learners, effective contributors, confident individuals, and responsible citizens is one of the 16 National Outcomes25 of the Scottish Government (Scottish Government, 2016d). The Scottish Government tracks the progress of these 16 national Outcomes with National Indicators (Scottish Government, 2018c), which act as performance measurement tools. MMS-1B expressed concern that performance measurement can be reduced to a tick-box exercise targeted at raising overall attainment. Within the school context, PSR focuses on raising overall attainment (Scottish Government, 2015c), inadvertently ignoring the possibility that some children and young people are not academically inclined and so may not need top grades to excel in their chosen profession. MMS-1B did not say if this risk is currently being managed or how it could be managed. This maybe because the manager is not directly involved with school provision and reform and so may not be privy to such information. The performance-related reductionism risk was identified at MMS level alone. This possibility was not considered at SMS, SMSI, or MMSI levels. This is probably because MMS-1B and MMS-2B are more aware of the need for legislative compliance and the financial risks that may accompany non-compliance. PREVENTION

Of the nine respondents, eight did not associate the prevention pillar with the risk of reductionism. Only SMSI-2B noted that the prevention pillar may lead to ignoring wider contextual socio-economic issues whereby some young people leave care homes without adequate support. This may create significant costs to the economy in terms of benefit payments, care, and/or criminal justice expenses. Various stakeholders may be impacted including young people, local communities, local council, and the Scottish Government. However, if these young people receive timely support, then Local and Scottish Governments may not have to deal with these adaptive challenges. In that manager’s words: “if we had supported them further down the chain, then maybe we wouldn’t have to deal with them. So, it’s the same issue. Deal with things early and the impacts can be better”. According to this manager, the prevention pillar works in the long-term but there is a need to address current challenges. Therefore, Council B manages prevention risks using a 3-horizons modelling approach. In summary, reductionism as a social risk was identified by five (SMS-1B, SMSI-2B, MMS-1A, MMS-1B, MSMI-1B) out of the nine respondents.

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Table 5.17 Summary – References to Reductionism as Social Risk Managerial Levels

Total No. of Managers

Partnership

People

Performance

Prevention

SMS SMSI MMS MMSI

2 1 2 3

1 0 0 1

1 0 1 1

0 0 1 1

0 1 0 0

Like the exclusion risk, the reductionism risk was associated more with the people pillar as perceived by three out of nine managers (Table 5.17). Two managers each associated the reductionism risks with the partnership and performance pillars. One manager established this association with the prevention pillar. SMS associated the risk of reductionism with the partnership and people pillars. SMSI did the same with the prevention pillar, MMS with the people and performance pillars; and MMSI with the partnership, people, and performance pillars. Like the exclusion risk, reductionism was identified across managerial levels of implementation and strategy which indicates certain level of awareness. The responses above demonstrate that the groups that may be negatively impacted by reductionism risks based on inappropriate implementation of the partnership pillar include individual children, vulnerable children, and young people in general. With the people and performance pillars, the groups have been identified as individual children, young people, families, and local communities. Whilst failures concerning the prevention pillar may not immediately affect children, it may affect young people, and local communities in the future. No Risk

SMS-2B and MMS-1B believed that there were no risks associated with the partnership pillar. SMS-2B believed that the performance pillar has only positive impact and failed to identify any associated risk. Prevention-related social risks were not identified by SMSI-3B, MMS-1B, and MMS-3B.

5.4 Concluding Remarks To a large extent, findings from Council B’s historical documentary analysis were consistent with those from the interviews. External institutional structures driving SSES reform in Council B were identified. From the documentary analysis, politics and the socio-economic factors were identified as the two main external institutional influences driving SSES reform in Council B. Whilst political influence seemed to occupy a major role, socio-economic factors emerged as key drivers. As outlined in their Corporate Plan, Council B’s major objective is economic regeneration and

Empirical Research Findings from Council B 159

SSES reform is one of the ways in which they address this. From the interview analysis, politics, society and economy, and technology were identified as drivers of SSES reform. The respondents also confirmed that socio-economic factors have played a major role in driving SSES reform in Council B since 2003. Like in Council A, both forms of analyses expose the complex relationship between external institutional factors, as they determine SSES reform in Council B. During the documentary analysis, public participation, leadership, and risk management emerged as key institutional factors for facilitating or hindering SSES reform in the Council. Organizational risks were the most prevalent form of risk discussed in council documents published between 2006 and 2018. Strategies for managing these risks were presented in these documents. Documentary analysis indicates that social risk discussions relating to poverty-related attainment gaps, inequality, and exclusion rates (from school) ;began to emerge in 2009 and are ongoing. Although they were not described as social risks, these risks were explicitly discussed in most of the reviewed documents (Care Inspectorate, 2016). The related discourse revolved around service delivery, and SSES reform based on the 4PS approach as discussed in Section 5.3.3. Some of the social risks identified seemed to have been managed (like those associated with the prevention pillar). Some seem to have been partly managed (like those related to the partnership pillar). Others, like those related to the people pillar ;(specifically PEF), have not yet been managed. No social risk was associated with the performance pillar. Social policy risks relating to the health and safety of children and young people were acknowledged and associated with service provision from a social work perspective. Compared to Council A, interview analysis revealed a slightly different set of internal institutional factors influencing SSES reform in Council B. Leadership and public participation were considered as key facilitating factors of SSES reform. The main difference is that organizational culture was included as a facilitating factor and not risk management as was the case in the documentary analysis. For the barriers to SSES reform, leadership, public participation, and organizational culture, along with legislation were identified as key barriers. Discussion on organizational culture (e.g., bureaucratic and risk averse culture) was linked to and categorized under risk management (see Table 5.5). This shows certain understanding about the close interaction between both concepts. Social risks did not feature in these discussions but were noted when respondents were specifically asked questions relating to social risks under the 4Ps section. Exclusion (from reform initiatives and/or school), poor learning outcomes, and reductionism were the three forms of social risks associated with the 4Ps approach to SSES reform. This suggests that council managers are aware of and can conceptualize social risks. Yet, they do not

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Empirical Research Findings from Council B

articulate social risks as such, probably because there are no explicit discussions about it at the macro socio-political institutional level of the Scottish Government, meso institutional level of the Council (that is in Council annual reports, corporate documentation, or in external annual audit reports), or micro implementation level of the Heads of Department and head teachers. Nevertheless, Council B’s risk register clearly identifies poor partnership participation,26 vulnerability,27 and inequality28 as risks; though they were not associated with any of the 4Ps. These implicit risk issues are addressed by ensuring evidence-based decision-making using performance data, committee scrutiny, and consistent and ongoing audit/ review. In the case of poor partnership participation, managing stakeholder expectations and performances was included as an additional risk management technique. Likewise, for vulnerability and inequality risks, reviewing resource allocation is included as an additional risk management technique. Operational risks associated with legislation (possible failure to meet statutory or service needs innovation) ;and resource constraints (potential lack of finance and management capacity) are other risks identified and included in the risk register along with techniques for their management. Overall, documentary and interview analyses show that Council B is risk aware although the respondents had different opinions about what constituted social risks. Embracing a social risk governance, and not just a risk management perspective, the Council took proactive steps to execute strategies that in their opinion could address the risks of exclusion. For example, they executed an adapted form of the named person legislation taking into consideration legislative requirements, though the legislation for this is still under review. The recent risk register for Council B’s education services shows a growing awareness of the social risks associated with service provision and their approach to managing this. Reform-related social risks were not explicitly discussed in the corporate risk register but could be inferred. However, they were explicitly discussed and noted during a few committee meetings. Council B is very vocal in its ;concern about the risks posed by new reform initiatives like the PEF. Responses from the SMS and SMSIs demonstrated significant awareness of the acute nature of some social risks, and on a few occasions, they reflected the risk language. These managers were aware of how these risks were and, in some instances, could be managed. Furthermore, their responses were aligned with the Council’s key corporate, school education and risk management documents. Middle management (apart from one MMS who works in internal audit department) was not as explicit in its articulation of reform-related social risks and their management. As in Council A, the practical implications relate to a need to train council staff across all levels on how ;reform-related social risks can be identified, conceptualized, reported, managed, monitored, and governed. In terms of the policy implications, if social risks in general and

Empirical Research Findings from Council B 161

more specifically the ones associated with reform are not managed, they may evolve into strategic risks with potentially far reaching political and socio-economic impact. The social mechanism underpinning this is explored in more detail in Chapter 6. Additionally, comparative analysis of results from Councils A and B are presented in Chapter 6. Building on the theoretical framework developed in Chapter 3, Chapter 6 addresses objectives 2, 3, and 429 using data from Councils A and B by: • • •

Explaining how institutional structures constitute adaptive challenges and how they drive SSES reform based on critical junctures and path dependencies. Critically exploring the nature of social risks including the guises in which they appear. Critically examining the inherent structure-agent relationship and demonstrating how this social mechanism can shape the production, reproduction, and management of reform-related social risks.

Notes 1 The objectives are articulated in Section 1.4. 2 This figure sums up the population in accessible rural and remote rural areas. Remote rural settlements contain less than 3,000 residents. Drive time is more than 30 minutes but less than 60 minutes to settlement with 10,000 or more residents ( Scottish Government, 2018f). Rural settlements have less than 3,000 residents (ibid). 3 See Section 3.2.3, for detailed discussion on the content and focus of reform. 4 The National Improvement Framework provides information on how the public, private, and third sectors, including people residing in Scotland, can collaboratively work towards achieving national outcomes (Scottish Government, n.d.4). 5 Council priority 2 is to provide the best start in life for local children. 6 Council priority 3 is to protect our most vulnerable people. 7 Council priority 1 is to build the local economy. 8 Council priority 4 is to build an inclusive council. 9 The systematic literature review in Chapter 2 provides detailed explanation of how the three key themes emerged. 10 This component concentrates on improving resource targeting via zero based and policy led budgeting. 11 In 2004/05, the capital programme (£26.574) was plagued with slippage worth £8.032 million. In the 2005/06 capital programme (£27.051), the slippage was worth £9.765 million, while the 2006/07 capital programme (£30.334) was plagued with slippage worth £10.974 million. The 2008/09 capital slippage was worth £7.39 million. 12 They provide Education Administration and Management Information System across Scottish Local Authority primary and secondary schools. 13 2010 was selected for two reasons. First, it aligned with the time span of the Systematic Literature Review. The year 2010 acted as a critical juncture and consequently driver of PSR in most countries. Second, fiscal consolidation began in Scotland in 2010. It is therefore necessary to find out if fiscal consolidation had any impact on the reform of school education in Council B. 2018 was selected as the cut-off point because that was when the last interview was conducted, although most of the interviews held between 2016 and 2017.

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Empirical Research Findings from Council B

14 Following the SLR conducted in Chapter 2, leadership, risk management, and public participation were identified as internal institutional factors capable of influencing PSR. These factors were also identified as influencing factors of school education reform based on documentary analysis of empirical data from Council A in Section 4.2.2. However, only leadership and public participation were identified based on interview analysis in Section 4.3.2 as respondents did not explicitly identify risk management as an influencing factor. 15 Organizational culture is usually developed and promoted by leadership. Therefore, a risk-averse organization culture falls within the purview of leadership and was implied by SMSI-2B and MMS-1B. 16 The concept of bounded rationality assumes that “decision makers are intendedly rational; that is, they are goal-oriented and adaptive, but because of human cognitive and emotional architecture, they sometimes fail, occasionally in important decisions” ( Jones, 1999, p.297). 17 A named person is responsible for monitoring the welfare of a child, young person, and/ or their parents by providing advice, direct support, and assistance with service access. Pre-school children will typically have health visitors as named person, while school children can have head teachers or guidance teachers ( Scottish Government, 2017j). 18 This document was first published in 2013, was revised in 2015, and then reviewed in 2018. 19 Scotland’s National Qualification include National 1, National 5, Higher, and Advanced Higher qualifications. It was introduced to support the development of relevant skills and knowledge required by young people to thrive in further or higher education, employment, or training. It underpins the Curriculum for Excellence, Scotland’s national curriculum for young people between 3 and 18 years old (SQA, n.d). Five Highers are required for university admission. 20 The universalist approach to intercultural ethics contends that all cultures should equally adhere to a set of formulated norms ( Evanoff, 2004). It fails to recognize cultural differences. 21 In this context, the universalist approach to budget allocation refers to a more general approach to allocating funds whereby everyone benefits rather than a specific approach which focuses on a specific target audience (children in need) and prioritizes proactive preventative spending over reactive crisis management spending. 22 The prevention approach works in the long-term but there is need to address current challenges; hence the need for the 3-horixzons modelling approach. This approach considers the consequences associated with the planning and implementation of reform in three-time zones namely the short, medium and long-term ( Moore, 2007). 23 The attainment gap is evident in children from the age of three ( Sosu and Ellis, 2014; Bradshaw, 2011). 24 One of Council B’s priorities is to raise attainment and encourage participation of Looked After Children and others with protected characteristics. This is because they fall into the vulnerable groups that’s struggle with attainment. 25 National Outcomes describe the Scottish Government’s aim over a 10-year strategic period ( Scottish Government, 2016d). 26 In the Council’s risk register, poor partnership participation refers to the Council’s failure to engage fully with strategic partners like the Early Years Establishment, Third Sector and NHS. Parents are neither identified nor included as strategic partners in this document, although the Council’s 2017 – 2022 plan acknowledges them as such. 27 Vulnerability risk refers to the Council’s failure to address the needs of vulnerable adults and children. 28 while inequality risks refer to citizen’s unequal access to Council services. 29 See the Preface.

6

Discussion of Findings

6.1 Introduction As illustrated in Chapter 2, there has been limited research on the nature and management of risk, especially social risk during public service reform (PSR). To the knowledge of the author, there has been no explicit attempt to explore the agent-structure1 relationship and its impact on the production and reproduction of social risk in a Scottish school education services (SSES) reform context. This chapter addresses this knowledge gap and contributes to the scant literature on social risk. It explores the association between macroinstitutional structures driving SSES reform (along with the social practices of SSES institutions) and the agency (and behaviour) of their management team using structuration theory. Insights from risk management and structuration theories enable understanding about how the agent-structure duality facilitates the production and management of social risk during SSES reform. As previously mentioned in Chapter 3, the use of risk management and structuration theories in this monograph extends previous management studies. This chapter addresses research objectives 1 and 2 (see detailed discussion in the Preface) and is structured as follows. Section 6.2 synthesizes the original research findings based on comparative analysis of the context and content of SSES reform in Councils A and B. Considering school education reform in Councils A and B, Section 6.3 explores the role of (1) domination structures and facilities in the (re)production of social risk, (2) signification structures and interpretive schemes in social risk management, and (3) legitimation structures and norms in the institutionalization of social risk management. The concluding remarks which are presented in Section 6.4 summarize salient points from the preceding discussions.

6.2 Summary of Primary Research Findings: A Comparative Analysis of Context and Content of School Education Reform in Councils A and B Following documentary and interview analysis on both councils, two distinct forms of SSES reform were identified. The first form started in 2004, DOI: 10.4324/9781003154327-6

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Discussion of Findings

resulting from changes in the political, socio-economic, and technological contexts during that period. These changes introduced predominantly technical2 challenges associated with the poor conditions of Scottish schools, addressed by the renovation of the schools’ estate. Hence, the first form of SSES reform concentrated largely on regenerating the schools’ estate to improve the learning and teaching institutional environment, thereby indirectly improving learning and teaching. This form of reform was implemented using the school estate management plans in both councils. The risks associated with this approach were mainly organizational as presented in Chapters 4 and 5. As this monograph focuses on social risks, the social mechanism detailing the production and management of organizational risks associated with the use of the school estate management plan are neither theorized nor conceptualized here. The second form of SSES reform became evident from 2015 and is implemented based on Scotland’s distinct 4Ps approach to PSR. This form of reform is limited to the attainment challenge and is ongoing. Despite certain overlaps between both forms of service reform, the attainment challenge has been prioritized because of changes in the social structure including politics, legislation, society, economy, and technology. Considered in isolation, changes in each of these external institutional structures may be perceived as introducing technical challenges with more or less clear problem definition and solution. Therefore, they may not require reform as they can be resolved in a relatively short time by experts. However, a holistic assessment of the changes reveals the interconnectedness between external institutional structures and how they constitute adaptive challenges to the delivery of school education in Scotland. Both councils’ approaches to SSES reform are influenced by wider external social and, increasingly, institutional conditions. The latter relating to a proliferation of educational initiatives3 introduced by the Scottish government. Recall4 that adaptive challenges are difficult to define because they are new and complex challenges which cannot be resolved using familiar approaches. They typically originate from more than one source requiring resolution across institutions: hence the need for service reform. They can have long-term implications and require an experimental approach driven by public participation. Essentially, primary research findings suggest that adaptive challenges drive SSES reform and may introduce or exacerbate social risk. This is discussed extensively from a structuration perspective in subsequent sections. Based on primary data, Table 6.1 compares the adaptive challenges driving school education reform in Councils A and B between 2015 and 2018; thus, shaping discussions in Sections 6.2.1, 6.2.2, and 6.2.3. It should be noted that the listed adaptive challenges are largely similar with subtle differences in societal drivers, economic drivers, and demographic drivers. This is discussed next.

Discussion of Findings 165 Table 6.1 Main Adaptive Challenges Driving School Education Reform in Councils A and B: 2015–2018 Council A Society, Economy, and Demography 5 Societal drivers Increased societal recognition of educational value Societal inequities Widening attainment gap Economic drivers Ongoing fiscal consolidation and budget allocation Skills deficit Depopulation (outward migration) Politics and Legislation 6 Political drivers Political priority Political agenda Legislative drivers Legislative structures and mandates Technology Technological drivers Technological changes

Demographic drivers

Council B Reduced societal appreciation for educational value Social inequities Widening attainment gap Ongoing fiscal consolidation, rural poverty, and the pace of savings Employability Depopulation (increased death rates) Political priority Political agenda Legislative structures and mandates Technological changes

6.2.1 Socio-Economic Context

According to Council A, societal recognition of educational value (see Table 6.1) does not only require improving educational standards. It also requires adapting learning and teaching for the 21st century to address the skills deficit issue. This is what constitutes an adaptive challenge in Councils A and B, thus driving school education reform. It means that children and young people should be taught transferable, adaptive skills, which will enable them to respond to changing requirements in job markets. So, the emphasis should be on instilling skills for self-learning and retraining as a sustainable reform objective rather than teaching skills that will soon be out of date (if ever they are relevant) in the era of robotics and artificial intelligence. This should be at the heart of reform – not students defined as “pupils” as is conventionally said. Such approach is more comprehensive than closing the attainment gap. Closing the gap is not enough from a longer-term perspective that takes regard of reskilling and retraining requirements in the future job markets. To use an illustrative analogy, closing the attainment gap in a school in a disadvantaged area may enable its pupils to get onto the playing field when they leave school, but lack of self-learning skills results in its pupils having to leave the field when their employment skills become redundant. Whilst communities in Council A seem to appreciate the value of education, those in Council B seem less inclined to do so (see Table 6.1). Therefore, the

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Discussion of Findings

current school education system in Council B may not be as relevant to the world of employment or for enabling a society as it should be. This is because the society that should be involved in leading and forming seems to be distant, rather than a part of the conversation around transforming SSES. How then can Council B regenerate its economy by preparing young people for further/higher education or employment opportunities when there seems to be little societal encouragement? These adaptive challenges highlight the need to transform SSES by addressing deep-seated sociocultural issues in Council B communities. As depicted in Table 6.1, changes in socio-economic structure such as the widening attainment gap is another adaptive challenge common to both councils. This exacerbates inequalities in school education outcomes across social strata. Addressing this challenge is not the sole responsibility of education services. It requires collaboration between relevant council departments (health, social, transport, housing, and/or policing services) and between council departments, young people, parents, and local communities. Similarly, declining budget allocation is an adaptive challenge affecting both councils. Population numbers7 and the school roll determine the budget allocated by the Scottish government. Since there is an overall population decline in both councils, budgets allocated to them are reduced annually. This adaptive challenge is aggravated by fiscal consolidation. It relates to how both councils can sustainably deliver school education whilst making efficiency savings. Granted, additional funding has been allocated to Scottish schools via the Scottish Attainment Challenge (SAC) and Pupil Equity Fund (PEF). Still, these financial resources are finite as they are only available during the current political administration which is between 2016 and 2021 (Scottish Government, n.d.1). Though Scottish councils can now increase council taxes by a maximum of 3%,8 this is not enough to address growing demand for council services. Despite these fiscal pressures, councils are still expected to make efficiency savings in line with fiscal consolidation. It then becomes difficult for Councils A and B to make more efficiency savings without reducing or stopping the delivery of certain education services. Consequently, further efficiency savings may negatively impact educational attainment of children and young people in both councils. For example, reducing support services supplied by the libraries, museums, archives, education psychology services may reduce educational attainment of children dependent on such. These adaptive challenges highlight the need to transform SSES because the current approach seems unsustainable. Various adaptive questions drive the approach to the reform process in both councils including: • • •

Can the councils do things differently? Can they increase capacity by working with other people and organizations? Can they source external funding?

Discussion of Findings 167

• •

Can they stop some education services like school trips and music lessons without negatively impacting educational attainment and outcomes? Can they provide these support services differently while concentrating on literacy, numeracy, health, and well-being?

These questions demonstrate how socio-economic changes might influence decision-making on SSES reform in both councils. Demographic changes are categorized as socio-economic changes because of the intricate links between both. Selective depopulation as is the case in Councils A and B means that there are fewer children and young people in those local communities. In Council A, depopulation stems from outward migration of those with skills seeking jobs, fuelled by minimal economic activity and high unemployment rate.9 About 70% of the younger population migrate annually in search of better socio-economic prospects. Those not seeking jobs tend to remain, this selective outmigration leaving behind a population disproportionally and increasingly dependent upon council services. This includes unskilled workers 50 years old or more who consider it too late (not worthwhile financially or in career terms) to incur the direct and indirect costs of moving away, elderly retired people with pensions, disabled people of working age for whom few jobs are available, and those from ethnic groups who feel discriminated against in the jobs market. In Council B, depopulation is primarily linked to increased death rates (NRS, 2014). Compared to other Scottish local councils, Council B has the highest percentage of people who are above 75 years of age. Despite the different reasons for depopulation, it constitutes an adaptive challenge to the delivery of school education in both councils. School estate plans, for example, are usually developed based on population projections of young people living in Councils A and B. A population that is progressively skewed in favour of the older population means that some schools become under-occupied, but teachers are still required to cover the curriculum. Hence, the unit costs of school education rise as both teaching and nonteaching costs per pupil rise (Bailey, 1982, 1984). This hinders strategic planning relating to closing the attainment gap by Councils A and B schools. In addition to the adaptive questions formulated earlier, the following underscore the need to transform school education in Councils A and B: • • •

How should school education be delivered to a diminishing school population? Should the councils merge smaller schools and how can this be achieved successfully considering the organizational culture of individual schools? Should bigger school estates be used for other purposes besides the delivery of school education, for example, recreation and/or commercial activities?

168

• • • •

Discussion of Findings

Should some advanced (especially sixth form) classes be held online across several schools and for which subjects and/or pupil group? How might online learning and teaching impact on pupils requiring additional learning support? How will pupil participation and inclusion be measured? What happens if there is an increase in the number of schoolchildren and young people resulting from increased birth rates (demand for school places increases after several years as children reach nursery school age) and in-migration (creating immediate demand for places in nursery, primary and secondary schools)?

Like the previous set of questions, these demonstrate how demographic changes might influence decision-making on SSES reform in both councils. 6.2.2 Political and Legislative Contexts

Findings from documentary and interview analyses identified legislative factors and the Scottish government’s political priorities and agenda (made manifest and driven by the proliferation of initiatives discussed in Chapter 1) as key drivers of school education reform in Council A between 2015 and 2018 (see Table 6.1). Bills and legislation (the Education Bill, Children and Young People’s Act), targeted initiatives (SAC, PEF) and framework (Getting It Right for Every Child [GIRFEC]) seem to be highly prescriptive in their mandate for SSES reform. While they provide a structure that guides SSES reform, respondents from Council A believe that this strong prescriptive component may hinder the process as it curtails innovative thinking, driving councils into a continuous reactive mode, responding to the proliferation of initiatives detailed in Chapter 1. The adaptive challenge seems to be linked to the dual role played by legislation as both SSES reform driver and barrier to councils’ own proactive and creative policy initiatives, assuming this would not be heavily constrained by the wider public sector austerity measures ongoing since 2010. For example, the SAC and PEF were introduced by the Scottish government to address attainment issues by increasing overall pupil attainment and reducing the attainment gap (Scottish Government, 2017b, 2017c, 2017g, 2018b). Scottish councils are also required to address inequality of outcomes by ensuring alignment between the number of looked after and accommodated young people in employment, apprenticeships, further or higher education, and their counterparts who are not looked after (Scottish Government, 2018b). While this may sound straightforward, there are underlying issues. Quite often, a looked after and accommodated child has a chaotic background. Existing support systems10 are usually unable to undo some of the damage to which such a child has been exposed. Thus, the child may struggle with attainment and subsequently employment due to a lack of competitive advantage. To revisit the

Discussion of Findings 169

illustrative analogy used in Section 6.2.1, the result is not just lack of a “level playing field” in the jobs market between job seekers from different socioeconomic backgrounds: the lack of attainment means that the child cannot even get onto that uneven playing field to compete with children who have attained educational qualifications. Economic exclusion is therefore a profoundly deleterious consequence of lack of educational attainment. This introduces a set of adaptive questions11 without clear-cut solutions: • • • • • •

Should Council A manufacture jobs for looked after young people who struggled with attainment? If they do, would this be a sustainable approach? What happens if this group of young people are unable to handle job demands because they lack the requisite skills? What could be the long-term impact on socio-economic structures in the Council A region and the rest of Scotland? If this group are handed jobs that they are not qualified for, what might be the plight of their counterparts who are highly skilled? Do this group need jobs or are they better suited for apprenticeship/ entrepreneurship?

These questions reveal some of the tensions that may be associated with legislative compliance, and potentially Council A’s decision-making process. Addressing these questions would require a fundamentally different approach that provides adaptive solutions to SSES provision. Equally, findings from Council B’s documentary (Section 5.2.2) and interview analyses (Section 5.3.2) identified legislative structures/mandate, and the Scottish government’s political agenda and priorities as key drivers of school education reform (see Table 6.1). Like Council A, the adaptive challenge in service reform of Council B schools was linked to the dual role of legislation in driving and restricting SSES reform. Indeed, funding from the SAC and PEF encourage reform. Nonetheless, they may not be well suited to Council B’s region because of its diverse population and demography. For instance, a significant subset of the deprived12 population live in less deprived13 areas. They are therefore unlikely to benefit from extra funding earmarked for deprived families like the SAC because the Scottish Index of Multiple Deprivation (SIMD) does not classify them as deprived. The same applies to young people from middle-income families14 or working poor communities.15 These families manage to survive on their income and may not live in deprived areas (Frayne, 2015; Sodha, 2016). However, they have minimal resilience to rising interest rates, inflation, and other economic shocks (ibid) and may struggle to afford additional expenses such as school trips/excursions for their children. The key adaptive question then is, considering legislation, political priorities, and the redistribution of financially constrained budgets, how can Council B provide extra funding to support learning for these population of

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Discussion of Findings

children and young people with “hidden poverty”? Like Council A, addressing this question is synonymous with addressing the adaptive challenges driving SSES reform. Adaptive challenges signify path dependence (Krasner, 1984; Pierson and Skocpol, 2002) if they introduce incremental changes, and critical junctures if they represent specific key points in SSES reform. As previously discussed,16 path dependence and critical junctures are analytical components of the institutional theory used to explore the sources of social risks in relation to SSES reform. Critical junctures represent “significant forces” (Krasner, 1984; Pierson and Skocpol, 2002) or situations (Capoccia and Kelemen, 2007) that usher in reform by disrupting familiar patterns. It is important to identify critical junctures because risks associated with reform may emerge at these key points. For instance, primary research findings from Councils A and B establish links between social risks and the implementation process of PEF (see discussions in Chapters 4 and 5). Certainly, the role of path dependency in maintaining the United Kingdom and Scottish governments’ focus on addressing attainment issues in schools (Thatcher, 1993) cannot be ignored. The PEF, which is a component of the SAC, represents path dependency from a UK government perspective because it is a continuation of their policy to improve attainment in schools17 through increased school autonomy. Primary data from Councils A18 and B,19 suggests that the Scottish government’s realization of continuous decline in pupil attainment evidenced by PISA scores (BBC News, 2016b; Seith, 2016; Jerrim, 2017) prompted the decision to change the status quo by transforming school education governance. This became a political priority. One of the ways this was enacted was via the PEF, which is both a political initiative and legislative mandate. Therefore, from Scottish local council perspectives, the PEF represents a critical juncture or “moment when substantial institutional change takes place thereby creating a “branching point” from which historical development moves into a new path” (Hall and Taylor, 1996, p. 942). Essentially, the PEF is a departure from the norm whereby allocative and authoritative resources previously awarded to Scottish councils (see Section 1.7.1) were given to head teachers and schools.20 In this instance, realization of path dependence by the Scottish government ushered in a critical juncture in the form of the PEF, one of the embodiments of SSES reform. However, adopting conventional incrementalism based on path dependencies of school culture and community need was considered more appropriate than the introduction of PEF by respondents from Council A. Council B representatives did not express such thoughts. Instead, the latter council’s primary data showed that the Scottish government’s proclivity for frequent enactment of legislation (referring here to the legislative structure) can inhibit SSES reform because it can breed fear of failure. This fear may be linked to previous occasions when councils were penalized for breaching

Discussion of Findings 171

legislation; illustrating how the concept of path dependency may hinder SSES reform. As projected in previous discussions, the understanding that changes in political and legislative structures (e.g., via the PEF) represent critical junctures do not necessarily apply to changes in socio-economic structures in Councils A and B (listed in Table 6.1). Those socio-economic changes are not critical junctures because they do not signify key points in SSES reform process. Rather, they reinforce the concept of path dependence (Krasner, 1984; Pierson and Skocpol, 2002) because they have emerged over time. Like changes in politics and legislation, they constitute adaptive challenges in different ways from the perspective of both councils as discussed next. 6.2.3 Technological Context

Like political and socio-economic changes, rapid technological change can be considered an adaptive challenge and driver of SSES reform in Councils A21 and B22 (see Table 6.1). This is because rapid and continuous technological changes necessitate a corresponding constant updating of required skill sets for jobs incorporating those new IT skills. Therefore, rapid technological change could reduce employability of young people unable to access updating courses and/or those unable to self-learn. The key adaptive question then is: How can these councils effectively bridge technological gaps during SSES reform, considering simultaneous fiscal consolidation and growing cyber threats to children and young people? At the core of the questions posed in previous paragraphs are adaptive challenges without straightforward solutions as purported by Complexity Leadership Theory (see Section 3.4). Since they can neither be addressed nor resolved via conventional methods, they require transformational learning, thinking, and methods, including effective inter and intra-council collaboration, and public participation. These adaptive challenges reveal underlying issues with the current approach to school education, recognizing its’ failure (due to inherent institutional inability) to adapt to rapidly changing external institutional conditions. Consequently, these external institutional conditions can be conceptualized as risk sources because they introduce varying levels of uncertainties and risks relating to the governance, management, viability, and sustainability/funding of SSES. Most importantly, and in line with research objective 323 the risks related to potential negative impact on children, young people, their families, and local communities of adopting the wrong approach to SSES reform, as discussed in subsequent sections. Fundamentally, the adaptive challenge reflects the fact that nothing stays the same, as captured in preceding discussions from the perspectives of Councils A and B. Politics, business, employment, society, economy, demography, technology, and environments change, sometimes incrementally and progressively but at other times by large steps with substantial contextual disruption and changes in direction. With the current Scottish National Party

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Discussion of Findings

(SNP) administration, SSES reform is a priority, with specific intent to address social inequalities perpetuated by attainment gaps, hence the introduction of initiatives and legislative mandates like SAC and PEF. This has been the content and focus of SSES reform between 2015 and 2018, which subsequently dictated the reform approach within this period. Still, there is a risk that SSES reform might not be a priority with a new administration. From an institutional theory perspective (see Section 3.3.2), findings from Councils A and B offer empirical evidence that SSES reform may be jointly prompted by cumulative effects of path dependency and critical junctures. However, critical junctures are easier to track when political structures change. The attendant risks may be more easily anticipated, identified, and addressed at these points. Conversely, changes in socioeconomic and technological structures seem to be path dependent, changing incrementally over time. Some technological structures have changed non-incrementally. As it is, innovative companies deliberately seek to disrupt existing markets. To illustrate, “The personal computer (PC) displaced the typewriter and forever changed the way we work and communicate” (Tschohl, n.d. p. 1). So, path dependent changes make it difficult to track distinct points when risks may emerge. Nevertheless, both cases highlight a need for increased social risk awareness at macro, meso, and micro institutional levels during SSES reform and PSR in general. There is also a need to understand the social mechanism underpinning the production and management of social risks. This forms the core of discussions in the following sections.

6.3 Summary of Primary Research Findings: A Comparative Analysis of the Process of School Education Reform in Councils A and B 6.3.1 Domination Structures, Facilities, and the Production of Social Risk

Table 6.2 fames the discussions in Sections 6.3.1, 6.3.2, and 6.3.2. The table and ensuing discussions align with discussions in Section 3.3.4 which captures the dimensions, modality, and interaction of social structure. Table 6.2 shows that social structuring including domination, signification, and legitimation “can be ontologically placed or stored in physical objective forms” (Schwandt and Szabla, 2013, p. 6). Considering Giddens’ (1984) agent-structure duality, they can be epistemologically domiciled in agent’s actions and interactions (Schwandt and Szabla, 2013). In the latter case, information is latent, with modalities only emerging based on agents’ actions, which either reinforce or transform the social structure (ibid). Empirical research findings imply that domination structures are instrumental to the production of some reform-related social risks associated with the people and prevention pillars.24 For this reason, the relationship

• Financial statements • Risk assessment and prioritization framework • Policy documents • Business plans • Business reports • Meeting agendas • Meeting minutes • Other relevant documentation specific to Council A’s education directorate

(Continued)

• Financial statements • Risk register • Audit and risk and scrutiny meeting minutes and reports • Business plans • Business reports • Meeting agendas • Meeting minutes • Other relevant documentation specific to Council B’s education directorate

• The Scottish Attainment Challenge and Pupil Equity Fund • Scottish government, Councils A, head teachers in Council A region

• Domination structures and facilities: Allocative resources • Domination structures and facilities: Authoritative resources • Signification structures and interpretive schemes: (council/ SSES documents)

Dimensions, modalities and interaction of social structure

• Agency: Deliberate action undertaken to transform SSES

• Politics, legislation, and socio-economic contexts of SSES reform • Implementation of Scottish Attainment Challenge and Pupil Equity Funding • Implementation of Council’s version of named person legislation • Implementation of a modified version of Pupil Equity Funding • The Scottish Attainment Challenge and Pupil Equity Fund • Scottish government, Council B, head teachers in Council B region

• Politics, legislation, and socioeconomic context of SSES reform • Implementation of Scottish Attainment Challenge and Pupil Equity Funding • Implementation of behavioural policy document

• Structure: Rules and resources

Ontological Examples in Council B

Social structure

Ontological Examples in Council A

Findings

Structuration Theory

Table 6.2 Summary of Research Findings in Relation to Data and Theory

Discussion of Findings 173

• Legitimation structures and norms: (Legislation, public policy, council risk register)

Findings

Ontological Examples in Council B • Audit and risk and scrutiny meeting minutes and reports • Corporate risk register • Scottish government legislation and policies • SOA between Scottish government and Council B • Audit and risk and scrutiny meeting minutes and reports • Corporate risk register

Ontological Examples in Council A • Risk assessment and prioritization framework • Corporate risk register • Scottish government legislation and policies • SOA between Scottish government and Council A • Risk assessment and prioritization framework • Corporate risk register

Source: Synthesis of Council A and B’s documentary and interview analyses.

Structuration Theory

Table 6.2 (Continued)

174 Discussion of Findings

Discussion of Findings 175

between domination structures and social risk is explored first. As discussed earlier,25 domination structures confer power through the distribution of facilities categorized as allocative and authoritative resources (Giddens, 1984). The former refers to categories of reform capacity that can generate command of goods, material phenomena or objects (ibid). The latter refers to categories of reform capacity that can generate command over actors/agents (ibid). Examples are provided in Table 6.2. Domination structures (depicted in Table 6.2) should empower Councils A and B to transform SSES through facilities. Councils A and B experience similar political domination structures which dictate the content/focus and process of SSES reform by providing facilities like the SAC and PEF. The facilities represent the Scottish government’s efforts to address attainment gap risks through the agency of local councils and head teachers (schools). The SAC and PEF are allocative resources (Giddens, 1984) which equip Scottish local councils and head teachers with financial resources to drive SSES reform within their jurisdiction. Likewise, these facilities function as authoritative resources (ibid) with the Scottish government being the primary authoritative resource for SSES reform, while local councils and head teachers function as secondary and tertiary authoritative resources, respectively. Thus, the SAC acts as a source of power devolved from primary authoritative resources operating at macro institutional level (the Scottish government) to secondary authoritative resources and agents operating at meso institutional level (Councils A and B). Similarly, the PEFs devolve power from the same primary authoritative resource at macro institutional level to tertiary authoritative resources and agents operating at micro-level (head teachers in Councils A and B schools). The processes guiding the implementation of allocative and authoritative resources are critical because they may facilitate the production of social risks. For instance, some young people from middle-income families may be excluded from reform initiatives because the SAC targets exclusively those from deprived communities as identified by the SIMD. Similarly, young people who already cope well with education may be excluded from reform initiatives. This potential failure to maximize opportunities for further improvement in these groups of young people may lead to a decline in their attainment. Equally, these facilities may perpetuate inequalities among young people because of inconsistent service quality and curriculum, operational distractions, and unaddressed poverty issues. Efforts to address these social risks based on the domination structures (allocative and authoritative facilities) listed in Table 6.2 may lead to two different scenarios enacted in four ways. Presented in Figure 6.1, the first option is a static scenario entailing fixed educational attainment goalposts based on a “levelling up” or “levelling down”. It can be expected that the former is preferable in that there would be improvement in learning outcomes and subsequently, the examination performance of low achievers. The flip side of this is that because reform

176

Discussion of Findings • Static Scenario

• Static Scenario

• Dynamic Scenario Levelling Up

Even Attainment Goalpost

Levelling Down

Uneven Attainment Goalpost • Dynamic Scenario

Figure 6.1 Addressing SSES Reform-Related Social Risks – Potential Scenarios. Source: Researcher’s abstraction from own primary interview data.

efforts concentrate on raising attainment levels of low achievers to that of their higher achieving counterparts, the latter do not record significant improvement in their attainment levels. In the levelling down scenario, there is no deliberate effort to improve attainment levels of high achievers, instead to constrain their attainment passively or proactively as a way of “levelling the playing field”. Hence, their attainment drops (respectively, relatively, or absolutely) to the level of their lower achieving counterparts. It is almost certainly the case that the levelling down scenario would not be politically or socially desirable. The second is a dynamic scenario which produces “moving educational attainment goalposts” which could be even or uneven in their rate of movement. Like the levelling up static scenario, the even attainment goalpost scenario implies that attainment of low achievers are raised to the fixed attainment levels of high achievers. It could also mean that high achievers continually outperform their low achieving counterparts probably because as councils implement measures intended to close the attainment gap (e.g., spending the Scottish government’s PEF on the less achieving pupils) the performance of the better achieving pupils simultaneously increases. This could be due to positive behavioural changes in the latter group’s application to the learning process with increased parental and peer group support and/or due to their earlier and more comprehensive access to new learning technologies available both online and offline. Conversely, in the uneven attainment goalpost scenario, attainment levels of low achievers can be raised faster than the fixed achievement of high achievers. The moving goalpost scenario may deliver positive outcomes in a purely educational perspective, hence constituting positive social and strategic risks. However, it can frustrate the achievement of policy objectives and so could constitute a strategic risk to councils and the Scottish government.

Discussion of Findings 177

None of these scenarios wholly addresses the Scottish government’s strategic objective to simultaneously improve attainment levels in low-achieving students from deprived communities while increasing overall attainment levels across social strata. This then can exacerbate social risks of inequalities/ exclusions, poor learning outcomes and reductionism. Ultimately, social risks could introduce strategic risks if there is a possibility that strategic objectives may not be realized, and strategic risks can negatively impact socio-economic structures in Scotland. The preceding discussions utilize structuration theory’s duality of structure argument. They illustrate that social risks produced during SSES reform arise as a combination of the requirements of primary authoritative resources and the corresponding actions of secondary and tertiary authoritative resources and agents. In brief, the structure-agent relationship enacted through domination structures is instrumental to the production and reproduction of social risks during SSES reform. Worth noting is that Councils A and B associated the highest number of social risks with the implementation of facilities provided by the Scottish government. This suggests that: •

•

Social risks may be produced at the meso strategic level between macro policy formulation, and micro implementation levels and, although beneficial to young people, adopting the 4Ps approach to SSES reform could further widen the attainment due to exclusion, inequality or poor learning outcomes26 or have no notable impact on attainment levels if new methods are adopted. The latter relates more with application of the prevention pillar.27 Social risks may be produced and reproduced due to lack of consideration at meso strategic level and so lack of recognition and/or attention at the agent/council micro level.

Considering the above, there is need to acknowledge the existence of social risks during PSR across institutional levels and to incorporate social risk management into strategic management and reform processes. This also applies to SSES reform, and other forms of PSR underpinned by Scotland’s 4Ps approach. Improving social risk communication and management via the interpretive schemes adopted at macro, meso, and micro institutional levels is therefore crucial. The next section dissects signification structures, including interpretive schemes and their role in social risk management during SSES reform. 6.3.2 Signification Structures, Interpretive Schemes, and Social Risk Management

Signification refers to the coding of meaning in discourse and establishing a common language; hence, it can aid or hinder risk communication (Hsu et al., 2013). Signification structures are denoted as rules associated with

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Discussion of Findings

political, legislative, and socio-economic contexts. From an SSES perspective, signification structures constitute blueprint for action and are enacted via interpretive schemes. Accordingly, interpretive schemes are the modalities, generative mechanisms, and/or language through which public policy and legislation on SSES reform are communicated to councils. Interpretive schemes can influence how social risks are perceived and therefore managed. Table 6.2 captures some interpretive schemes deployed in Councils A and B, although their role in social risk management particularly during SSES reform is under-developed in both councils. Documentary analysis was one of the ways in which interpretive schemes were analysed. Table 6.3 provides some evidence of social risk awareness and management during SSES reform. In Council A, the social risks identified were associated mainly with exclusion/inequality and poor learning outcomes in the partnership and performance pillars. In contrast, social risks associated with all 4Ps were identified in Council B’s corporate documents. There was also some evidence of social risk management during SSES reform based on the partnership, performance, and prevention pillars. There was no evidence of risk management for social risks associated with the people pillar. In both councils, the risk of reductionism was neither discussed nor alluded to in their corporate documents. This may be because the potential impacts of reductionism are less obvious and only evident in the long term, unlike other categories of social risks with potential short- to medium-term impacts. Interview analysis was another method used for analysing interpretive schemes by studying the language used by respondents. As illustrated in Table 6.4, Council A respondents articulated the nature of social risk associated with the 4Ps approach to SSES reform but not in all potential social risk categories (exclusion/inequality, poor learning outcome, reductionism). In contrast, Council B articulated the nature of social risk associated with SSES reform underpinned by all 4Ps and in each social risk category. However, in the case of partnership social risk, reductionism was the only form identified. More risks were identified during the interview process compared with documentary analysis, demonstrating that SSES managers are receptive to the concept of social risk. However, the councils’ interpretive schemes do not effectively communicate this knowledge across the organization; thus hindering (to some extent) effective social risk management. This insufficiency of corporate communication is crucially important because the holistic nature of social disadvantage requires a wide spectrum of council services to be utilized if that disadvantage is to be overcome effectively and quickly (i.e., in the medium, if not short term). The role of individual managers in Council B was crucial in social risk discourse around SSES reform. Senior managers like the chief executive and head of education, and middle manager like the internal auditor were significantly more knowledgeable than others about the concept of

Social Risk Category

Partnership social risk

People social risk

Performance social risk

Prevention social risk

#

1

2

3

4

Exclusion/inequality Poor learning outcomes Reductionism Exclusion/inequality Poor learning outcomes Reductionism Exclusion/inequality Poor learning outcomes Reductionism Exclusion/inequality Poor learning outcomes Reductionism

Nature of Social Risk

X X __ __ __ __ __ X __ __ __ __ __

X

__

X

X X __ X X __ __ X __ X X __

Social Risk Awareness

Social Risk Awareness

Social Risk Management

Council B

Council A

Table 6.3 Documentary Analysis: Evidence of Social Risk Awareness 28 and Management

X

X 29

__

X

Social Risk Management

Discussion of Findings 179

Social Risk Category

Partnership social risk

People social risk

Performance social risk

Prevention social risk

#

1

2

3

4

Exclusion/inequality Poor learning outcomes Reductionism

Exclusion/inequality Poor learning outcomes Reductionism Exclusion/inequality Poor learning outcomes Reductionism Exclusion/inequality Poor learning outcomes Reductionism

Nature of Social Risk

X __ __

X X 30 __ X __ X X __ __ __ X __

__ __ __ X __ __ X __ __

X X X

__ __ X X X X X X X

Social Risk Awareness

Social Risk Awareness

Social Risk Management

Council B

Council A

Table 6.4 Interview Analysis: Evidence of Social Risk Awareness and Management

__ __ __ 31 X X __ __ X Work in Progress X X X

Social Risk Management

180 Discussion of Findings

Discussion of Findings 181

risk and communicated this knowledge articulately. This probably enhanced their understanding of social risk when the concept was introduced to them. Hence, their engagement in social risk discourse was more in-depth than in Council A’s management team. Correspondingly, previous risk experiences of senior managers were key. In Council B, less risk-aware colleagues could conceptualize social risks from an SSES reform perspective when the concept was explained to them. This was probably due to the influence of their risk-aware environment. Thus, responses from the less risk-aware managers often mirrored social risk expressions used by their more risk-aware colleagues like “unintended consequences” and “negative consequences”. This highlights the positive role of agency in enhancing signification structures. It also demonstrates that with relevant social risk management knowledge, council managers can effectively function as social risk “arbiters” (Hardy and Maguire, 2016, p. 88). Council A managers (apart from the internal auditor) were not as exposed to equivalent levels of risk knowledge or experience which probably explains their lower level of social risk awareness in comparison to respondents from Council B. Both councils’, seemingly haphazard and uncoordinated, approach to social risk management indicate need for well-developed signification structures and interpretive schemes as a vital first step towards tackling SSES related social risks. This can be partly achieved through agency as demonstrated in Council B, and legitimation structures, discussed next. 6.3.3 Legitimation Structures, Norms and the Institutionalization of Social Risk Management

As previously discussed, legitimation structures are rules and norms that dictate and guide appropriate institutional action and behaviour (Staber and Sydow, 2002; Callahan, 2004). The previous section linked weak social risk management to poor signification processes in Councils A and B. This section builds on this argument by arguing that a comprehensive approach to social risk management can be more easily legitimized and institutionalized in signification processes by developing formal and informal guidance, rules, and norms. Conversely, a fragmented approach to social risk management can be legitimized if signification processes fail to acknowledge social risk. Table 6.5 presents evidence of some notable elements of social risk identification/awareness, response, monitoring/reporting, and review/re-examination. Councils A and B associated the production of social risks with allocative resources like the Pupil Equity Funding, although Council B were more vocal about this in their interpretive schemes (corporate documents). They argued that the implementation of PEF may limit the council’s autonomy in transforming school education services and may stifle innovation by restricting local decision-making and collective

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Discussion of Findings

Table 6.5 Comprehensive Approach to Social Risk Management #

Comprehensive Approach to Risk Management

Council A

Council B

1 2

Social risk identification Social risk evaluation/ranking according to probability of occurrence and/or profundity of consequences Social risk response Resourcing controls Reaction planning Social risk monitoring and reporting Reviewing or re-examining the social risk management structure

X __

X __

X ___ ___ __ X

X ___ ___ X X

3 4 5 6 7

Source: Adapted from AIRMIC/Alarm/IRM (2010), ISO 31000 (2018).

responsibility. In their response to the governance review and the Scottish government consultation (another interpretive scheme), they maintained that PEF may result in unintended consequences (social risks) relating to the promotion of inequity in school education provision across communities, lack of collegiality, and poor learning outcomes resulting from increased staff workload. Thus, Council B’s agency position was evident in their choice and use of interpretive schemes which also demonstrated a higher awareness of social risks and more explicit social risk identification compared to Council A. In terms of social risk response (see Table 6.5), Councils A and B implemented some innovative strategies to manage social risks by exercising their agency32 power. In Council A, this was enacted through: • •

Interpretive schemes (like their behavioural policy document) which offer strategies for managing the risks of exclusion/inequality. Internal domination structures which facilitated the development of an innovative peer mentoring partnership project involving older and young pupils and different council departments in Council A.33

Using interpretive schemes and working within the boundaries of external legitimation structures, Council B’s education services: • • •

Developed a modified version of the “named-person legislation” and encouraged innovation amongst head teachers34 (identical to the Pupil Equity Funding but without the associated disruptions). Provided and communicated the availability of advocacy services so that parents in need of such can argue for the reform needs of their children. Adopted Prince 2 Project Management Methodology to manage project risks (ongoing).

Discussion of Findings 183

However, there was no evidence of any further attempts for social risk evaluation or ranking. Considering resourcing control (see Table 6.5), it is clear from documentary analysis that both councils allocate resources towards risk management in general but not specifically towards managing social risks associated with service reform. Likewise, reaction/contingency planning after the materialization of social risk did not feature in council documents or in the interview sessions. However, the interpretive schemes employed in Council B’s most recent education directorate 2018 risk register and corporate plan evidenced their growing awareness of social risk. This transpires in the way they identify, monitor, and report components of social risk (see Table 6.5) including inequality, exclusion, poor learning outcomes, and vulnerability associated with service provision. Thus, Council B are gradually improving their approach to social risk management, without being mandated to do so by legitimation structures. This confirms structuration theory proposition that processes can be progressively institutionalized over time based on agents’ decision-making (Giddens, 1984). In this case, agency is responsible for the progressive improvement of social risk management in Council B. There was no evidence of such in Council A’s recent risk register. Interviews demonstrated that both councils reviewed and re-examined their social risk management structure implicitly and in silos, although this was not explicitly captured in their interpretive schemes (risk registers). Overall, Council B fared significantly better than Council A in their approach to social risk management. Nonetheless, insufficient knowledge of social risk at organizational level impacted both councils’ approaches to social risk management. As previous discussions demonstrate, both councils have relatively weak interpretive schemes because their social risk management processes do not wholly adhere to the comprehensive risk management framework recommended by AIRMIC/Alarm/IRM (2010), ISO 31000 (2018), and IRM (2018). Clearly, weak interpretive schemes may lead to the production of social risks during the reform of education services in Councils A and B, while well-developed ones can facilitate effective social risk management in various ways, such as: • • •

The provision of a common social risk language. The recognition of early warning signs of social risk during SSES reform. Clear articulation of a co-ordinated and systematic approach to risk management which incorporates social risk.

Indeed, the signification processes in Council B’s 2018 risk register evidenced gradual legitimation of social risk management based on formal norms;35 albeit within a general service provision context, not necessarily in a reform context. Table 6.5 captures this under the social risk monitoring and reporting section. This was not evidenced in Council A. Likewise, the

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Discussion of Findings

Equality Impact Assessment Toolkit and the socio-economic duty ascertain negative impacts of service provision or reform on service users, implicitly addressing social risks, though no sanctions36 have been associated with non-compliance. However, primary research findings from Councils A and B indicate that social risk management at macro, meso, or micro institutional levels have not been fully legitimized and embedded in organizational processes. This is probably because legitimation structures develop and enforce formal and informal norms (Hsu et al., 2013). To illustrate, none of the formal legitimation structures at macro levels of the Scottish government explicitly recognize or communicate the notion of social risk to meso and micro institutional levels of councils and schools, respectively. Both councils also believed that legitimation structures are prohibitive and can stifle innovation because of the sanctions associated with non-compliance with specified processes during SSES delivery or reform. From this perspective, legitimation structures can breed a risk averse culture. While formal legitimation structures can legitimize social risk management through signification and external domination structures, agents can do likewise by creating dominant organizational norms and values via social risk awareness and education programmes. The primary research findings demonstrate that effective social risk management/governance during SSES reform is largely contingent on the interplay between agency and structure; referred to as duality by Giddens (1984). This reveals a need to develop legitimation processes that can facilitate interpretive schemes and encourage cultural change at macro, meso, and micro institutional levels of SSES and can be achieved in various ways including: • •

• •

Acknowledging and creating awareness about the existence of social risk during SSES reform and the unintended consequences that may be associated with the process. Understanding the possible social and humanitarian consequences of social risks, not just the probability of their occurrence – the risk level may be relatively small, but the consequences of risk occurrence may be very profound (e.g., outbreak of fire in a high-rise building lacking adequate fire-containment/suppression structures and/or evacuation infrastructures). Recognizing the interconnectedness of risks, particularly SSES reform related social risk and their implications for social risk management. Updating risk management and governance procedures and associated professional training (including periodic refresher courses) to reflect reform related social risk at macro, meso, and micro institutional levels.

This broadly aligns with some previous public sector recommendations37 highlighting the significance of embracing a comprehensive risk management approach (Cadbury, 1992; Turnbull Report, 1999;38 Cabinet Office, 2002;

Discussion of Findings 185

AIRMIC/Alarm/IRM, 2010; IRM, 2018; ISO 31000, 2018). Consistent with earlier discussions on Council B, council managers are suitably positioned to manage SSES reform related social risks based on their knowledgeability (knowledge of the social structure) and reflexivity skills (Boland, 1996). Similarly, they can manufacture (Giddens, 1999a), and transmit them (Hutter and Power, 2005; Asenova et al., 2015b; McKendrick, et al., 2016) if they do not effectively manage SSES reform, as illustrated in documentary and interview analyses of both councils. In Councils A and B, social risk appeared in the process of transforming their education services, but in different guises. In Council A, more implicit references were made to social risks in corporate documents, while in Council B, the diction used in their corporate documents depicted components of social risks more explicitly. Nonetheless, social risk as a term did not feature explicitly in both councils’ corporate documents, national legislation or other governmental documents addressing the attainment gap or reform of SSES. These evidence weak interpretive schemes and reinforce organizational practices that fail to recognize the existence of social risk in PSR and SSES reform. The potential impact of these signification structures and interpretive schemes are obvious in both councils’ approaches to social risk management and explain why they failed to adopt a comprehensive, systematic approach.

6.4 Concluding Remarks – towards Theoretical and Conceptual Considerations There is increasing recognition at micro, meso, and (thereby) macro levels of social risks when transforming welfare payment structures, most notably the ongoing amalgamation of individual benefit payments into Universal Credit (Gov.UK, 2018). In contrast, little is known about social risks that could emerge during PSR. This chapter set out to address this gap by articulating how SSES managers perceive and manage social risk during SSES reform using risk management and structuration theories as primary analytical lenses. It therefore extends literature on risk management and public administration to instigate much needed debate in these areas. Based on primary research findings and insights derived from structuration theory, four key theoretical propositions are derived. • •

Proposition 1: It suggests that adaptive changes in institutional structures drive the reform of school education services in Councils A and B. Proposition 2: It states that the production of reform related social risks is contingent on how domination structures and facilities (including authoritative and allocative resources) are executed. This implies that social risks associated with transforming school education services in Councils A and B may be largely generated in-house.

186

•

Discussion of Findings

Proposition 3: It maintains that weak signification structures and interpretive schemes can promote poor social risk awareness at local and central government levels and ineffective/poor social risk management processes. This confirms the duality inherent in agency-structure relationships as proposed by Giddens (1984), by providing evidence that agents’ critical assessment and reflexivity of school education reform processes inform their implicit and explicit approaches to social risk management. To illustrate, Councils A and B had poorly developed signification structures, although Council A’s articulation of social risk was less explicit than Council B’s. Equally, Council B appeared to be more risk aware probably because of previous risk knowledge and experience of some of their senior managers.

Overall, primary research findings from education services in Councils A and B illustrate the relevance of signification structures in the reform of school education services. They reveal the need to improve social risk communication by incorporating reform related social risk and its management in interpretive and training schemes that address school education reform. Essentially, good signification structures can aid risk communication (Hsu et al., 2013). •

Proposition 4: Building on this, the fourth proposition argues that legitimation structures and norms can improve and institutionalize social risk management processes across institutional levels. This includes macro levels of governments, meso levels of local authorities, and micro levels of schools.

Proposition one addresses research objective 1,39 while propositions 2, 3, and 4 address research objective 4.40 The production and management of social risks during service reform involves a process of structuration. On the one hand, the production and reproduction of social risks, albeit unintentionally, may restructure the social structure if they evolve into strategic risks. On the other hand, the process of managing these social risk entails a deliberate action/effort at macro, meso, and micro institutional levels with the starting point being the institutionalization/embedding of social risk awareness and its management in public sector ethos. These propositions enable abstraction away from the primary research findings at micro institutional level of school education services in Councils A and B. Hence the findings can be transferable and applicable to PSR locally (in Scotland), regionally (within the United Kingdom), and internationally (outside the United Kingdom). This includes service reform in: •

Other SSES, that is the remaining 30 education authorities in Scotland which did not feature in this research.

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•

• • •

•

Other educational authorities and/or institutions in the United Kingdom. An example was provided in the Preface and later in Section 7.4.1 with discussions illuminating the social risks associated with service provision and reform in English schools. Other education authorities/institutions in developed countries with political and socio-economic structures and adaptive challenges that are like the United Kingdom. Other public services in Scotland, like the policing and fire services as discussed in Chapters 1 and 2. Other public services within the United Kingdom like the prison services in England. As highlighted in the Preface, the social risks associated with their reform include drug related issues, violence, and custody deaths. Other public services outside the United Kingdom, particularly in developed countries with political and/or socio-economic structures and adaptive challenges like the United Kingdom.

These findings and by extension, the propositions may not apply to public services including education services in less developed countries which may face different challenges because their political/legislative, socio-economic, and chronological structures and adaptive challenges would most likely differ from the case in Scotland.

Notes 1 As discussed in the theoretical framework developed in Chapter 3, the agentstructure relationship refers to how individuals (in this case, council managers) relate with institutional structures (such as signification, domination, and legitimation, structures) and its (potential) impact. 2 See Section 1.5. 3 Examples of these educational initiatives include National Improvement Framework (NIF), GIRFEC, and PEF. 4 See Section 1.5. 5 Discussion of society, economy, and demography is classified and discussed as socioeconomic factors/drivers because of their close association. 6 Discussion of legislation is incorporated into political discussions because of their close association. 7 See discussions on Context and Content of SSES Reform in Section 4.2.2. 8 Council taxes were frozen for nine years; between 2008 and 2017 ( Scottish Government, 2018g). 9 See Chapter 4. 10 Looked after children are defined by the Children (Scotland) Act 1995 as those cared for by their local authority (also called corporate parent) (Scottish Government, n.d.5). The support system around a looked after and/or accommodated child include but are not limited to the council and relevant departments such as health, social care, and education services. 11 These adaptive questions were derived by the researcher based on analysis of Council A’s political and legislative contexts.

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12 Deprived population/households are defined as those unable to “afford those consumption goods and activities that are typical in a society at a given point in time, irrespective of people’s preferences with respect to these items” ( OECD, 2007). Deprived households also refer to those living in poverty: households with less than 60% of median income or those who could easily slip into poverty ( Rogers, 2012). 13 Less deprived or affluent population/households include those who are more comfortable than majority of society with significantly increasing levels of income, the top fifth of UK income earners, those with above average increase in their income levels, and those in the top income bracket ( Rogers, 2012). 14 They comprise that half of the British population most dependent on public services, especially state health care and state school education provision ( Frayne, 2015). 15 See sub-section on society and economy in Section 5.3.2. 16 See also Section 3.6.1. 17 See Section 1.7.1. 18 See discussions on politics in Section 4.3.2. 19 See discussions on politics and legislation in Section 5.3.2. 20 Scottish councils function as education authorities. Prior to the award of PEF in April 2017, they were solely responsible for school education provision and governance. 21 See sub-section on technology in Section 4.3.2. 22 Sub-section on technology in Section 5.3.2. 23 See discussions in the Preface. 24 Exclusion risks associated with the people and prevention reform pillars are discussed under the people and prevention pillars respectively, in the exclusion sub-section, within Section 4.3.3. 25 See Section 3.3.4 for discussions on domination structures. 26 See discussions in Sections 4.3.3 and 5.3.3 on how exclusion, inequality, poor learning outcomes and reductionism can widen the attainment gap. 27 See, for example, Poor Learning Outcomes (PLO) – Prevention Pillar in Section 5.3.3. 28 The first step in risk management is risk awareness/identification. As such, social risk awareness/identification is part of the overall process of social risk management. The distinction is made here to highlight the differences social risk, as conceptualized in Councils A and B or social risk awareness/identification is the part of the overall process of social risk management. The distinction is made here to highlight the differences social risk as conceptualized in Councils A and B. 29 Social risk management was implemented via closer partnership working. This means that the partnership approach can be used as risk management. 30 Poor learning outcome was identified here as a potential cause of inequality. 31 There were no clear responses regarding the management of this risk. However, an SMSI suggested that social inclusion could be an effective social risk management strategy (see sub-section on reductionism – partnership pillar in Section 7.3.3). An MMS explained that effective communication at senior management level helped in managing reductionism risk associated with the partnership pillar. However, this highlights the communication gap between senior, middle and front-line managers, leaving room for poor alignment between strategy formulation and strategy implementation. 32 Agency here refers to the decision-making abilities of the council managers. 33 See discussions under people pillar category of exclusion in Section 4.3.3. 34 See discussions under exclusion people pillar in Section 5.3.3. 35 Formal norms are written policies that guide employee behaviour ( Hsu et al., 2013), making them accountable. 36 Sanctions are imposed due to non-compliance with legitimation structures ( Ashby et al., 2014). 37 It is worth noting that none of the aforementioned documents refer to social risk.

Discussion of Findings 189 38 Published by The Institute of Chartered Accountants in England and Wales ( ICA, 1999) with a revised version published by the Financial Reporting Council ( FRC, 2005). 39 Research objective 1 focuses on discussing the institutional factors driving SSES reform (see the Preface). 40 Research objective 4 concentrates on analysing reform related social risks from the perspective of SSES. It seeks to explore the social mechanism underpinning the production and management of these social risks based on structuration theory (see the Preface).

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Conclusions

7.1 Introduction This chapter concludes discussions and analysis developed in this monograph. It first summarizes the research aim and restates the research objectives of this monograph. Thereafter, based on key research findings, the salient points are synthesized in relation to extant literature. In the process, the conceptual, theoretical, and empirical contributions to knowledge are highlighted. Following these discussions, the original contributions to theory and practice are explicitly articulated. Afterwards, the research limitations are described. Recommendations are made for further research and concluding remarks about the monograph are presented. The structure of this chapter reflects the aforementioned objectives.

7.2 Chapters 1–6: Aims and Summary of Research From an SSES perspective, the overarching aim of this monograph is to discuss potential social risks associated with PSR, including their management. This has been systematically addressed in Chapters 1–6 of this monograph. Chapter 1 introduced the research by problematizing PSR and SSES reform. The research objectives were previously articulated in the Preface and shaped discussions in subsequent chapters. They include: 1 2 3 4

The identification of key external drivers of PSR and school education reform in Scotland. The identification of key internal factors influencing PSR. The description of social risks associated with reforming SSES. The exploration of the social mechanism guiding the production and management of the social risks associated with SSES reform.

The Preface provided a background to public service provision and reform, outlining the policy and institutional contexts of PSR and SSES reform. It identified the external imperatives for PSR in Scotland and within SSES, DOI: 10.4324/9781003154327-7

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which include political, socio-economic (including demographic), legislative, and technological contexts. Chapter 1 revealed the need to identify and explore inner (institutional) factors capable of influencing effective and sustainable PSR. Chapter 2 identified risk management, leadership, and public participation as key influencing factors of PSR. The chapter demonstrated that PSR creates risks and despite the close association between service reform and risk-taking; the role of risk management has been largely neglected during PSR. Thus, Chapter 2 highlighted the scant research on risk management (particularly social risk management) during PSR, justifying this monograph’s focus on this area of research. Accordingly, the research revolved around understanding the nature and management of social risks associated with reforming school education services in Councils A and B. Chapter 3 presented the theoretical framework, comprising a blend of three theories used to critically analyse the primary research findings (social risks associated with reforming school education services in Councils A and B) of this monograph. Structuration theory was the dominant theory used to understand the production, management, and potential institutionalization of social risk management during service reform. Elements of the complexity leadership and institutional theories were utilized as supporting concepts adopted to explore and explain contextual issues relating to PSR and the reform of school education services in Councils A and B. From the perspective of two anonymous Scottish Councils, Chapters 4 and 5 presented research findings and empirical evidence of the evolution of social risks during SSES reform and lack of holistic approach to their management. Chapter 6 discussed transferability of these findings to similar and wider contexts by theoretically abstracting the research findings in Chapters 4 and 5. This abstraction is underpinned by the theoretical framework developed in Chapter 3. Based on the four propositions derived in Chapter 6, the primary research findings may be transferable to service reform in: • • •

Other education authorities in Scotland and within the UK. Other public services in Scotland including the policing and fire services. Other public services including education authorities/services outside the UK. Ideally, these should be public services in developed countries with external institutional structures and adaptive challenges that are identical to those in Scotland.

This is discussed in more detail in Section 7.5. The next section presents these key research findings in relation to the research objectives presented in the Preface.

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7.3 Key Research Findings 7.3.1 Research Objective 1: Identify and Critically Examine External Institutional Structures to Determine if There Is Need for PSR, SSES Reform, and School Education Reform in Councils A and B

As demonstrated in Chapters 4, 5, and 6, the key external drivers of school education reform in Councils A and B are grounded in politics and legislation; society, economy, and demography; and technology. Changes in these areas create adaptive challenges and reveal deficiencies in current models of school education provision in Scotland, hence the need to transform school education services in Councils A and B. Specifically, changes in political and legislative structures dictate the content and process of school education reform in both Councils, and more generally, in SSES. For instance, changes in political power or domination structures in structuration terms have shaped SSES reform, focusing on the Scottish Attainment Challenge. They also influence the approach to SSES reform underpinned by the 4Ps, which was the case in the education service of both Councils. Thus, SSES reform represents an adaptive solution to a key adaptive challenge in SSES, which is the attainment gap. These views mirror findings from the literature review in Chapter 2, where long-term trends in the aforementioned external contexts drive PSR and SSES reform. The main implications from the conceptual and theoretical developments, primary research findings, and analysis within this monograph in relation to research objective 1 apply to education services in Councils A and B. They are also transferable to wider SSES reform and PSR contexts as follows: •

•

Overall, changes in external institutional structures including politics, legislation, society, economy, and technology drive PSR, SSES reform and school education reform in Councils A and B because they constitute adaptive challenges. This contributes to Complexity Leadership Theory by extending the scope of adaptive challenges to include external institutional factors influencing PSR, SSES reform and school education reform in Councils A and B. More specifically, changes in politics epitomized in this monograph as domination structures represent critical junctures, making it easier to identify PSR and SSES reform related risks. This finding contributes to institutional theory, demonstrating how social risks may evolve at critical junctures. Socio-economic changes are path dependent because they gradually emerge over time. They may lead to incremental changes in political and socio-economic contexts. Nonetheless, changes in external institutional structures may usher in social risks, thus making them sources of further social and eventually, strategic risks. For example, the widening attainment gap between deprived and less deprived pupils is a change in the socio-economic structure in Councils A and B.

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To address this adaptive challenge, the Scottish Government has provided the PEF. However, since the beneficiaries of PEF1 are typically pupils eligible for free school meals, some pupils from middle income families who are not eligible for such but may require additional financial support may be excluded from educational support. The unintended consequence of this social risk of exclusion and reductionism (treating such a complex issue as a simple one) is a potential decline in attainment levels of excluded pupils. Ultimately, the excluded pupils may struggle to gain employment, or access higher/further education. If this happens, they can become dependent on the welfare system or may be involved with the criminal justice system. As recommended in risk management principles, framework, and processes (IRM/AIRMIC/ALARM, 2010; IRM, 2018; ISO 31000, 2018), critical assessment of external institutional factors is required to assess the pace and scale of SSES reform. It is also instrumental to the effective management of reform related risks including the social risks identified in Chapters 4 and 5. This is necessary because as evidenced in this monograph, current literature on risk management, including those on public administration and public management fail to highlight the role of risk management in a PSR context. In summary, the achievement of research objective 1 extends public administration literature by finding that PSR, SSES reform and school education reform in Councils A and B are driven by external institutional factors. In addition, PSR, SSES reform and more specifically school education reform in Councils A and B can be sustainably and effectively implemented based on input from staff. Advancing knowledge in this area, research objective 2 aimed to systematically identify internal institutional factors capable of influencing PSR as presented next. 7.3.2 Research Objective 2: Identify and Critically Discuss Internal Institutional Factors Capable of Facilitating or Hindering the Process of PSR and by Extension SSES Reform

Primary research findings from Councils A and B identified leadership, risk management, and public participation as influencing factors of SSES reform. Focusing on the risk aspect, the research findings from both Councils showed that social risks were implicitly associated with SSES reform in some corporate documents. However, they were more explicitly associated with SSES reform during interviews because respondents were asked questions directly relating to social risks. These findings are consistent with those from the Systematic Literature Review in Chapter 2 which evidenced more implicit references to risk and its management during PSR. Only two out of the 109 reviewed articles explicitly discussed social risk. The main findings drawn from this monograph in relation to research objective 2 are:

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High levels of uncertainty are associated with SSES reform. There is limited research in the field of risk management within the PSR context.

Focusing on the role of risk management in PSR, this monograph contributes to the risk management literature by developing a new conceptualization of the role of risk management in PSR. It stresses the need for more academic studies exploring risks during PSR. This is particularly relevant in an environment of fiscal consolidation, increasing social inequality and exclusion, declining school education attainment, and other adaptive challenges, as noted in the literature. Accordingly, the primary research created better understanding about the nature of PSR related social risks from an SSES perspective. The third research objective addressed this. 7.3.3 Research Objective 3: Considering Two Scottish Councils Critically Discuss and Analyse the Nature of Social Risks Associated with Reforming School Education Services and the Potential Impact on Key Stakeholder Groups

Pursuant to primary research findings from education services in Councils A and B, the primary social risk associated with SSES reform is the attainment gap risk which can be segmented along three key areas of exclusion/inequality, poor learning outcomes, and reductionism. From a structuration theory perspective, the main lessons that can be drawn from this monograph in relation to research objective 3 are: • •

Poor signification structures and interpretive schemes can hinder identification and awareness of attainment gap risks by officials within SSES subject to PSR. Despite relatively similar attainment gap risks, the duality inherent in the structure–agent relationship can influence the approach to managing attainment gap risks, that is social risk management, by officials within SSES subject to PSR. This was evident in Council B’s ability to better identify components of social risks associated with SSES reform in corporate documents. Basically, social risks relating to poor learning outcomes and inequality of outcomes, though not explicitly identified as such, were embedded within the four risk themes defined in Council B’s Education Directorate Risk Register for 2018 (See Table 5.1 in Chapter 5). Likewise, the knowledgeability of the senior management team in risk matters was apparent during interviews. This also illustrates the operation of street level bureaucracy (Hupe and Hill, 2007). It states that implementation of strategic plans/public policy or, in this case, ‘agency’ shapes strategic intent (Shim et al., 2017).

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To recap, the primary research in this monograph demonstrates that signification structures are crucial to the identification of social risk because they can promote social risk awareness during PSR. Building on this knowledge on social risk, research objective 4 presented and explained the social mechanism that might be responsible for its production and management. 7.3.4 Research Objective 4: From an SSES Reform Context, Critically Examine the Structure–Agent Relationship Existing between External Institutional Structures and Agents to Expose the Social Mechanism Underpinning the Production and Management of Social Risks

Primary research findings from Councils A and B education services indicated that domination structures and facilities (allocative and authoritative resources) may be partly responsible for the production of social risks that have been associated with the 4Ps approach to SSES reform. Considering domination structures, this relates to how facilities are articulated and implemented. Specifically, analysis of the results of the interviews made clear that the respondents recognized that the production of social risks may indicate lack of alignment between the formulation of norms (for example of the PEF) by primary authoritative resources operating at macro-institutional level of the Scottish Government, and their being implemented by secondary and tertiary authoritative structures at meso level (of senior management) and micro level (of front-line management and Head Teachers). The respondents also recognized that this lack of alignment between strategy formulation and implementation may negatively impact the educational attainment of young people. Thus, producing the attainment gap risk that they felt was being inadequately addressed in the school education reform process. Those respondents acknowledged that, if not effectively addressed, the attainment gap risk may subsequently evolve into strategic risks because of its potential knock-on effect in hindering the realization of strategic objectives as concerns the attainment challenge. Furthermore, the theoretical development in this monograph posits that allocative resources associated with domination structures may also produce attainment gap risks. For example, the development of blended theory in Chapter 3 allows and justifies the hypothesis that the risks of exclusion and inequality, including poor learning outcomes and eventually reductionism may be produced and reproduced based on operational distractions associated with implementing PEF. These theoretical and primary research findings demonstrate that from the signification perspective of structuration theory, attainment gap risks can be produced because of poor interpretive schemes. The respondents suggested that poor interpretive schemes:

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Ignore the rise of a societal culture that stigmatizes vulnerable children including LAAC and those from ethnic minority backgrounds. Do not provide adequate support facilities to looked after and accommodated young people. Focus narrowly on addressing attainment challenge issues, unwittingly side-lining unaddressed poverty and health related issues.

The conceptual analysis of Chapter 6 made clear that efforts to address attainment gap risks without a comprehensive and integrated risk management framework that distinctively acknowledges reform related social risk may lead to either the static levelling up/levelling down scenarios or dynamic moving goalposts scenarios. The evolution of this potential socioeducational risk was acknowledged by respondents. In other words, signification structures and interpretive schemes with clearly defined social risk management policies and framework should be essential components of public bodies’ overall risk management approach because they can facilitate social risk management. Social risk management can therefore be legitimized if legitimation structures and norms acknowledge the relevance of social risk at strategic levels of Scottish Government and implementation levels of public bodies, including Councils. The conceptual, theoretical, and primary research findings of this monograph make clear the need for such legitimation. Whilst not researching them directly, the findings of this monograph can be taken as corroboration of the idea that legitimation structures and norms can equally encourage social risk discourse across strategic levels of the public sector, while sanctioning the inclusion of social risk management in strategic corporate documents. This is particularly crucial given that the Fairer Scotland Duty which came into force in April 2018 expects public bodies including Councils to mitigate socio-economic disadvantage related to various factors including education, poverty and reduced social mobility, health, housing, and poor aspirations. As perceived from primary research findings, these factors can be directly or indirectly related to poor educational attainment. From a structuration theory perspective, and as effectively acknowledged by respondents, the main implications that can be drawn from this monograph in relation to research objective 4 are that: • •

Signification and domination structures may be responsible for the production of attainment gap risks. Legitimation structures may promote effective social risk management if they sanction social risk management practices in strategic corporate documents. In other words, legitimation structures can institutionalize social risk management by bestowing normative and cognitive legitimacy and by encouraging its “taken-for-grantedness” during public service provision and reform. Invariably, legitimation structures that

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favour social risk management can promote awareness of social risks via signification structures and the effective implementation of SSES reform via domination structures. The new knowledge acquired from addressing research objective 4 extends structuration theory by describing the social mechanism that might be responsible for the potential production and management of social risks related to SSES reform. This aligns with previous risk studies (Odejide and Iyamu, 2012; Goldberg, 2013; Ashby et al., 2014; Bray and Russell, 2016; Tembo-Silungwe and Khatleli, 2018) that have been theorized based on structuration theory.

7.4 Original Contributions to Theory 7.4.1 Conceptual Contribution to Risk Management Theory

This monograph contributes primarily to the risk management theory. The playing field analogy in Chapter 62 evidences this conceptual contribution. Assuming ceteris paribus,3 Councils A and B need to recognize that pupils in the schools located in deprived areas may have difficulties getting on that level playing field, while those schooling in less deprived areas might be pushed off the level playing field. To address attainment gap risks (social risks) and improve attainment, Councils and by extension their schools should ensure that pupils across social strata can self-learn to remain on that field. Therefore, in terms of conceptual contribution to theory, this monograph has added a new perspective on the consideration of the attainment gap from a social risk perspective. It is not just a gap in exam performance or results. It is more profound than that because if not closed, the attainment gap will continue to have deep-seated negative impact on the life chances of pupils and more broadly, society. It is worth mentioning that this monograph has not focused on that profound impact on pupils’ life chances because this objective falls outside the remit of the monograph. This is one potential limitation of this monograph and an agenda for further research. Interestingly, a recent study conducted by Impetus, a venture philanthropy charity in collaboration with the National Institute of Economic and Social Research (NIESR), demonstrates the profound impact of social risks on pupils’ life chances in England (Gadsby, 2019). The study reports that 26% of young people from disadvantaged families on free school meals were not in further or higher education, employment, or training post school. More importantly, the study states that even with similar qualifications as their less-disadvantaged peers, the former are still 50% less likely to progress to higher or further education, employment, or training post school. This report corroborates the point made earlier in this monograph that closing the attainment gap extends beyond improving

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exam results across social strata. The findings from the report which are based on longitudinal data produced by the Department for Education connect pupils’ backgrounds with their school records and employment chances. It reveals the impact of having a disadvantaged background on pupils’ life chances regardless of attainment levels. Although the report notes that some local authorities are effectively addressing this social risk, it does not state how they are tackling the negative effects of disadvantage. Nonetheless, a more holistic approach to risk management which considers this nebulous4 concept of social risk is required. The modus operandi of effective public participation in a PSR/SSES reform context has not been considered in any depth5 in this monograph. This is another potential limitation of this monograph which can be addressed in subsequent studies. Other holistic approaches to addressing attainment gap risks were identified in this monograph including the recognition that due considerations should be paid to the causes of poverty, both relative and absolute, in closing the attainment gap. Whilst these causes were not researched (a potential limitation), this monograph recognizes that more holistic approach is required. Therefore, the restrictions of this partial approach to closing the attainment gap are necessarily constrained within the remit of the SSES (in this case, the schools themselves and the councils). As such, education services in both Councils must recognize that their agency extends beyond SSES reform at micro school level. They must improve corporate communication and governance within their Councils about wider aspects of poverty in terms of the way they relate to the attainment gap. Though respondents in both Councils recognized this, they did not provide any evidence or suggestion that their Councils were adopting a more corporate and integrated approach to closing the attainment gap. For example, other departments outside education did not seem to be sufficiently involved in the approach that was adopted to closing the attainment gap. They recognized the merits and demerits of public participation involving internal (other Council departments) and external (Scottish Government, other public sector bodies, including the private and third sectors) stakeholders. However, in procedural terms, elements of social risk management were still narrowly specific to the education departments in both councils. As previously noted, the primary contribution of this research is to the risk management theory. This has been conceptualized as the playing field analogy. This is because it highlights potential scenarios that may emerge based on attempts of the education services in both Councils to address social risks associated with reforming their school education services. Respondents associated some of these social risks or more precisely, attainment gap risks with how the Scottish Attainment Challenge and PEF are implemented. This conceptualization is depicted in Chapter 6, Figure 6.1 and articulated thus:

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A static levelling up scenario evidencing significant improvement in attainment levels of low achieving pupils, and no significant improvement in attainment levels of their high achieving counterparts. A static levelling down scenario where attainment levels of high achieving pupils drop to the level of their low achieving counterparts because schools do not deliberately concentrate on improving their attainment and/or including them in reform initiatives. A dynamic even goalpost scenario whereby reform efforts focus on equalizing attainment levels across social strata by raising that of the low achieving pupils. It could also mean that there is a steady gap in attainment levels with high achieving pupils (presumably from less deprived households) leading because of positive behavioural changes they may have adopted. An uneven dynamic goalpost scenario demonstrating more rapid improvement in attainment levels of low achieving pupils compared to their high achieving counterparts.

None of these scenarios effectively address the attainment challenge. Moreover, these social risk scenarios could crystallize as social problems in the long-term, for instance as further inequality of outcomes, poverty, or deprivation. These problems indicate neglect of the people-focused legislation (see Section 1.7.2), on the part of education services in both Councils. These scenarios may apply to other education services in the UK. For example, there are reports that English schools have been trying to “game” the attainment challenge. This is considered in Section 7.5. As previously illustrated,6 if not proactively addressed, these scenarios could lead to the reproduction or exacerbation of the social risk of exclusion. 7.4.2 Analytical and Theoretical Contributions to Structuration Theory

An important contribution of this monograph is to the literature on structuration theory which revolves around the use of the blended theory approach developed in Chapter 4 to interpret primary research findings. During the analysis, the agent–structure discourse has evolved beyond the concepts presented by Structuration Theory. Nevertheless, primary research findings in this monograph were better explained using some of the key concepts of Structuration Theory. This includes the use of: •

Signification structures and interpretive schemes to explore social risk awareness, management, and mitigation. It relates to the different guises in which social risks can become manifest during the reform of school education services in Councils A and B. In short, they can be implicitly or explicitly associated with school education reform in both Councils. For example, though social risks were not explicitly discussed

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in corporate documents, respondents were keenly aware of them. Additionally, poor signification structures and weak interpretive schemes suggest that though unintentional, both Councils may not necessarily be complying with the people-focused legislation7 during the reform of school education. On a more general scale, the findings imply that governments at macro-, meso-, and micro-institutional levels have not deliberately considered eradicating discrimination and inequality of outcomes, promoting equal opportunity, and nurturing good relations during PSR and SSES reform. Domination structures and facilities to understand how social risks can be produced (manufactured) and reproduced at macro, meso, and micro levels during school education reform in Councils A and B, and more broadly during SSES reform and PSR. As stated in Chapter 6, the production and manufacture of social risk can occur based on misalignment between strategy formulation and strategy implementation, or inadequate conceptualization and understanding of social risks and their sources. Legitimation structures and norms to institutionalize social risk management during PSR and SSES reform. To put it differently, legitimation structures and norms can sanction an organizational culture of social risk (mis) management during school education reform and more broadly, SSES reform and PSR.

These concepts were primarily used to understand social mechanisms associated with the production/manufacture and management of social risks related to school education reform in Councils A and B. Thus, this monograph created new knowledge on how structuration theory may be empirically applied in a specific reform context as in the case of reforming school education services in Councils A and B. It also advances this knowledge by using structuration theory concepts to understand the implications of the findings in the wider SSES reform and PSR contexts. This new knowledge also extends risk management theory by evidencing the relationship between PSR and social risk and the need for social risk awareness and management during PSR.

7.5 Original Contributions to Practice 7.5.1 Empirical Contribution to Risk Management Practice

Primary research findings suggest that social risks cannot be managed in silos. Therefore, multidisciplinary teams with relevant expertise are required to address social risk issues in a holistic manner. These teams should comprise internal stakeholders like education managers in the Councils and managers in the audit/risk departments. Similarly, other managers elsewhere in the council with responsibility for dealing with social exclusion,

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or disadvantage relating to race, gender, and other relevant protected characteristics listed in the Equality Act 2010 should be included in the multidisciplinary teams. Essentially, the risk management department must liaise with the other departments to seek their advice about the management and mitigation of social risk. Therefore, more attention should be paid to Council-wide social risk management training to provide relevant education on social risk matters. Surprisingly, the respondents never expressed any need for improved training to manage and mitigate social risks, even though they recognized wider aspects of poverty that related to the attainment gap. What the responses of the respondents seemed to suggest was that they were too busy trying to satisfy and meet the statutory requirements that were being set by regulatory bodies of the Scottish Government. In structuration theory terms, they were busy satisfying legislative structures and norms. As such, they did not seem to have time to participate in what obviously was going to be quite timeconsuming training programmes. Another explanation for the time-consuming element was that the respondents would need to communicate with the other professionals in the council that have responsibility related to poverty, discrimination, and other protected characteristics. These professionals would need to engage with the time-consuming SSES reform process if the attainment gap was going to be addressed in a holistic way. The respondents failed to acknowledge the relevance of social risk management training. This may be traced to poor signification structures (at macro, meso, and micro levels of SSES), lacking explicit reference to social risk management. It should be noted that research into the types of social risk management training programmes available to risk managers in both councils or more generally across Scotland or the UK was not conducted because it fell outside the scope of this monograph. The implications for risk management practice in public sector organizations is clearly a need for SSES to prioritize training on social risk management. This is because the greater the impact and complexity of social risk events, the greater the attention that must be paid to their management and mitigation. Thus, there should be a prudential approach to this. Councils should not just hope for the best. Rather, they should proactively ensure that the social risk management strategies in place can address social risks issues. This should occur alongside the development of strategies to address the worst possible scenario. The latter occurs because social risk can be self-enforcing and self-perpetuating. Furthermore, the attainment gap can be exacerbated by the wider economic and socioinstitutional context. So, in part at least, to manage the attainment gap social risk Council managers should be knowledgeable and experienced in social risk management. Accordingly, Councils should review their training programmes. They should find out if:

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Council managers are experienced in social risk management and/or the scope of their experience. Current training programmes consider social risk management. Council managers have been trained in social risk management and/or how recent the training was.

These issues were not addressed in this monograph because they fall outside its remit. Still, they should be addressed by Councils as part of professional practice. In summary, the literature on risk management have traditionally concentrated on economic, organizational, operational, political, social, social policy, strategic, and systemic risks strategic and organizational risks (see Table 3.2, Chapter 3). These conversations have mostly focused on public service provision. By exploring the social implications of reforming education services in two Scottish Councils, this monograph extends risk management theory and raises the profile of risk management research by empirically: • • • •

Establishing links between social risk and SSES reform. Identifying and describing the nature of social risk in an SSES reform context. Showcasing how social risks are currently being managed (if at all) by school education services in Councils A and B despite a lack of interpretive schemes to guide implementation. Identifying need for social risk management training at macro-, meso-, and micro-institutional levels.

Accordingly, the key empirical contribution made by this monograph is its use of risk management as a springboard for analysing emerging social and strategic issues in the reform of SSES. The monograph contributes to the sparse literature on social risk management as evidenced in Chapter 3, further developing social risk research. 7.5.2 Empirical Contribution to Scottish Government’s Public Policy

The research findings have clear implications for Scottish Government policy towards closing or reducing the attainment gap. This is because public policy would have to recognize all the aforementioned recommendations including: the need for social risk management training, the need for multidisciplinary collaboration, and then thereby the need for a much more holistic approach to social risk management. Generally, national, and local governments are responsible for policy development, although it is difficult for them to assess the effectiveness of those policies. Based on research findings, this monograph proposes that this should be done using the 4Ps approach to PSR recommended by the Christie Commission. This enables a more systematic and holistic approach to

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assessing the effectiveness of PSR because it is developed around key elements of people, partnership, prevention, and performance. Overall, the research findings suggest that a more comprehensive approach to social risk governance be negotiated and embedded at macroinstitutional levels of the Scottish Government, meso-institutional levels of Local Councils, and micro-institutional levels of schools. It demonstrates that effective social risk management/governance during SSES reform is largely contingent on the interplay between agency and structure; referred to as duality. Thus, the findings reveal the need to facilitate interpretive schemes that encourage cultural change at macro-, meso-, and microinstitutional levels of SSES. This can be achieved in various ways including: • • •

Acknowledging and creating awareness about the existence of social risk during SSES reform and unintended consequences that may be associated with the process. Recognizing the interconnectedness of risks, particularly SSES reform related social risk and the implications for social risk management. Updating risk management and governance procedures to reflect reform related social risk at macro-, meso-, and micro-institutional levels.

As previously reviewed in Chapter 4, this aligns with public sector recommendations highlighting the significance of embracing a comprehensive risk management approach. Consistent with earlier discussions, Council managers are suitably positioned to manage SSES reform related social risks based on their knowledgeability8 and reflexivity.9 Similarly, they can manufacture, and transmit them if they do not effectively manage SSES reform, as illustrated in documentary and interview analyses of both councils; hence the need for formal social risk management training. Essentially, primary research findings from Councils A and B illustrate the relevance of signification structures in SSES reform. They reveal the need to improve social risk communication by incorporating reform related social risk and its management in interpretive schemes that address SSES reform.

7.6 Research Limitations and Recommendations for Further Research In line with research objectives 3 and 4, the primary research results are restricted to describing the (re) production and management of social risks associated with school education reform in two Scottish Councils. Equally, these results which are interpreted based on the theoretical framework developed in Chapter 4, seem applicable to the SSES reform context alone. Nevertheless, other public services, including education services within the UK are likely to encounter similar social issues during service reform. For instance, the social risk of exclusion which was observed in Councils A and B (see discussions in Chapters 4 and 5) was implicitly identified in

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some English schools. To reform school education and raise education attainment levels, these schools are excluding poor performing pupils. Similarly, over 49,000 pupils disappeared from English school rolls without explanation (Weale, 2019). This underhand, unacceptable and (subject to a court ruling) illegal management practice enables schools to move up the rankings and constitutes organizational and reputational for the schools. More crucially, they constitute attainment gap risks (social risks) for pupils, families, and communities. Likewise, the Preface presents some social risks associated with reforming other public services in the UK including the Scottish fire and rescue services, and English prisons. Certainly, the social risks differ in nature from those associated with SSES reform. Yet, if unmanaged, like the SSES attainment gap risks, they may exacerbate social exclusion and inequality, thereby frustrating policy objectives. Therefore, the primary research findings may indeed be transferable to other school education institutions. They may also be transferable to other public service contexts outside Scotland and within the UK with similar external institutional structures and adaptive challenges as earlier mentioned. The two case studies used in this research are not intended to provide representative results, which is another potential limitation of this monograph. Still such focus has enabled deconstruction and finely grained analysis of school education reform processes underpinned by the 4Ps approach adopted in two different Scottish Councils. Whilst primary research from the case study research is not generalizable to populations, they are generalizable to theoretical propositions. This ‘generalizability’ is demonstrated in this monograph by using the blended theory approach10 to interpret primary research findings and subsequently develop four key theoretical propositions.11 These propositions are transferable and may be applied to developed countries with similar political/legislative, socio-economic, and technological structures as Scotland, and with similar adaptive challenges driving PSR as obtains in Scotland. Considering these propositions, it might be suggested that like the reform of school education services in Councils A and B: •

•

•

PSR in the UK, and in other developed countries, as explored in Section 1.4, Chapter 1, are primarily driven by a set of adaptive changes in external institutional structures of politics/legislation, society, and economy. Some social risks may be largely produced during PSR. As described in Section 6.3.1, Chapter 6, this depends on inappropriate design and implementation of domination structures and facilities (allocative and authoritative resource) by unknowledgeable public sector employees during PSR. Poor and ineffective social risk awareness and management may be exacerbated by weak signification structures and interpretive schemes

Conclusions

•

205

that inhere public sector documentation at strategic and implementation levels. Depicted in Table 6.2, these include financial statements, risk registers and assessment and prioritisation framework, business plans, policy documents, business plans, and others. The institutionalization of effective social risk management at macro-, meso-, and micro-institutional levels of PSR is contingent on the development and implementation of appropriate legitimation structures and norms. This is discussed in more depth in Section 6.3.3 and the interpretation can be applied to other developed countries.

The research findings presented in this monograph can guide service providers including central and local governments in countries with similar external structures and adaptive challenges as they seek to achieve their broader risk-mitigation, social-inclusion, and sustainability objectives. They therefore are intended to guide policy and make recommendations for practice as well as contribute to theory, academic literature, and policy debate. The partial conceptual approach (which also involves the use of two detailed case studies) to studying social risks related to SSES reform adopted in this monograph introduces additional limitations. These have been highlighted in Section 7.4 and condensed here as absence of: • • • •

Evidence regarding the profound impact of social risks on pupils’ life changes. In-depth discussion about “what” effective public participation looks like and “how” it can be enacted as a means of addressing social risk. Detailed investigation into the relative and absolute causes of poverty as one of the sources the attainment gap. Research into the types of social risk management training available in Councils A and B and across Scotland and the UK.

These limitations exist solely because they fell outside the remit of this monograph. Nonetheless, the limitations provide an agenda for further research, underpinned by the 4Ps approach to PSR. It includes the need to: • • • •

Critically consider the impact of social risks particularly the attainment gap risks on pupils’ life chances and on society if indeed they crystallize into social problems (People Pillar). Explore the use of effective public participation as a potential social risk management strategy (Partnership Pillar). Identify ways to prevent the widening of the attainment gap risk and gradually eradicate it by investigating the relative causes of relative and absolute poverty (Prevention Pillar). Develop training programmes on social risk management programmes that address PSR (Performance Pillar).

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Further research could extend the findings from this research by considering social risks associated with school education reform in all 32 Scottish Councils, rather than two as was the case here. Despite the potential research limitations, the primary research findings promote better understanding of the (re) production and management of social risks associated with PSR, and more specifically SSES reform. Furthermore, they have made original analytical and conceptual contributions to risk management and structuration theories, and practical contributions to risk management practice and public policy.

7.7 Concluding Remarks Using two detailed case studies on education service provision, this monograph set out to understand the social risks associated with SSES reform and how they are being managed. The preceding discussions in this chapter have evidenced how this has been addressed by discussing the key conceptual, theoretical, and primary research findings related to each research objective. Findings from the Literature Review and corporate documents from both Councils aptly capture and discuss financial, organisational, reputational, project, and strategic risks. Social risks did not feature significantly in reviewed articles or corporate documents unlike other forms of risks which were referred to therein. This may be because social risks when compared to other risk categories are unmeasurable, if only because those risk outcomes are not borne directly by Councils but, instead, by their former pupils. Even reputational risks which seem to some extent unmeasurable, can indeed be measured by estimating financial impacts of reputational damage. Nonetheless, social risks were more explicitly identified during interview analysis. Bearing that caveat in mind, the above analysis makes clear that social risk has neither been recognized nor treated as a strategic risk in public administration literature or in Councils A and B. It should feature in discussions at the strategic level of senior management to facilitate its governance and management. Otherwise, managing social risks in silos rather than holistically at strategic (macro) management level can fail to recognize that the process of implementing reform may introduce interactive and interconnected social risks that may become sources of strategic risk. This relates to the risk associated with how strategic objectives are translated and implemented. This means that Councils A and B’s strategic reform objectives and consequently the Scottish Government’s attainment challenge objectives may not be addressed. Strategic risks in this context also encompass the potential negative impact of social risks on society including increasing numbers of young people in need of governmental interventions regarding criminal justice issues, welfare, and health and social care. Accordingly, the main argument of this monograph is that social risks associated with SSES reform are one of the key emerging threats for Scottish schools. They could further worsen inequality and social exclusions

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if they hinder young people from accessing further education, employment, apprenticeships or from becoming entrepreneurs. At meso levels of Council managers, the interviews made clear that there is some awareness that social risks can be produced during SSES reform. This may be contingent on the structures (SSES strategy formulated by key external domination structures) and agency (agents’ approach to strategy implementation) relationship introduced in Chapter 4 and discussed in Chapter 6. By focusing on SSES reform from the perspective of SSES managers, this research is framed within the public management domain, not within the social policy literature. This approach bridges the gap between social policy literature and public management discourse from a risk perspective while remaining grounded in public management. It builds on the focus of earlier research on the centrality of risk within the context of public policy and social innovation risks. However, one of the major challenges for further academic research into public sector risk management is in adopting a multidisciplinary approach to the research. This cannot be achieved solely by those working within the narrow confines of risk management and mitigation, but in collaboration with relevant stakeholder groups. This will enable a holistic approach to conducting research on the topic.

Notes 1 2 3 4

5

6 7 8 9 10 11

PEF beneficiaries may also be identified by Head Teachers. Discussions on the playing field analogy are covered in Sections 6.2.1, 6.2.2, and 6.3. In this context, assuming ceteris paribus means assuming a level playing field exists. Unlike other forms of risk like financial risks and fire hazards, social risk is nebulous in that it cannot be measured in mathematical terms of mathematical probability of occurrence. So, it is difficult to measure if and when social risk has reduced or increased, particularly in the short term. In the long term, Scottish councils gather information on the number of pupils who have arrived at positive destinations (for example, employment, further or higher education, apprenticeships) after school. This may provide some indication of the decline or increase in attainment gap social risks in the long term. Public participation was identified as one of the key influencing factors of PSR in the literature review conducted in Chapter 2 and in the case study analysis conducted in Chapters 4 and 5. However, discussions did not necessarily delve into how to achieve effective public participation. Gaming of the Attainment Challenge by English schools is briefly discussed under Exclusion in the subsection titled Prevention Pillar in Section 4.3.3. People-focused legislation includes the socio-economic inequality duty, the Equality Act 2010, and the Human Rights Act (1998), the named-person scheme. Council managers’ knowledgeability refers to their knowledge of the social structure. Council managers’ reflexivity refers to their heightened self-awareness and selfreflection which enhances their ability to actively shape SSES transformation. Graphical representation and discussion of the blended theory approach adopted in this monograph are provided in Chapter 3. The four key theoretical propositions are presented in Section 6.4.

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Index

Note: Bold page numbers refer to tables and italic page numbers refer to figures. agent-structure debate: the middle point 57–58

148–156, 158; documentary analysis 114–132, 122; overview 114, 158–161 COVID-19 pandemic 6, 8, 14, 17

Brexit 6, 20 chapters 1-6: aims and summary of research 190–191 children in Scotland 16 comparative analysis of context and content of school education reform in Councils A and B 163–172, 165 comparative analysis of the process of school education reform in Councils A and B 172–185, 173–174, 176, 179–180, 182 Complexity Leadership Theory (CLT) 55–56 conclusions 190–207; chapters 1-6: aims and summary of research 190–191; key research findings 192–197; original contributions to practice 200–203; original contributions to theory 197–200; overview 190, 206–207; research limitations and recommendations for further research 203–206 content factors 50 Council A, empirical research findings from 72–113; analysis of interviews with council officials from Council A 86–109, 87, 89, 89, 94, 94, 96, 100–101, 103–105, 107, 109; documentary analysis 73–86; overview 72, 109–112 Council B, empirical research findings from 114–162; analysis of interviews with council officials from Council B 132–158, 133–134, 138–139, 142–143,

findings, discussion of 163–189; comparative analysis of context and content of school education reform in Councils A and B 163–172, 165; comparative analysis of the process of school education reform in Councils A and B 172–185, 173–174, 176, 179–180, 182; overview 163, 185–187 four pillar approach 4 Getting It Right for Every Child (GIRFEC) principles 75 “Implementing New Funding and Governance Structures in Scottish Schools: Associated Social Risks” (Enang et al., 2021) 114 inner context 49–50 institutional theory 56–58 International Review of Administrative Science Journal 28 key research findings 192–197 Law’s theory of the actor-network 58 leadership 39–40, 39–41, 94–98, 118–120 Looked After and/or Accommodated Children (LAAC) 82, 145 National Care Service (NCS) 8 National Improvement Framework (NIF) 75 New Public Governance (NPG) 1, 3–5 New Public Management (NPM) 1–4

Index 245 original contributions to practice 200–203 original contributions to theory 197–200 outer context 49 P1: People-Focused Legislation 21 P2: Partnership-Focused Legislation 21 P3: Performance-Focused Legislation 21 P4: Prevention-Focused Legislation 21–22 partnership approach 82–84, 128–130 partnership pillar 106, 155 PEF (Pupil Equity Fund) 9, 16–17, 23, 82–83, 86, 90–92, 97, 104–106, 108, 116, 119, 121, 127–128, 136, 143, 146, 153, 160, 166, 168–172, 175–176, 181–182, 193, 195, 198 people approach 81–82, 126–128 people pillar 100, 100–101, 150–151, 151 performance approach 84–85, 130, 156 performance pillar 107, 156, 156–157 Pettigrew’s Context Content Process Triangle (PCCPT) 47–51, 72 politics and legislation as drivers of SSES reform 20 prevention approach 85–86, 130–132 prevention pillar 103, 103–104, 147–149, 148, 152, 152 PRISMA approach 29 process factors 51 public participation 123–124 public service provision and reform, background to 1–27; defining public services and public service reform 1–2; establishing need for PSR in Scotland 10–15; evolution of public administration models and PSR 3–5; overview 1, 24–26; P1: PeopleFocused Legislation 21; P2: Partnership-Focused Legislation 21; P3: Performance-Focused Legislation 21; P4: Prevention-Focused Legislation 21–22; PSR in Scotland: addressing an adaptive or technical challenge? 7–10; public service reform in the UK: an overview 5–7; reforming SSES 15–24 public service reform in the UK: an overview 5–7 public service reform (PSR) 1; drivers in Council A 74 Pupil Equity Fund (PEF). see PEF (Pupil Equity Fund)

reductionism 109, 153, 154, 158, 158 research limitations and recommendations for further research 203–206 risk culture of public sector organizations and in PSR 62–64 risk management 41–44, 42–43, 44, 58–67, 60, 63, 120–123 SAC funds 81 School Estate Management Plans (SEMPs) 79–81 scoping study 1, 10, 11–13, 14, 24, 51 Scotland 1; children in 16; establishing need for PSR in 10–15 Scottish School Education Services (SSES), reforming 14–24, 28; SAC and associated risks 81; 4s approach to 14 Sewell’s theory of structure 58 SLR 1 acticles 29–30, 31, 35, 36–37, 37–38 SLR 2 acticles 29–30, 32, 33, 35, 36–37, 37–38 SLR 3 acticles 29, 32, 34, 35, 36–37, 37–38 Sminia, Harry 48–49, 57–58, 70 social risks 59–62, 60 society and economy as drivers of SSES reform 18–20 structuration theory 47, 49, 51, 52–54, 55–58, 67–70 sustainable public service reform: a systematic literature review (SLR) 10, 28–46; discussions 37–40, 37–44, 42–44; methods 29; overview 28–29, 45; results 29–37, 30, 31–35 theoretical framework for analysis of findings 47–71; Complexity Leadership Theory (CLT) 55–56; institutional theory 56–58; overview 47, 69–70; Pettigrew’s context content process triangle (PCCPT) 48–51; risk management theory 58–67, 60, 63; structuration theory 67–69; theory selection and rationale 51–69, 52, 53–54 United Kingdom 1–3, 6–7, 14–15, 17, 25, 29–30, 32, 50, 170, 186–187 Urban Heat Island (UHI) effect 9