Steering Integrated Care in England and the Netherlands: the Case of Dementia Care
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Steering integrated care in England and The Netherlands: The case of dementia care A neo-institutionalist comparative study Susanne Nicola Sophie Kümpers The study described in this thesis was performed at the Department of Health Organi- sation, Policy and Economics of the Maastricht University in cooperation with the University of Leeds, Institute for Health Sciences and Public Health Research, Health and Social Care Policy Group (former Nuffield Institute for Health). The latter pro- vided extensive scientific, administrative and personal support in all stages of the research, especially by Dr. Brian Hardy. Without his contribution the study would not have been possible. For the fieldwork in England a travel grant was received from the Netherlands Organization for Scientific Research (NWO). The Care and Public Health Research Institute (caphri) at the Maastricht University also financially sup- ported this research. Printing: PrintPartners Ipskamp, Enschede, The Netherlands Cover design: BiFab, Bianca Fraats Lay-out: BiFab, Bianca Fraats Copyright © 2005, Susanne Kümpers ISBN 90-9019417-7 Steering integrated care in England and The Netherlands: The case of dementia care A neo-institutionalist comparative study PROEFSCHRIFT ter verkrijging van de graad van doctor aan de Universiteit Maastricht op gezag van de Rector Magnificus, Prof. mr. G.P.M.F. Mols volgens het besluit van het College van Decanen in het openbaar te verdedigen op donderdag 19 mei 2005 om 16.00 uur door Susanne Nicola Sophie Kümpers geboren te Rheine, Duitsland, op 15 mei 1956 Promotor: Prof. dr. Hans Maarse Co-promotoren: Dr. Ingrid Mur Dr. Arno van Raak Beoordelingscommissie: Prof. dr. Cor Spreeuwenberg (Voorzitter) Prof. dr. Murna Downs, University of Bradford, UK Dr. Henk Nies, Nederlands Instituut voor Zorg en Welzijn, Utrecht Prof. dr. Ruud ter Meulen Prof. dr. Jouke van der Zee Erklären bedeutet, das, was rätselhaft erscheint, mit dem, was wir bereits über die Welt wissen, in Verbindung zu bringen. To explain means to relate what appears puzzling to what is already known about the world. Fritz W. Scharpf OVERVIEW 1 GENERAL INTRODUCTION 15 2 CONCEPTUAL FRAMEWORK AND RESEARCH METHODOLOGY 27 3 THE INFLUENCE OF INSTITUTIONS AND CULTURE ON HEALTH POLICIES: DIFFERENT APPROACHES TO INTEGRATED CARE IN ENGLAND AND THE NETHERLANDS 59 4 STANDARDS AND PRACTICE OF DEMENTIA CARE IN ENGLAND AND THE NETHERLANDS 85 5 INTEGRATING DEMENTIA CARE IN ENGLAND AND THE NETHERLANDS. FOUR COMPARATIVE LOCAL CASE STUDIES 115 6 THE IMPORTANCE OF KNOWLEDGE TRANSFER BETWEEN SPECIALIST AND GENERIC SERVICES IN IMPROVING DEMENTIA CARE 147 7 GENERAL DISCUSSION AND CONCLUSIONS 179 APPENDICES 207 SUMMARY 241 SAMENVATTING (SUMMARY IN DUTCH) 247 ZUSAMMENFASSUNG (SUMMARY IN GERMAN) 253 ACKNOWLEDGEMENTS - DANKWOORD — DANKWORT 259 CURRICULUM VITAE 263 CONTENT TABLE 1 GENERAL INTRODUCTION 15 1.1 Opening 17 1.1.1 Towards a definition of integrated care 17 1.1.2 The background of integrated care 18 1.1.3 Why a focus on ‘steering’? 19 1.2 Developing aims and scope of the research 20 1.2.1 How to steer integrated care — towards a first problem definition 20 1.2.2 The selection of dementia care as the target area 21 1.2.3 A cross-national and comparative perspective: England and The Netherlands as the countries for study 21 1.2.4 Research goals 22 1.3 An outline of the study 23 1.3.1 Stage one: Analysis and comparison of the national health care systems and steering processes regarding integrated care in England and The Netherlands 23 1.3.2 Stage two: Analysis and comparison of integrated dementia care in England and The Netherlands. Recommended standards, achievements and shortcomings 24 1.3.3 Stage three: Analysis and comparison of local processes of integrated dementia care. Four local case studies 24 1.4 An outline of the thesis 24 References 25 2 CONCEPTUAL FRAMEWORK AND RESEARCH METHODOLOGY 27 2.1 Introduction 29 2.2 Developing the conceptual framework 30 2.2.1 Neo-institutionalism 30 2.2.2 Defining institutions 31 2.2.3 Unravelling the context: The concept of configuration 31 2.2.4 A view on the role of actors 33 2.2.5 Institutional endurance and change 34 2.2.6 Configurations in process: Steering 35 2.2.7 Hierarchy, market and network 37 2.3 General research questions 38 2.4 The study methodology 39 2.4.1 Developing the research design 39 2.4.1.1 A cross-national comparative approach 39 2.4.1.2 The case study design 40 2.4.1.3 Steps in generating knowledge: The design in process 40 2.4.1.4 The research process: Allowing for extensions and complementations 43 2.4.2 Qualitative approaches to data collection, processing and analysis 44 2.4.2.1 The two-fold function of triangulation 46 2.4.2.2 Analysis and writing 46 2.4.2.3 Ensuring rigour — issues of verification in cross-national research 48 2.4.2.4 Verbal bias? 49 2.4.2.5 Classical criteria redefined? Discussing reliability and validity 50 2.4.2.6 Generalisation 52 2.4.3 Ethical considerations and procedures 54 References 54 3 THE INFLUENCE OF INSTITUTIONS AND CULTURE ON HEALTH POLICIES: DIFFERENT APPROACHES TO INTEGRATED CARE IN ENGLAND AND THE NETHERLANDS 59 3.1 Abstract 61 3.2 Introduction 61 3.3 Theory 63 3.4 Methodology 64 3.5 England 65 3.5.1 1990 — 1997: NHS and community care reform 67 3.5.2 1997 — The modernisation agenda: The ‘New NHS’ and Modernising Social Services 69 3.6 The Netherlands 71 3.6.1 Change processes in the 1990s 72 3.6.2 Approaches to integrated care 74 3.7 Comparison 76 3.8 Discussion and recommendations 77 Acknowledgements 79 References 80 4 STANDARDS AND PRACTICE OF DEMENTIA CARE IN ENGLAND AND THE NETHERLANDS 85 4.1 Abstract 87 4.2 Introduction 87 4.3 Context and background 88 4.4 Theoretical framework: Neo-institutionalism 90 4.5 Methodology 90 4.5.1 Data collection 91 4.5.2 Data analysis 92 4.5.3 Ethical considerations 93 4.6 Results 93 4.6.1 Similarities in patients' pathways in England and The Netherlands 93 4.6.2 Similarities among recommended standards 94 4.6.3 Similar main divergences between standards and practice — descriptions and explanations 95 4.6.3.1 Primary care 95 4.6.3.2 Acute care 96 4.6.3.3 Social care 97 4.6.3.4 Specialist mental health services 99 4.6.3.5 Pathway coordination 99 4.6.3.6 Dementia competence 100 4.6.4 Differences in patients' pathways in England and The Netherlands 100 4.6.4.1 Community care 102 4.6.4.2 Long-term (institutional) care 104 4.7 Conclusions and recommendations 105 References 108 5 INTEGRATING DEMENTIA CARE IN ENGLAND AND THE NETHERLANDS. FOUR COMPARATIVE LOCAL CASE STUDIES 115 5.1 Abstract 117 5.2 Introduction 117 5.3 Theory 118 5.4 Research methods 119 5.4.1 Local case studies: Number, selection and fieldwork design 119 5.4.2 Analysis and case descriptions 120 5.5 Central-local interactions and local cooperation in dementia care: England 121 5.5.1 Health and social care system and national steering context 121 5.5.1.1 Structure and financing 121 5.5.1.2 Governance patterns and processes 121 5.5.2 First subcase: York 123 5.5.2.1 Cooperation between health and social services: organisational discontinuities 123 5.5.2.2 Cooperation between generic and mental health services: imbalances 124 5.5.2.3 A window of opportunity? 125 5.5.3 Second subcase: Leeds West 125 5.5.3.1 Cooperation between health and social services: Incremental proceedings 126 5.5.3.2 Cooperation between generic and mental health services: Disagreements 127 5.5.4 The English cases: Comparative analysis 128 5.6 Central-local interactions and local cooperation in dementia care: The Netherlands 129 5.6.1 Health and social care system and national steering context 129 5.6.1.1 Structure and financing 129 5.6.1.2 Governance: Patterns and processes 130 5.6.2 First subcase: Maastricht 131 5.6.2.1 Operational cooperation: An expert network needing extension 132 5.6.2.2 Strategic cooperation: Contested governance — market and network incentives 133 5.6.3 Second subcase: Amsterdam Nieuw West 134 5.6.3.1 Operational cooperation: Various and overlapping links 134 5.6.3.2 Strategic cooperation: Concerted solutions 135 5.6.4 The Dutch cases: Comparative analysis 136 5.7 Cross-national analysis and discussion 138 5.7.1 Central-local governance processes 138 5.7.1.1 The impact of imposed organisational changes on local cooperation 138 5.7.1.2 Changing power balances 139 5.7.2 Local service development and delivery 139 5.7.2.1 The case of early support for dementia 139 5.7.2.2 At the heart of integrated dementia care: The cooperation of generalists and specialists 140 5.8 Lessons to be learnt: Conclusions and recommendations 140 Acknowledgements 141 References 142 6 THE IMPORTANCE OF KNOWLEDGE TRANSFER BETWEEN SPECIALIST AND GENERIC SERVICES IN IMPROVING DEMENTIA CARE 147 6.1 Abstract 149 6.2 Introduction 149 6.3 Context and background 151 6.4 A provisional conceptual framework 153 6.5 Methods 155 6.6 Findings 157 6.6.1 Service models 157 6.6.2 Knowledge transfer: Features of success and failure 158 6.6.2.1 Organisational and professional culture 158 6.6.2.2 Domain consensus 160 6.6.2.3 Perceived dependency 164 6.6.2.4 Resources 165 6.6.2.5 Continuity 166 6.7 Discussion and conclusions 167 6.7.1 Building a conceptual model: Knowledge transfer performance in dementia care 168 6.7.2 Generalisation 170 6.7.3 A useful model? 171 Acknowledgements 171 References 171 7 GENERAL DISCUSSION AND CONCLUSIONS 179 7.1 Introduction 181 7.2 An overview of the research results 183 7.2.1 National steering processes regarding integrated care 183 7.2.2 Integrated dementia care standards and mainstream care 186 7.2.3 Steering