Every day, teams within the NHS strive to make things better, but individual, organisational and system-wide barriers get in the way. This evidence scan compiles published research about the key barriers to improvement in the NHS.

For this scan, 12 bibliographic databases were searched for published research available as of October 2014. Seventy-three studies about the NHS were analysed, as well as more than 100 studies from other countries as a comparison. Most studies in the NHS were small scale, based in a hospital context and published within the past five years. As such, further, larger-scale research would be useful.

The scan found that the top barriers to improvement in the NHS can be divided into those relating to the initiative itself, those relating to the skills and attitudes of individuals, those relating to organisational context and those relating to a broader system level. These barriers are spread across the development, delivery and dissemination phases, as summarised in the table below.

There were many similarities with international research but key areas where the NHS may differ include greater instability of organisational structures, less improvement experience among staff and fewer incentives to improve.

NHS practitioners and managers are striving to provide high quality services. Thousands of improvement projects are run every year, but not all succeed. This scan examines research into what gets in the way of improvement in the NHS – because if we have a clear idea of what the barriers are, we are in a better position to consider solutions.

Purpose

The Health Foundation is interested in drawing together experience and evidence about the barriers and facilitators to improvement in the NHS so that future projects and policy making can reflect the best available knowledge. This evidence scan draws together published research about barriers to change to support this.

The key question that the scan seeks to address is:

• What are the main barriers to implementing improvement projects in the NHS?

The focus is on barriers because this is a gap in knowledge. More work has focused on facilitators.

Barriers are defined as things that get in the way, slowing progress or stopping improvement programmes from succeeding. Examples may include lack of staffing, difficulties sharing information between IT systems and so on. It cannot be assumed that the opposite of a barrier will always be a facilitator.

For the purposes of the scan, improvement projects are defined as interventions that seek to improve NHS service delivery, organisation or ways of working. This is broader than interventions termed ‘quality improvement’ and incorporates wider change initiatives. However, it does not include service reconfiguration or structural or system-level interventions without a key focus on improving delivery or outcomes for service users.

Approach

The scan focused on readily available research published about the UK NHS. It was completed in November 2014.

To be eligible for inclusion in the scan, material had to:

• include empirical data
• be readily accessible in print or online
• be about improvement in the NHS
• include information about barriers to improvement
• be published in the English language.

To identify relevant research, two reviewers independently searched 12 bibliographic databases for studies of any design. The databases comprised: Pubmed/Medline; Embase; Cinahl; PsychLit; the Cochrane Library and Controlled Trials Register; National Library for Health; Social Services Abstracts; TRIP; ASSIA; Health Business Elite; Google Scholar; and the Health Management Information Consortium. All databases were searched from their inception to the end of October 2014.

Combinations of search terms such as the following were used: NHS; improvement; change; innovation; adoption; barrier; constraint; challenge, feasibility, sustainability, embed; variability; implementation; diffusion; evaluation; health care; UK.

Abstract and title searches identified more than 4,000 articles about improvement in the NHS, though many were descriptive and did not contain empirical data. These articles were scanned and the full text of promising material was read. Only studies that explicitly included empirical material about barriers were eligible, so this excluded a number of broad studies about NHS projects.

In total, 73 empirical articles met the inclusion criteria.

In addition, more than 100 studies from other parts of the world were used to provide contextual information. Although the scan focused on the NHS, we wanted to understand whether barriers in the NHS were unique in any way so made comparisons with reviews and studies undertaken in other countries.

Findings were extracted from all publications using a template and themes were grouped according to the type of barriers identified.

The scan reports some brief examples of NHS improvement projects, but the focus is on drawing out trends and learning points, rather than the findings of individual studies.

All of the evidence was sourced and compiled systematically, but the scan is not a systematic review and does not seek to summarise every study about barriers to improvement in the NHS.

Studies included

Of the 73 studies, 53% focused on the hospital context, 16% focused on primary care and 30% looked at combined primary and secondary services or allied professions such as dentistry (see table 1).

Almost a third of the studies spanned multiple regions in England or were national (32%). The midlands and northern regions were slightly better represented than southern England. Studies were also available from Scotland, but there was little material from Wales or Northern Ireland.

Seven out of 10 studies had been published since 2010 (69%), perhaps suggesting more of a focus on identifying barriers in recent years.

Half of the studies were small cross-sectional designs (49%), meaning that they may not provide the most robust evidence (see table 2).

A great deal of research has explored barriers to innovation and improvement. This section summarises key messages from international research and Health Foundation programmes to provide a basis for comparing what is happening in the NHS.

Learning from international research

International research suggests that barriers to healthcare improvement relate to:

• the initiative itself and how it is implemented
• characteristics of the individuals involved
• organisational factors
• features of the wider environment.,,

Table 3 summarises the main potential barriers under each of these headings.

Barriers relating to the improvement project itself include being difficult to use, not being compatible with existing services or systems, not having a strong evidence base and not being perceived to be better than alternatives. There are also practical implementation barriers, including not allocating enough time or financial resource and not having appropriate IT systems.

Barriers related to the characteristics of health professionals and managers include people’s attitudes, perceptions, patterns of behaviours, skills and confidence.

Barriers related to organisations or teams include having a hierarchical structure, poor organisational culture, lack of teamwork or collaboration and insufficient infrastructure.

The wider environment may also raise challenges, including the regulatory context, national targets and feedback from patient groups.

Learning from Health Foundation projects

The Health Foundation funds a wide variety of improvement programmes in the NHS. In 2012 the Health Foundation commissioned a team to draw together lessons from 14 evaluations of Health Foundation-funded initiatives. The researchers concluded that there are 10 key challenges to improvement in the NHS. These challenges can be divided according to whether they occur during the design, delivery or dissemination stages (see box 1).

There are some similarities and differences between these evaluation findings and the international literature. The Health Foundation work focused less on organisational, team and individual capabilities and more on dissemination and sustainability issues than published international research.

The report emphasises that insufficient planning can get in the way of improvement in the NHS and it encourages teams to spend time reflecting, developing monitoring tools and networking before starting an improvement programme. Similar to the international literature, it is acknowledged that not having an evidence base for change or buy-in can act as barriers.

‘The report concludes that structured improvement is complex and takes time and, unless the conditions for success are in place, is unlikely to fully achieve set objectives. This reinforces the importance of the role that organisation and system leaders play in supporting successful improvement efforts.’

This section summarises the main learning points and compares findings from research about the NHS to other countries.

Key barriers

Many policymakers and NHS managers and practitioners are passionate about improving health services – and a wide variety of initiatives have been tested. There are some examples of tangible change in the way that care is delivered and the outcomes for service users and staff. However, there may be just as many examples of improvement initiatives that fail to get off the ground. Once initiatives are established, their effectiveness may be inconsistent. Improvement is essential for the NHS – but it is not easy.

The published research suggests that the key barriers hindering improvement initiatives from developing, flourishing and embedding in the NHS include, in order of frequency researched:

1. organisational issues such as culture, leadership, teamwork, collaboration and IT infrastructure
2. system-wide issues such as perverse incentives, lack of coherent policy and infrastructure and lack of systems to support information sharing
3. individual-level barriers such as resistance among professionals and lack of time and capacity
4. initiative-related barriers, such as the design and usability of specific improvements.

Research about barriers to improvement in the NHS has particularly emphasised the importance of system-wide issues.

‘Individual activities, roles and specific service configurations seemed far less significant than the overall culture, stability and long-term commitment to a service in a given area. Time is required for new service configurations to stabilise so that staff are able to overcome barriers and develop the necessary facilitators for quality care provision.’

However, just because more research has focused on this does not mean that it is the most important barrier. This scan has provided lists of various types of barriers, but there is little empirical evidence to say whether one barrier is more prevalent or important than another. It is also true that the prevalence and priority of barriers is likely to depend on the context and the type of improvement occurring. Thus it is potentially unhelpful to try to distinguish the ‘most important’ barriers as these will differ according to context.

It is also important to note that although this scan has divided barriers into those focused on the initiative, individual barriers, organisational issues and system-wide factors, barriers may not fit easily into just one of these categories. There is much overlap and the barriers may interlink and feed off one another. Furthermore, barriers may occur at all four of the different levels simultaneously.

As well as thinking about barriers in terms of their substantive content, barriers can also be categorised according to where they occur along the improvement journey. In other words, barriers are evident at the design, delivery and dissemination stages.

The most commonly researched barriers are spread across varying stages of the improvement process (see table 4).

This scan adds value because this categorisation of barriers, according to both content and implementation stage is new.

Is the NHS different?

The list of key barriers in the NHS largely conforms to what has been found in the international literature and in evaluations of Health Foundation-funded NHS initiatives. However, there are differences in emphasis.

When considering important facilitators to improvement, there is often a focus on training in specific improvement approaches and in change management, but this emerged less frequently in NHS literature about barriers. Individual-related factors focused more on potential resistance to change, lack of time and lack of capacity generally, rather than highlighting a need for specific training.

In the published international literature, the role of patient voices and advocacy groups has been explored as both a facilitator and barrier to change. In NHS research, there is little mention of the potential for patient knowledge or attitudes to act as a barrier to improvement. It is uncertain whether this is because this is not an issue in the NHS or because it has been overlooked by research.

The barriers identified in the NHS relate less to individual attributes or characteristics of the changes themselves, and more to organisational and system-wide issues. These are areas where policy intervention can have a major impact.

It is important to note that just because barriers are not well covered in the empirical literature does not mean that they do not exist in practice. The published empirical evidence is unlikely to capture all the subtleties and details about barriers to improvement, but it does highlight that organisational, team and environmental barriers are a core issue in the NHS. International literature is beginning to focus on these issues too, but perhaps to a lesser extent.

When looking at the differences and similarities between NHS research and international findings, it is important to consider whether aspects of the NHS are unique. Some argue that improvement may occur more slowly in the NHS compared to other health systems or sectors.,, There are a number of potential reasons. The top three issues outlined in the empirical research, were:

1. NHS structure and culture,
2. expertise and experience
3. gaps between evidence and practice.

We briefly outline these issues, drawing together findings from the discussion sections of all 73 empirical studies included in the scan. To avoid repetition, all 73 citations are not provided again.

1. NHS structure and culture

Empirical research notes that the NHS is a large and complex system, with components that change frequently due to ongoing reforms. The lack of stability may lead to fragmentation, duplication and frustration and this may act as a barrier to improvement., So too may the hierarchical structure and the constantly changing landscape of organisations and stakeholders with whom to interact.,,

The issue of stability is important because organisations and teams may not have a strong sense of themselves as improvement agents and may be loath to begin large-scale improvement that spans different financial years. Organisational restructuring means that effort is expended setting up systems and structures, leaving less time to focus on improvement in service delivery.

With widely varying priorities, improvement may not be valued within the NHS as a core task of organisations and individuals. Research suggests that there is little socialisation or sense of urgency to improve., Commissioners and provider organisations may not have a shared vision of improvement and there may be few incentives for improvement built into the system on a local, regional or national basis. Furthermore, collaboration with social care and the third sector may be limited.

The NHS also contains many specialised and powerful professional groups who may not wish to change or who support particular ways of working. This can act as a barrier to improvement because it can be difficult to integrate new ideas with existing practices.

The focus also tends to remain on individual ‘projects’ rather than embedding a culture of improvement or wider-level systems thinking, focused around the needs of patients and pathways.

Regulation and performance management may mean that professionals are averse to taking risks or trying something new. Furthermore, regulatory and inspection priorities may not be aligned with improvement. There may be a focus on poor performing organisations and regulatory bodies may not provide tools and incentives that encourage professionals to take part in improvement.

2. Limited expertise and experience

Research suggests that generating ideas for improvement, putting them into practice and sustaining and sharing them, may require skills that are not traditionally within the scope of NHS health professionals and managers.

A lack of experience and expertise in improvement methods and in dissemination approaches may be a major barrier in the NHS which is perhaps less evident in the international evidence. This is not to say that the NHS has less skilled or experienced personnel overall, but perhaps in the past, less emphasis has been placed on upskilling and supporting staff to engage in improvement.

There may also be unrealistic expectations about how quickly improvements can be achieved, or a lack of staff time devoted to improvement programmes. While some professionals and managers may have time allocated to improvement work, this is not consistent across the sector. For instance, doctors may be more likely to be able to negotiate time to undertake improvement than health care assistants. Even the notion of ‘undertaking improvement’ points to a specific mindset, whereby improvement is seen as a distinct entity or a project, rather than an entire culture or way of doing things.

3. Evidence versus practice gap

Although there are pockets of good practice, research suggests that the NHS can be slow to adopt evidence for improvement. This may be more pronounced than in other industries or in some other health systems due to fragmented commissioning and procurement practices in the NHS; a lack of frequent and productive interactions between industry and the public sector; and sub-optimal use of the many repositories of evidence-based reviews and guidance.,, Use of evidence to guide decisions may be increasing, but the pace of change may be slower than in the private sector, where there is a need to innovate to survive.

Information is essential to improvement but information technology and data collection may not be well developed in the NHS. There are difficulties sharing information across services and sectors due to technological issues and because of legal and ethical issues. Analytical capability has not historically been a strength of the NHS.,

The way information is communicated to individual professionals and teams may also act as a barrier, with people not knowing the gap between their practice and good practice, or what to do about it. This gap in accessible information is one where policy makers and supporting organisations could make a substantial contribution.

This scan has identified what is getting in the way of improvement in the NHS according to published research. Table 5 summarises the key findings. While some research suggests that reported barriers to improvement may be used as an ‘excuse’ or a way of avoiding change, other research suggests that there are very real organisational and structural issues that hinder progress.,,

The scan has not sought to identify solutions, but it is clear that tackling these sorts of barriers may require a complex set of educational and regulatory interventions and may take some time to achieve. No matter how dedicated, informed and experienced an NHS manager, professional or team is, some of these barriers cannot be tackled alone. There is much that individual professionals and teams can do to keep making NHS services even better, but policy makers also have a key role to play in facilitating those improvement efforts and addressing some of the hurdles that teams face.

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