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Knowledge Utilization as a Networking Process

Robert K. Yin and Margaret K. Gwaltney Science Communication 1981 2: 555 DOI: 10.1177/107554708100200406 The online version of this article can be found at: http://scx.sagepub.com/content/2/4/555

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Knowledge Utilization as a Networking Process

ROBERT K. YIN
The Case Study Institute, Inc.

Washington,

D. C.

MARGARET K. GWALTNEY
Abt Associates Inc. Washington, D. C.

Trying to Improve R&D

concern to

Management

more &dquo;useful&dquo; has become of increasing federal R&D funding agencies. Especially in those cases where applied social research is sponsored by such agencies-e.g., the National Institute of Mental Health, National Institute of Education, National Institute of Justice, and components of the National Science Foundation and National Institutes of Health-current R&D investments are being more closely judged on the basis of their impact on actual practices or policies. In short, knowledge utilization has become an important outcome for assessing the worthiness of applied social research (Lynn, 1978).

How to make research ideas

Six Common &dquo;Interventions&dquo;

knowledge utilization as an outcome, however, requires understanding of (and ability to manipulate) knowledge utilization as a process. To date, in spite of continued investigation over the years, such an understanding has yet to produce an effective set of
some

To increase

Knowledge. Creation, Diffusion, Utilization, Vol. 2 @ 1981 Sage Publications, Inc.

No. 4, June 1981 555-580

555

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interventions. The most common intervention has centered around the dissemination of final reports from applied research. However, the dissemination activities, often facilitated by an information clearinghouse, have been criticized for their low communication potential; the final reports do not necessarily reach the right target audiences, and service providers and policy makers often encounter difficulties with the readability and relevance of the reports. Similarly, though many R&D awards are made with the stipulation that the grantee (or contractor) develop an individualized dissemination and utilization plan, such plans are generally oriented toward communication with other researchers rather than with service providers or policy makers. Some agencies, such as those in education, have pursued yet another intervention, the support of linkers-or field agents-usually through awards to field organizations. The National Institute of Education, for example, sponsors ten Research and Development Exchanges, located in independent educational organizations throughout the country. In this arrangement, individuals provide assistance to local school personnel by disseminating research products, answering queries, and helping to implement changes within districts or schools. Finally, some interventions have been directed at the conduct of the research itself. Thus, R&D funding agencies have used a variety of techniques, such as issuing programmatic guidelines to solicit more relevant and timely research in the first place; imposing &dquo;user&dquo; panels as an advisory body to the research investigation; and sponsoring research applications conferences to foster further communication between research producers and users.

The

Need for

Coherent Strategy

These interventions have enjoyed partial success. Rarely, however, has an R&D funding agency been able to articulate or develop a coherent strategy for knowledge utilization,2 partly because our understanding of the knowledge utilization process has also been fragmented and noncumulative. Few individuals would claim to know which interventions work best under what conditions. The following article therefore is aimed at:
.

.
.

examining a fresh set of evidence on current knowledge utilization activities; developing general insights into the knowledge utilization process; and deriving implications for improved R&D management policies as well as
for further research.

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The most important finding from our work is that knowledge utilization should be viewed as a networking process, in which individuals need to be encouraged and supported in their interpersonal communications behavior, and in which written reports play an important but nevertheless secondary role.

Studying Knowledge Utilization

Service Providers
as

Knowledge

Users

The knowledge utilization process may be different, depending upon the &dquo;user&dquo; of ideas. Current R&D management policies have tended to overlook that users fall into at least three categories:

Policy makers, or those who must make decisions about resource allocations, program support, or new legislation and regulations;
Citizens, or those who are consumers of the services wise be affected by government policies; and
.

or

who may other-

Service providers, or those who are involved in the operation of actual services-e.g., schools, police services, health facilities, and social service programs.

Although a specific individual may assume all three roles at one time or another, the needs and orientations of each type of user are different, thereby implying potentially distinctive knowledge utilization processes. Our investigation was aimed at examining only one of these types of
service providers. This choice was based on two motivations. whether in education, criminal justice, social services, transportaFirst, or tion, health, general purpose state and local government, these persons occupy key positions in any attempts to improve American life through improved services (e.g., Yin and Yates, 1975). Such a &dquo;service delivery&dquo; orientation is embedded in the missions of many federal agencies, making knowledge utilization potentially relevant to a wide variety of policy problems. Second, one of us had previously investigated the peculiar problems of knowledge utilization in local services (see Yin, 1976, 1978); the current study represented a further opportunity to build upon this line of research. This distinction among types of users also helps to clarify the results of previous research on knowledge utilization. In particular, each type of user may put knowledge to a different &dquo;use&dquo;: making decisions or
users:

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Figure

1: Differences

Among Three Types of Knowledge Users

implementing new practices. Whereas policy makers are primarily concerned with the making of decisions, citizens are concerned with both decisions and practices, and service providers are dominantly concerned with implementing new practices (see Figure 1). Thus, the extensive work on the utilization of evaluation findings at the state and federal levels (e.g., Patton, 1980; Alkin, 1979; and Cook et al., 1980) is more appropriate to situations where policy makers or citizens are the intended users. Similar are the studies of the information sources consulted by federal policy makers (e.g., Caplan et al., 1975) or state legislators (e.g., Bissell, 1979). In these situations, where decisions may be an admittedly fragmented activity (e.g., Cohen and Garet, 1975; and Weiss, 1980), the knowledge user may consult numerous sources of information and may be unable to attribute specific decisions to specific sources of knowledge. Indeed, knowledge utilization by policy makers and citizens may be more likely to follow Weisss (1979) &dquo;enlightenment&dquo; model. In this model, the relevant knowledge may emanate

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mixture of scientific and nonscientific sources (Lindblom and Cohen, 1979); moreover, utilization may result in changes in the way that people think about a situation or phenomenon, and not just in their decision-making (e.g., Rein and White, 1977). In contrast, the problems of service providers are related to the implementation of a practice. Service providers also may be consumers of information in the enlightenment sense, and they may have a need to make decisions. However, the most relevant knowledge usually includes information about a set of service behaviors. This type of knowledge utilization has been investigated extensively in the past (e.g., Havelock, 1969; Sieber, 1974; Glaser, 1976; and Campeau et al., 1979), and an appreciation for the following conditions has emerged:
a

from

The source of knowledge may be the experience of other service providers (hence craft- or practice-based knowledge) rather than a formal research

inquiry;
.

an important role in diffusing knowlproviders (e.g., Bingham et al., 1977); The usable knowledge may involve the implementation of some new procedure in a practice setting (or an affirmation of some old procedure) and hence may go beyond the simple reporting of an idea; and Certification requirements, regulations governing service practices, and training and degree programs for service providers can all serve as barriers or facilitators for knowledge utilization (Yin, 1976).

Professional associations may play

among service

edge

In summary, the focus in the following investigation was on knowledge utilization by service providers. The results may have implications for situations where policy makers or citizens are the main knowledge users. However, our suspicion is that the knowledge utilization process differs sufficiently, depending upon the type of user, that separate investigations should be conducted with regard to each type.

Methods
Our

of Study
covered current

experiences in two types of services: primary and secondary education. These services were selected because they represented different settings in which local agencies have tried to improve services through knowledge
study
services for the elderly, and

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utilization.3 Within each service, attention situation, where:

was

focused

on a common

knowledge (i.e., knowledge based on social sciences as opposed to engineering or technological inquiries), produced by an external source (an individual or organization outside of a local agency), was to be applied to local agency operations.
social science

We regard federal R&D

success

in this situation

as one

of the

major

concerns

of

management policy.

situation was studied through a series of case studies, methodology will be reported in a subsequent article (see Yin et al., forthcoming). The purpose of the case studies was not to survey the extent of knowledge utilization, or even to produce a typology of knowledge utilization. Rather, the case studies were intended to trace specific experiences with knowledge utilization, in order to develop an understanding of how and why knowledge utilization occurred. Thus, exemplary cases of knowledge utilization were the primary targets of investigation,4 covering three case studies of social science research projects whose results were widely used by service providers in the field of aging; and three case studies of interorganizational arrangements that have facilitated knowledge utilization in primary and secondary education. Although the case studies covered different services and had different units of analysis, the research objective was the same: to explain why knowledge utilization occurred. Each case study therefore required a definitive rendition of the &dquo;facts&dquo; of the case, and then a compelling explanation of these facts in light of possible alternative explanations. The prevalent within-case explanations then were compared across the cases in the same service (education or aging), to determine whether a general explanation for successful knowledge utilization-in each service-could be developed. Finally, the explanations for each service were compared, to determine whether an overall, general explanation was possible.5 The following section presents both the within-service and across-service explanations.
common

This

whose full

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561

Case Studies

of Knowkdge Utilization Elderly

Services for the

All three case studies focused on &dquo;research projects&dquo;-i.e., situations where funds had been awarded to undertake a research activity. The descriptions below are brief summaries of the full case studies, which appear elsewhere in published form.6 Individual Cases. In the first case, a transportation planning handbook (along with supplementary training materials) was produced by the Institute of Public Administration (IPA) as a result of a six-year effort (1973-1979). The project produced other significant products, including a state-of-the-art report, but the handbook was the most relevant utilization product. The handbook takes a transportation planner or operator through the major steps in implementing a demandresponsive transportation system for the elderly. In such a system, senior citizens make a reservation with a central dispatch office, which then organizes a bus route for the following day. The route and the special vehicle are usually operated independently of any regular transit

service. Since its completion, the handbook has been widely distributed, with several thousand copies having been printed by IPA, the U.S. Administration on Aging, and the U.S. Department of Transportion. Across the country, local transportation planners and service operators have used the handbook, and many of these experiences are documented in the full case study. The final result is that there are now numerous, new transportation services for the elderly. Although these services could have been built without the information in the IPA handbook, it has been a key source for designing and implementing the services. To this day, the original IPA research investigators continue to answer inquiries about their work, and to distribute related materials, even though the formal research project has ended. In the second case, a functional assessment methodology was developed by the Center for the Study of Aging and Human Development at Duke University. The project also took six years to complete (1971-1977), and its main product was a questionnaire and methodology whereby the functional status of an elderly person can be established. Such a comprehensive assessment procedure, administered without the necessity for a clinician, had not existed previously.

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The questionnaire and methodology have been used by a variety of local service providers, and for a variety of applications. The assessment tool may be used: as an &dquo;intake&dquo; instrument, to determine whether an elderly person needs formalized care; as a community planning device, to determine the needs of the elderly in a given geographic area; and as a measurement tool for evaluating a specific service innovation, such as the &dquo;channeling&dquo; experiments now underway within the Department of Health and Human Services. Again, the full case study describes many of these uses. Users of the assessment tool still meet at Duke University every year, to exchange new experiences and lessons. The Duke investigators also continue to distribute copies of the instrument and instructions, even though the formal project award has ended. Finally, the methodology has been extensively used for policy-making, and not just service provision. The U.S. General Accounting Office has been the most prominent user, incorporating the instrument and methodology into its assessment of the national needs of elderly persons. In the third case, an instructional manual to assist local organizations in creating an inventory of nursing homes was developed by the Urban Institute (1975-1979). Such an inventory may be used by the elderly, as well as their relatives and service providers, to select a specific nursing home within a small geographic area. Prior to the instructional manual, decisions about nursing homes were made without adequate information about either the array of nursing homes or the differences among them. The instructional manual has been widely disseminated to voluntary and community organizations, the staffs of which then develop a specific inventory. Though the inventory must be updated, the need for such information is so great that there was a long list of requests for the instructional manual, even before the final version was printed. Once again, many of these applications have been documented in the full case

study.

Why Utilization Occurred. Each of the case studies independently established the facts of the case and the reasons for utilization. In spite of differences among the cases, certain common features nevertheless
stood out. The most important characteristic, in all cases, was the interactive role played by the principal investigators or research teams. Although the research resulted in written products, in every case the investigators

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563

became

important

contacts for relevant research

information. These

contacts served a dual function: Preliminary information could be transmitted to potential users, and users could communicate nuances about their problems that could then lead to a modified research

approach.
The evolution of this interactive role resulted in the formation of what may be regarded as a social network. Thus, each project took on a &dquo;life of its own,&dquo; with the research team (or principal investigator) perceived to be the center of extensive communication activities. The network was social in that individuals knew each other personally, and not merely by reputation (e.g., as a result of reading about another persons work). Although formal documents were needed to corroborate specific ideas, the important aspect of the network was that it was based on twoway communications, in which individuals could consult each other on a variety of topics, and not merely be exposed to the recommendations of specific documents. In this sense, the relevant focus of utilization seemed to be people, and not reports. The research investigators interactive role was highlighted in the following situation: If a potential user had a particular problem, the user could contact the research team, known to be investigating topics related to the problem, to discuss pertinent issues. The investigators, in turn, did not simply report the outcomes of a specific research effort; on the contrary, well-formed investigators will communicate to a user a wide range of information, reflecting both the investigators own work and the relevant research that might have been done by others. The investigator, in short, can respond to the users specific problem, synthesize existing research, and transmit the relevant information. Such a role is similarly filled when investigators are asked to perform as expert witnesses-as in the case where testimony is given before a

legislative committee. In each case study, the development of this type of social network was a result of activities undertaken during the course of the research projects. Thus, the research investigators designed and conducted their research at the same time that numerous communications were being made with potential users. Some users attended workshops and conferences, at which the preliminary research was reported; other users were part of the research, providing test sites and opportunities for developing the final products. These network-building activities occurred throughout the life history of the research projects. This finding

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564

strongly with the dominant, linear view of utilization, in which utilization is assumed to follow and be separate from the process of knowledge production (e.g., see the knowledge-driven and problemsolving models of utilization described by Weiss, 1979). As a second major characteristic, utilization also occurred in these three cases because the research produced &dquo;usable materials&dquo;-i.e., handbooks, manuals, questionnaires, instruments, and other social science tools. In this sense, the three research projects reflect the &dquo;development&dquo; phase of social science research. Although research reports were written and published in academic journals, the main object of utilization was a usable material that could be directly applied to a practice setting. These materials were the research products that were subjected to widespread dissemination; interestingly, in none of the three cases did the formal, &dquo;final report&dquo; fall into this category.8Such reports, used for accountability purposes and for reporting further details about the research, did not purport to be usable products, and their dissemination was mainly limited to the sponsoring agencys files. In summary, the three case studies showed that research results were used by service providers because of the following conditions: ( 1 ) Research investigators performed in an interactive role throughout the conduct of the research, establishing and maintaining contacts with potential users; and (2) the research products included directly usable materials-handbooks, manuals, questionnaires, and other social science tools. The case studies also showed that utilization efforts did not necessarily focus on the final reports from the research projects. In fact, such final reports were not widely disseminated, nor were they intended to be read by service providers.
contrasts

Primary and Secondary Education

of systems for promoting knowledge utilization has in the field of education. These systems include the NIEemerged educational labs and centers, dissemination networks such as supported the National Diffusion Network (NDN), and other local organizational A

variety

arrangements.

especially promising interorganizational arrangement to have developed in the last fifteen years consists of a state department of education (SEA), a regional education agency (REA),9 and local
school districts (LEAs). The REA, a unit of government, 10 is the main organization in this arrangement in terms of providing knowledge

One

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565

utilization services. Although the functions performed by REAs may vary within and across states, the services typically involve:
.

training, during which LEA personnel are brought together for workshops, conferences, and training sessions; Consultant assistance, which involves an individual acting as a linking agent and providing personal assistance relevant to a specific LEA probInservice

lem ; and
.

Information retrieval (IR) services, which make materials available on a wide range of topics, based on requests made either in person or over the telephone.

Individual Cases. Three interorganizational arrangements of this type (SEA-REA-LEA) were the subject of separate case studies. 11Each of the three arrangements was considered successful in facilitating the
use

of

new

information, products, and ideas by teachers and adminissystems. The three interorganizational arrange-

trators in local school

ments were:
.

The Educational Improvement Center-South (EIC-South) in Sewell, New Jersey, linked with the New Jersey Department of Education and the

school districts in the southern

.

portion

of the state;

The Northern Colorado Educational Board of Cooperative Services (BOCS) in Longmont, Colorado, linked with the Colorado Department of Education and the school districts in the suburban area north and west of Denver; and

Wayne County Intermediate School District (ISD) in Wayne, Michigan, linked with the Michigan Department of Education and the school districts in Wayne County.
The

Because state, regional, and local needs differ among these three arrangements, the substantive areas on which the services have focused also vary. The financial support also is different within each arrangement, and this difference not only affects the types of services that each agency can provide, but also affects the demands made on the REA by educational practitioners. The EIC-South, for example, operates in New Jersey under legislation that limits the EICs to providing knowledge utilization services. At the same time, the needs of local schools have been determined in large part by other state-legislated requirements. For example, the Public

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566

School Education Act of 1975 called for a &dquo;thorough and efficient&dquo; (T&E) system of education and required districts to set educational goals and objectives, to conduct a needs assessment, to implement programs to correct weaknesses in the educational program, and to evaluate their progress in attaining their stated goals. The EIC-South provides a variety of services to schools to help them comply with the law. Although the EIC also responds to other needs that originate T&E at the local level, compliance with state mandates has become a primary concern of school districts and therefore is emphasized in many of the services that the EIC-South offers. In contrast, the Northern Colorado BOCS operates within a state where local school district autonomy has been a long-standing tradition. The autonomy of local boards of education is guaranteed by a state constitutional provision that prohibits either the states general assembly or board of education from prescribing curriculum materials. Thus, the services provided by the Northern Colorado BOCS are entirely determined by local priorities. All of the BOCS in Colorado have been established at the discretion of local school boards; the BOCS may develop service programs only after specific needs have been identified and the financial commitment of local school boards has been secured. In short, the Colorado SEA considers the BOCS an arm of local school districts, rather than an arm of the SEA. Although a minimal amount of funding ($10,000 per year) is given to each BOCS by the state department, the majority of funds for the BOCS must come from local school boards and from special state and federal grants. The interorganizational structure for the Wayne County ISD differs in yet another way. The ISDs in Michigan, like the EICs in New Jersey, were established by state law as independent governmental units. However, unlike New Jersey, Michigans ISD activities include classroom services in special education and vocational-technical education, as well as data processing services, in addition to knowledge utilization services. Other than establishing these general service categories and providing state-aid formula funds, the state board of education and the Michigan Department of Education do not set specific educational priorities for the ISDs or local school districts. Thus, the Wayne County ISD generally responds to locally identified needs. Independent sources of funds for the Wayne County ISD-local property tax levies, state aid, and state and federal grant funds-allow the ISD to take greater risks in designing its overall program and, in some ways, to be more innovative in its approach to providing knowledge utilization services than the first
two cases.

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The full case studies describe the knowledge utilization services in each of these three REAs (Yin and Gwaltney, 1981). The cases especially focus on the inservice training, linking agent or consultant assistance, and information retrieval services previously mentioned. Why Utilization Occurs. The success of the three interorganizational arrangements has depended to a large extent on the organizational structure that has been developed for each REA. For example, because the Wayne County ISD receives funds from local property tax levies, it is assured a large and predictable funding base, which therefore ensures some continuity in services. Moreover, the authority given the ISD to offer administrative (e.g., computational) and special education services appears to have created a greater demand for knowledge utilization

services.
These organizational characteristics, however, only set the context for the success of the actual knowledge utilization services. Although utilization depends, in all three cases, on a favorable organizational context, other characteristics of the knowledge utilization services are more directly relevant when looking for explanations of why knowledge utilization occurs. This situation is evident when looking at all three interorganizational arrangements; despite differences in organizational structure, knowledge utilization was found to occur in a similar manner for each of the three arrangements. The most prominent pattern found was the existence of informal, interpersonal networks, where individuals in the REA, together with teachers and administrators in local school districts, have developed and maintained strong ties. Important also has been the emphasis on sustained personal involvement throughout the knowledge utilization process. Interpersonal linkages have been important in building credibilty and awareness among potential clients, and in creating a willingness and readiness on the part of users to request and receive specific

services.
The

interpersonal networking in each of the three interorganizational

arrangements has two components. First, individuals in the REA are in continual communication with educational practitioners, apart from any specific service being offered. In two REAs, for example, most of the
staff had prior experience as administrators or teachers in the local school districts served by the REAs. As a result, the staff understood local needs and had developed prior contacts with their potential clients. Similarly, consultants in an REA may maintain contact with the local professional association for the service provider role that they once held. For example, a staff person in the Wayne County ISD, who had been an

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568

elementary school principal,

serves on

the

advisory

board of the states

association of elementary school principals. Once again, informal activities such as these facilitate personalized contact with the REA and create greater interest in its knowledge utilization services. Second, when a particular service is requested, personal assistance is provided to users until the request has been brought to a satisfactory conclusion. This assistance includes:
.

discussion of the

problem with

the user,

leading

to a

refined problem

definition;
.

assistance in the selection of materials, relevant to the problem;

products,

or

other information

. . .

adapting such materials to suit the particular LEA situation; other implementation assistance; and follow-up calls to determine whether additional assistance is needed.
assistance in

All of these activities rely on an interpersonal network. The network is strong in that those in local school districts know the staff of the REA personally and therefore are not offended by receiving assistance from an outside source. The networking also means that service providers can feel a greater &dquo;ownership&dquo; of the products or ideas that they use. In addition to the networking, an important characteristic is the availability of relevant and high quality materials, curriculum products, and other information for use by service providers. The findings suggest, however, that high quality information alone would not have assured utilization. Rather, the existence of a social network through which the materials and information were disseminated to users permitted extensive knowledge utilization to occur. Moreover, it should be noted that the REA staff often developed new products or adapted existing ones to fit the specific needs of administrators and teachers. Thus, although a high quality product is the focus of utilization, such a product can be the result of intensive personal involvement on the part of the REA staff and service providers. In summary, increasing knowledge utilization as an outcome involved a social network in each of the three cases. Thus, the knowledge utilization process did not depend merely on the dissemination of information to meet individuals needs. Building and maintaining interpersonal communications throughout the knowledge utilization process have been instrumental in assuring the success of that process.

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569

Cross-Service Lessons
Similar lessons may be derived from both sets of case studies. The lessons appear to hold even though the two sets of case studies cover different situations, one dealing with services for the elderly, and the other with primary and secondary education, and even though one deals with the direct results of &dquo;research projects&dquo; and the other with an of service agencies. The most subtle lesson is that utilization of social science results, in these service settings, must be seen as a continuous process. Communication between the producers and users of new ideas does not occur in a truncated fashion-i.e., after a particular research idea has been created. Contacts are maintained throughout the development of new ideas. Furthermore, these contacts are not necessarily limited to the narrow set of ideas being developed, but can include information responsive to a wider range of related situations faced by a user. By implication, R&D management policies must be geared to this continuous process. Thus, policy interventions designed to boost utilization also may have to occur on a continuing basis. If viewed as a continuous process, the findings concerning the social networking and interactions are more readily understandable. Human communication links are needed to accommodate the dynamic transfer of information, in which continued fine-tuning of information supply and demand occur. In other words, the social interactions are the basis for creating a marketplace for ideas, in which both the suppliers (i.e., research producers) and consumers (i.e., users of research products) can participate. This dynamic system cannot be as easily or effectively sustained through the transfer of written documents, which by their very nature do not permit two-way communication. As summarized in one insightful statement about the transfer process (National Academy of

interorganizational arrangement

Sciences, 1967):
The transfer process requires explicit attention very early in the development process as soon as some possibility of technical success becomes apparent. It is well established that the best way to transfer some new types of technology is through the movement of knowledgeable people ... It may be necessary, for example, for the originator of an idea to himself follow his brainchild into development, testing, or final production or utilization. Or, alternatively, operating people may have to be brought into the laboratory temporarily to learn the new technology early and to influence its development from the user standpoint.

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570

Finally, within this marketplace, the actual research products cannot be ignored. The products must still be of sufficient quality and flexibility to be applied to service situations. The case studies suggest, however, that such products do not usually take the form of the traditional research report. Rather, directly usable materials are the more relevant
product. 12 In brief,
has
the cross-service lessons have raised a key distinction that been underemphasized. This is the distinction between persons as opposed to products as the vehicles for utilization. Although this distinction has been given passing mention (e.g., Knott and

previously

Wildavsky, 1980,
in
a

mention &dquo;moving people&dquo; vs. &dquo;moving information&dquo; dissemination activity), the serious implications for future R&D

management policies and for further research have not been These will be described next.

explored.

Looking Afresh

at

Knowledge

Utilization

These findings suggest a different view of the knowledge utilization process. Instead of a strictly linear sequence, in which knowledge is first produced and then utilized, the evidence suggests that knowledge utilization is a continuous process, starting when research starts. Second, as a two-way communications process, the role of human interactions rather than the mere transmission of documents appears to be critical. In all, successful utilization seems to be based on the building and maintenance of social networks, a view that provides the basis for reassessing existing R&D management policies as well as for specifying the needs for further research.

Implications for R&D

The

Management Policies

networking viewpoint may be used first to reexamine the six interventions previously identified in the introductory section of this article. Figure 2 lists these interventions according to the degree that they appear to meet two conditions: the ability to sustain a continuous process, and the focus on human interactions. The figure shows that most of the interventions, as currently used, are weak in that they are limited to the final phase of a research project or are focused on written reports. Of the six interventions, only two-the support of linkers and the imposition of user panels-are promising on both of the policy

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571

Figure 2: R&D

Management Interventions Judged According to Network Criteria

desired criteria. The other four, as currently used, do not readily meet both criteria, although substantial changes in design might make any of the four more promising. At least two additional interventions that have not yet been widely applied also become prominent when these networking criteria are used. The first involves midstream dissemination and utilization activities. The three case studies on services for the elderly, for example, revealed that utilization occurred throughout the duration of the research projects. These activities meant that the research could be redesigned

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and adapted where appropriate to assure greater relevance to user needs. Some of the early utilization activities included incorporating observations from user sites as an integral part of the early research activities; maintaining mailing lists and other communications devices; and presenting work-in-progress information at national conferences and association meetings. The second intervention to be considered by federal R&D funding agencies is to assess, during the proposal review process, the utilization capabilities of those individuals or organizations that are to receive federal support. This intervention has been tried informally by some offices within the Department of Education which have asked individuals who submit research proposals to include references to prior contacts with service providers. Such information may indicate the personal network of which the proposed project staff is a part. In a related manner, the proposed staff for research or demonstration projects might be asked to include, augmenting their traditional resume, information about their prior utilization experiences. All these promising interventions-linkers, user panels, midstream dissemination and utilization activities, and determining the prior utilization history of key personnel-can be used singly or in mixed combinations. However, more information is still needed to determine the most effective operational characteristics. For instance, user panels may be applied on a project-by-project basis. Nevertheless, such panels may prove to be too insular and some broader approach may be needed. Similarly, user panels might not be appropriate for all types of research activities (our suspicion, in fact, is that they are best applied to projects where a usable material, and not just a research report, is to be the end

result). In addition, the linkage context within which the intervention operates is important. Different linkage systems-e.g., interorganizational arrangements-are possible, and any single intervention is likely to operate differently in different systems. Thus, an interventions ability to facilitate knowledge utilization is partially dependent on the specific linkage system of which it is part. Thus, R&D funding agencies cannot assess interventions in isolation, but must also appreciate the particular linkage context that is involved.
Further Research
Further research should be aimed at identifying the critical aspects of the four promising interventions-e. g., linkers, user panels, midstream

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activities, and determination of the prior utilization history of key

personnel-as well as developing other possible alternatives. The most difficult aspect of this research, however, may be to assess each intervention within its broader context, or linkage system. For example, the interorganizational arrangements in education were the linkage systems within which individual linking agents operated. The arrangements, as we have noted, had an important effect on the success of specific knowledge utilization activities. However, the realization that knowledge utilization involves an intervention operating within a linkage context imposes an additional burden on the standard research
approaches.
research fails to account for this context. For studies of the utilization of final reports (e.g., Rothman, example, 1980; and Weiss and Bucuvalas, 1980) implicitly assume the linear progression from research production to research utilization, and intermingle uses by policy makers with uses by service providers. These studies of report utilization cannot be generalized to the full utilization process. Thus, judgments about the desirable features of such reports (Rothman, 1980) or about how decision makers view and interpret such Much of the

existing

recent

reports (Weiss and Bucuvalas, 1980) may provide only abstract guidance about the future production of these types of reports-i.e., guidance not specific to any linkage system. In contrast, new investigations are needed about the patterns of linkage systems that are the context for these interventions. Two dimensions of such systems are important: simple vs. differentiated systems, and interpersonal vs. interorganizational systems. These dimensions begin to capture the diversity of the utilization process; they
also

imply the need for diverse research designs. Simple vs. Differentiated Systems. As a communications

process,

utilization involves the transfer of information between two pointse.g., from one individual to another. In its simplest form, the study of utilization requires the definition of: (1) a transmitter of information, (2) a receiver of information, (3) a channel that links the transmitter and receiver, and (4) a description of the information being transmitted

(Havelock, 1969).

affecting policy or practice, this simple system differentiated (e.g., Lazarsfeld and Reitz, 1975). The transmitter of information may be an expert, or bearer of specialized knowledge, whereas the receiver-of information may be a policy maker or service provider. This distinction between the roles and specialized skills of the receiver and transmitter should not be underestimated.
For the purposes of
must be further

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Whereas the simple communications system involves individuals of similar training and value orientation, this differentiated communications system calls attention to the fact that the transmitting and receiving individuals may belong to different professional communities with different professional norms. Communication between such individuals, even in a straightforward dyadic form, can be made difficult because the individuals use different concepts and terminologies in their professional language, and because the individuals may not necessarily share compatible communications channels.

Interorganizational Systems. Linkage systems complication: The relevant linkages may be interpersonal or interorganizational (or both). The importance of this distinction has generally been overlooked in the existing literature (e.g., Dissemination Analysis Group, 1977). Interpersonal systems involve communications or social systems of solo &dquo;practitioners&dquo; (e.g., doctors, lawyers, professors, and consumers). Interpersonal
a
vs.

involve

further

The systems may be informal (e.g., &dquo;invisible colleges&dquo;-see Crane, 1972), or they may be formal and membership-based (e.g., a professional association). Regardless of these differences, the individual person is the key unit of the system, and the communication processes may be analyzed in terms of the traditional approach to the diffusion of ideas (e.g., Rogers and Shoemaker, 1962; and Rogers, 1962). In contrast, interorganizational systems involve linkages between two or more organizations. Such systems also may involve key interpersonal relationships, but the role behavior of an individual is constrained, sometimes to a great degree, by the norms and regulations of the organization to which the individual belongs. Thus, the United Nations represents a system of participating governments; though the work of the UN is conducted by individual representatives, the major agreements and linkages are formalized in terms of intergovernmental

pacts.
Besides interpersonal and interorganizational systems, there are also mixed types of systems. An information clearinghouse, such as ERIC, has both an organizational and an individually based component. The ERIC service is thus an organizational unit, whereas the ERIC users are usually unaffiliated individuals making independent inquiries of the organizational unit. Similarly, most types of inservice training programs organized by universities or independent labs but attended by individual service providers might be included in the mixed category. Diversity of Linkage Systems. If these two sets of dimensions alonesimple vs. differentiated, and interpersonal vs. interorganizational-are

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Figure 3: Illustrative Variety of Linker Interventions, Depending on Systemic

Context

used to

classify linkage systems, the following five kinds of systems may

exist:

(1) A simple, interpersonal system. Individuals may be linked by formal or

informal associations but are of the same professional status. The literaon the diffusion of innovations (e.g., Rogers and Shoemaker, 1962; and Rogers, 1962) is dominantly about these kinds of systems. (2) A simple, interorganizational system. This system consists of organizations as components. The system is &dquo;simple&dquo; in that the organizationse.g., school districts-are of the same professional status. (3) A differentiated, interpersonal system. This system consists of individuals as components. The main characteristic of the linkages is that personal contacts rather than interorganizational affiliations are the basis for communications, but that the participating individuals have different professional statuses.
ture

(4)

tions of different type of system.

differentiated, interorganizational system. Linkages among organizaprofessional status are the main characteristic of this

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(5)

A mixed system. The system is mixed because unaffiliated individuals are linked together.

organizational units and

These five kinds of systems may overlap. In fact, it is generally the that the interorganizational systems will also have key interpersonal linkages, and that the differentiated networks will also have simple linkages-i.e., linkages among components of similar professional status. Thus, our three case studies of regional education agencies found both interorganizational and interpersonal systems operating. Moreover, these systems, as noted earlier, provide a critically different context for the same intervention. Educational linkers, for example, may be supported under all five systems (see Figure 3). First, in a simple, interpersonal system, linkers might be supported by giving awards directly to teachers so that they can inform other teachers of practice-based information. The teachers, in short, would be encouraged to serve as linkers. In a contrasting second arrangement, awards to LEAs to link with each other, similar to the arrangement in the I / D / E / A network (Goodlad, 1975), would be an example of a linker intervention within a simple, interorganizational system. Third, in a differentiated, interpersonal system, support for linkers might involve providing researchers or university-based consultants with funds to assist individual teachers or administrators-e.g., in a professional
case

workshop setting-on specific problems. Fourth, numerous examples of interventions within differentiated, interorganizational systems exist among federally initiated programs. One example is the National Diffusion Network, where LEAs, SEAs, and free-standing service organizations collaborate. Fifth, an example of a linkage system involving both an individual and an organizational component is the situation where an independent consultant provides assistance to a school district on a specific problem-e.g., school desegregation. This
fifth situation differs from the third in that the assistance and linkage is at the district (or organizational) level rather than at the individual level. Methodological Implications of Linkage Diversity. The distinctions among these five kinds of systems have not been fully appreciated in previous research. For instance, Havelocks (1969) synthesis leaps prematurely from the simple communications paradigm to illustrative examples of complex linkages on the very next page of his own text. Other investigations have fallen into similar traps, with confusion often the result. Yet, a key insight is that each system may require a different approach to research design, data collection, and definition of relevant outcomes. In particular, critical differences arise concerning three facets of research methodology: (1) the appropriate unit of analysis;

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to sampling; and (3) the relevant evidence to be used. To take but one example-the unit of analysis-simple and differentiated systems generally involve different units. Thus, if one is studying simple systems, the appropriate unit of analysis may be the component of the system, whether an individual or an organization. However, if one is studying differentiated systems, the appropriate unit of analysis is more likely to be a full linkage: a transmitter, a receiver, and the connecting communications channel. This difference arises because the components of simple systems are of similar professional status and the nature of the communications link is not likely to involve any problematic communications channel. Although the full linkage may still be the unit of analysis in simple systems, a focus on the components alone is usually sufficient. This is not true of differentiated systems, where an understandng of the system can only occur as a result of an examination of a complete linkage. Similar methodological points can be made in relation to the sampling and data collection issues. The overall implication, however, is that more research is needed on the promising interventions, that investigations on any of them need to be fully appreciative of the linkage system forming the context for the intervention, and that the diversity of linkage systems requires diverse research designs.

(2) the approach

Summary
In summary, we have found that social science knowledge is most utilized in service settings when a human communications network has been built and maintained. The network must include both knowledge producers and knowledge users, and the network must operate continuously, even as knowledge production is occurring. Such an understanding of the knowledge utilization process allows R&D managers, at the federal levels, to reinterpret the role of various policy interventions that have been designed to enhance utilization. The interventions should be assessed according to the degree that networking is facilitated. The two important networking criteria have to do with whether an intervention can accommodate a continuous process, and whether it focuses on human interactions. By these criteria, four interventions appear to be most promising for future consideration: (1) the use of linkers or field agents, (2) the initiation of user panels to work in conjunction with research projects, (3) the encouragement of midstream dissemination and utilization activities, and (4) the determination of the prior utilization experiences of key personnel.

readily

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More information is still needed, however, about the desirable characteristics of these interventions and the situations for which they are most appropriate. Such information will be forthcoming from future research to the extent that the research is designed to cover both the intervention and its context (or linkage system). Moreover, because of the diversity of linkage systems, the research design must be tailored to the type of linkage system being studied. We have offered some preliminary guidance about these types and their research design

implications.

Notes
1. For an inventory and tabulation of such programs, see National Academy of 1979. 2. For a review of R&D agencies current practices in knowledge utilization, see Committee on Science and Technology, 1978. 3. A third, parallel effort is being undertaken in crimmal justice, where our preliminary results indicate that most of the same general lessons as reported here are also relevant. 4. The implicit research design follows what Patton (1980) calls an extreme -case (as opposed to representative case) design. Our design goes one step further by calling for the verification of the results by comparing them to those of nonexemplary cases; such nonexemplary cases can be investigated, however, without attemptmg to produce the standard case study narrative. For more on this design feature, see Yin et al., forthcoming. 5. For more on this approach to case studies, see Yin, 1981. 6. For example, see Yin and Heinsohn, 1980. These case studies were supported under award 90-AR-2173 from the Administration on Agmg, although none of the conclusions should be construed as reflecting the official position of this agency. 7. As an unanticipated consequence, the research project was also useful in providing information to Congress, helping to guide new legislation on transportation and the

Sciences,

elderly.
8. This contrast between the role of other products of a research project and the role of its final report is worth further illustration. In one of the case studies (transportation for the elderly), the project also produced another usable material-a training "kit" to orient service providers about the problems they faced. The kit was intended to complement the use of the handbook, which was disseminated widely, but the kit mainly consisted of a series of carousel slides, together with an appropriate "script" to be followed by a trainer. The kit was attractively produced and has been well received. However, the research team has had great difficulty in further disseminating the kit because: (1) the original research funds had been exhausted after only a few dozen copies of the kit had been made, and (2) no existing clearinghouse—e.g., the National Technical Information Service—has any provision for distributing this kmd of material. The clearinghouses are dominantly oriented toward distributing written reports, and are therefore not necessarily equipped to deal with the full array of "usable materials" that service providers need. 9. The term "regional education agency," like "state" or "local education agency," is a generic one. Specific entities in each state have different formal titles.

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579 10. The REA may be free-standing (i.e., mandated to collect its own revenue) or part of the SEA. 11. These case studies were supported under Contract 400-79-0062 from the National Institute of Education, although none of the conclusions should be construed as reflecting the official position of this agency. 12. Note that the research report may be more important in a situation where the policy maker rather than the service provider is the user. Under either circumstance, however, the report is important as an accountability device, one type of accountability being an administrative one (to the funding agency) and the other being a technical one (to the research peer community). As an accountability device, the research report therefore one. distinguishes the purely commercial venture from an R&D-based

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ROGERS, E.
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ROBERT K. YIN is President of The Case Study Institute. He is also a Visiting Associate Professor, Department of Urban Studies and Planning, MIT. From 1970 to 1978 he was employed by the Rand Corporation. From 1978 to 1981 he was an independent research consultant, working in part on the research projects with Abt Associates and the American Institutes for Research (Washington, D. C)

covered by the present article.

MARGARET K. GWALTNEYis a research associate with Abt Associates, Inc. (Washington, D. C. office). Prior to joining Abt in 1979, she worked with The Rand

Corporation (1975-1979).

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