Complicated systems lend themselves to rules. Rules describe actions that must be aligned in a single direction, and they assume a synchronization of time, effort, and/or purpose. Rules are prescribed. They tend to be rigid with a particular outcome in mind. In a rules-based approach, actions and decisions are tightly controlled with little room for individual autonomy.
Complex systems are better served by guiding principles. Good guiding principles are more process focused and allow for multiple adaptations at the same time—they tend to be coherent, adaptive, and flexible.
Principles are helpful in environments where flexibility and adaptiveness are important. They allow for individualized applications that remains harmonious with others. This not only contrasts with the lack of autonomy in a rules-based approach but also emphasizes the importance of empowering individuals to navigate complex systems using guided discretion.
Michael Quinn Patton (2017) introduced a GUIDEing framework for developmental evaluation, where principles should be Guiding, Useful, Inspiring, Developmental and Evaluable. These criteria help to ensure that principles are clear, motivating, and adaptable, allowing organizations to navigate turbulence, encourage learning, and respond creatively to evolving challenges
Consider the complex challenge of supporting youth experiencing homelessness. A rules-based approach would attempt to prescribe rigid actions, expecting all youth to follow a single, synchronized path to a specific, predefined outcome. But every young person experiencing homelessness is unique, with distinct needs, experiences, and possible histories of trauma. Applying rigid rules or standardized procedures in this context often fails (Homeless Youth Collaborative).
A principles-based approach allows for diverse paths to success. It focuses on the process as well as the desired outcomes, creating a framework for service providers to meet each young person where they are, build trusting relationships (Transactional to Relational), and provide individualized support. A principles-based approach could empower youth to inform the development of their own service instead of having to strictly adhere to a predefined set of rules in order to get any support at all.
Deeper Dive
- Michael Quinn Patton. Principles-focused Evaluation: The GUIDE, Guilford Press, 2017.
- Tamarack Institute. Evaluating Impact, Principles-Focused Evaluation Resources.
- The Homeless Youth Collaborative on Developmental Evaluation with technical assistance by M Quinn Patton and NF Murphy. 9 Evidence-based guiding principles to help youth overcome homelessness, February 2014
Related Frameworks
- Accountability to Learning: rules enable accountability while principles enable learning
- Alignment to Coherence: rules-based approaches create alignment while principles support coherence
- Help it Happen: well-formed principles are a help-it-happen approach
- Motivational Engagement: illustrates ways in which rules are demotivating and principles support engagement
- Transactional to Relational: principles-based approaches are better informed by the rich data that comes from developing relationships.