Karen A. Blase Barbara Sims Michelle A. Duda Dean L. Fixsen Jonathan Green Ron Dughman, RRCP Jeanna Mullins, RRCP Presented by Jeanna Mullins, Mid-South RRC Eugene, Oregon October 31- November 1, 2013 Building Implementation Capacity Western RRC Part B Leadership Forum
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Karen A. Blase Barbara Sims Michelle A. Duda Dean L. Fixsen Jonathan Green Ron Dughman, RRCP Jeanna Mullins, RRCP Presented by Jeanna Mullins, Mid-South.
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Karen A. BlaseBarbara Sims
Michelle A. DudaDean L. Fixsen
Jonathan GreenRon Dughman, RRCP
Jeanna Mullins, RRCP
Presented by Jeanna Mullins, Mid-South RRC
Eugene, Oregon
October 31-November 1,
2013
Building Implementation Capacity
Western RRC Part B Leadership Forum
“A serious deficiency is the lack of expertise to implement best practices and innovations effectively and efficiently to improve student outcomes.”Rhim, Kowal, Hassel, & Hassel (2007)
Developing the Capacity to Implement Effectively
GOALS OF THE SESSION
• Increase knowledge of the ‘active implementation frameworks’
• Increase familiarity with tools and processes for using the frameworks
• Identify connections to the SSIP development and implementation
Complex environments
Unpredictable people
Competing demands
Shifting priorities
Various points of view
The Challenge
5 years of turnaround work
< 10% out of improvement status
> 90% still “in improvement”
—Stuit (2011; Are bad schools immortal?)
The Challenge
Recognizing Gaps
Science to Service Gap What is known to be effective is not what is selected to
help students
Implementation Gap What is selected is not used with fidelity and good
outcomes What is used with fidelity is not sustained for a useful
period of time What is used with fidelity is not used on a scale sufficient
to broadly impact student outcomes
The Challenge
“Implementation science is the systematic study of variables and conditions that lead to full and effective use of evidence-based programs and other effective innovations in typical human service settings.”
—Blase and Fixsen, 2010 National Implementation Research Network
Implementation Science
Business as Usual: Impact
Best data show these methods, when used alone Do not Result in Implementation as Intended Diffusion/ Dissemination of information Training Passing laws/ mandates/ regulations Providing funding/ incentives Organization change/ reorganization
5 to 10% return on investmentNECESSARY BUT NOT SUFFICIENT
Implementation Science
HTTP://NIRN.FPG.UNC.EDU
Fixsen, D. L., Naoom, S. F., Blase, K. A., Friedman, R. M. & Wallace, F. (2005). Implementation Research: A Synthesis of the Literature. Tampa, FL: University of South Florida, Louis de la Parte Florida Mental Health Institute, The National Implementation Research Network (FMHI Publication #231).
Implementation Research: A Synthesis of the Literature
Implementation Science
It is not a “school problem”
District is the point of entry for sustainable school improvement Use short-term infusion of resources Establish long-term, district-based capacity for
quality
Plan for Change
“Making It Happen”
To successfully implement and sustain evidence-based and evidence-informed interventions, we need to know:
WHAT to doWhat is the intervention (e.g. effective instruction, effective assessment)?
HOW to do itActive and effective implementation and sustainability frameworks (e.g. strategies to change and maintain behavior of adults)
WHO will do itOrganized, purposeful, & active implementation support from linked implementation teams
Plan for Change
Q. HOW?
A. Effective Implementation• Changing the behavior of educators and administrators
• Creating the setting conditions to facilitate these changes
• Creating the processes to maintain and improve these changes in both setting conditions and behavior of well-intentioned adults
• So that students benefit
Active Implementation Frameworks
Usable InterventionsImplementation Stages
Implementation DriversImprovement Cycles
Implementation Teams
• An intervention needs to be teachable, learnable, doable, and be readily assessed in practice.
Usable Interventions
UsableInterventions
USABLE INTERVENTIONS
Purposeful matching of critical implementation activities to the stage of the process
UsableInterventions
ClearDescription
Clear Description
• Philosophy, Values and Principles
• Inclusion and Exclusion Criteria
Usable Interventions
Usable Interventions
ClearDescription
Usable Interventions
Operational Definitions
ClearDescription
PerformanceAssessment
EssentialFunctions
Usable Interventions
EssentialFunctions
Essential Functions
• Clear description of the features that must be present to say that a program exists in a given location
• Core components
Usable Interventions
EssentialFunctions
Usable Interventions
Operational Definitions
Operational Definitions
• Describe each core component in terms that can be taught, learned, done in practice, and assessed in practice
• Practice Profiles
Usable Interventions
Operational Definitions
Usable Interventions
PerformanceAssessment
Performance Assessment
• Provides evidence that the program is being used as intended and is resulting in the desired outcomes
• Fidelity
• Practical enough to repeat time and time again
Usable Interventions
PerformanceAssessment
Usable Interventions
Operational Definitions
ClearDescription
PerformanceAssessment
EssentialFunctions
Usable InterventionsTools You Can UseHexagon Tool Practice Profiles
UsableInterventions
IMPLEMENTATION STAGES
Purposeful matching of critical implementation activities to the stage of the process
Stages AND Drivers
Implementation Takes
Time: 2 – 4 Years
EXPLORATIO
N
IN
STALL
ATION
INIT
IAL
IMPLE
MENTA
TION
FULL
IMPLE
MENTA
TIONDrivers
Drivers
Drivers
“DRIVERS”
Stages of Implementation
EXPLORATIONC
ompe
tenc
y D
river
s Organization D
rivers
Leadership Drivers
Integrated & Compensatory
—Fixsen, Naoom, Blase, Friedman, & Wallace, 2005
“Pay now or Pay later”
Exploration
Goals
• Create readiness for change• Changing hearts and minds
• Examine degree to which the proposed strategies and practices meet the needs of our State and our students
• Determine whether the strategies, practices, and implementation are desirable and feasible
Implementation Stages
Exploration Stage
What happens during Exploration Stage?
• Determine Need and Identify Options
• Assess “Fit” and Feasibility
• Structural and functional changes identified
• Promote “Buy in” for the innovation and for implementation supports
• Make recommendations (go/no go)
• Implementation “Team” identified
Implementation Stages
The HexagonAn EBP Exploration Tool
NEED
FIT
RESOURCES
EVIDENCE
CAPACITY
READINESS
Fit with current Initiatives• School, district , state priorities• Organizational structures
Community values
Need in school, district, state• Academic & socially significant Issues• Parent & community perceptions of need• Data indicating need
Resources and supports for:• Curricula & Classroom• Technology supports (IT dept.)• Staffing• Training• Data Systems• Coaching & Supervision• Administration & system
Evidence• Outcomes – Is it worth it?• Fidelity data• Cost – effectiveness data• Number of studies• Population similarities• Diverse cultural groups• Efficacy or Effectiveness
Capacity to Implement• Staff meet minimum qualifications• Able to sustain Imp Drivers
• Financially • Structurally
• Buy-in process operationalized• Practitioners • Families
Readiness for Replication• Qualified purveyor• Expert or TA available• Mature sites to observe• Several replications• How well is it operationalized?• Are Imp Drivers operationalized?
The “Hexagon” can be used as a planning tool to evaluate evidence-based programs and practices during the Exploration Stage of Implementation.
Download available at:www.scalingup.org/tools-and-resources
EBP:
5 Point Rating Scale:High = 5; Medium = 3; Low = 1.Midpoints can be used and scored as a 2 or 4.
• What role can you play in developing readiness for the EBP you have in mind?
• What are 2 things your team could do tomorrow to asses your current infrastructure?
The Hexagon Tool (Analysis of Evidence- based Programs or Practices)
SupportingNew Ways of Work
Stages of Implementation
Com
pete
ncy
Dri
vers
Organization D
rivers
Leadership Drivers
Integrated & Compensatory
INST
ALL
ATIO
N
—Fixsen, Naoom, Blase, Friedman, & Wallace, 2005
“If you build it, they will come”. . .
but you actually have to build it!
Installation
Goals
• Structural and functional changes are made to support implementation
• Staff selection protocols developed
• First ‘practitioners’ selected
• Define and initiate training of first cohort of practitioners
• Develop coaching system and plans
• Evaluate readiness and sustainability of data systems (e.g. fidelity, outcomes)
Implementation Stages
Installation
What’s Needed
• High-level protection, problem solving, and support
• Reduced expectations and higher costs during start up
• Help in evolving organizational supports at every level
• Help in establishing new implementation supports for the EBP
Implementation Stages
Stages of Implementation
Fixsen, Naoom, Blase, Friedman, & Wallace, 2005
EXPLORATION
INSTALLATIO
N
INITIAL
IMPLEMENTATION
“Get Started, then Get Better.”
Com
pete
ncy
Dri
vers
Organization D
riversLeadership Drivers
Integrated & Compensatory
Initial Implementation
• Work through the Awkwardness• New skills are fragile and uncomfortable
• Implementation supports require new thinking/doing
• Organization/system change is scary
• Provide training and coaching on the evidence-based practice, re-organization of school roles, functions and structures
• Make use of improvement cycles to resolve systems issues
Implementation Stages
Initial Implementation
“Get started, then get better!”
• Learn from mistakes (detect and correct)
• Celebrate participation and progress
• Continue “buy-in” efforts
• Make organization and systems changes
• Manage expectations, “buy time in order to get better”
All the components of the program or innovation are at least partially in place and the implementation supports begin to function
Implementation Stages
Stages of Implementation
2 - 4
Years
Fixsen, Naoom, Blase, Friedman, & Wallace, 2005
FULL
IMPLEMENTATION
“The only thing worse than failing and not
knowing why you failed, is succeeding and
not knowing why you succeeded.”
Full Implementation
• Maintaining and improving skills and activities throughout the system
• Components integrated, fully functioning
• Skillful practices by front line staff, supervisors, administrators (50% meet performance criteria)
• Changes in policy are reflected in practice at all levels
• Ready to be evaluated for expected outcomes
Implementation Stages
Full Implementation
“What Change? This is our way of work!”• Skillful Teaching and School Practices
• Skillful Use of the Drivers
• Drivers experience their own Improvement Cycles
• Data systems are in use, reliable and efficient, and are used for decision-making at multiple levels to regenerate and improve
• Practice to Policy Feedback Cycles are working and policies are reviewed regularly and changed to support improved practices and outcomes
Implementation Stages
ReflectionImplementation Stages
• What are you already doing that is “stage-based” relative to SSIP?
• What are the facilitators and barriers to doing stage-based work for the SSIP?
Stages of Implementation Analysis
SupportingNew Ways of Work
Stages of Implementation Analysis
• Purpose Help Team plan for and/or assess the use of stage-based
activities to improve the success of implementation efforts for EBPs or evidence-informed innovations (action planning/anticipatory guidance)
The tool can be used to Self-Assess current stage related activities (e.g. “We are in the midst of Exploration”) or past efforts related to a stage (e.g. “We just completed most of Installation? How did we do? What did we miss?) (manage expectations)
“Are we doing what we said we would do?”Measure fidelityMotivate implementationReinforce staff and build on strengthsInterpretation of Outcome DataFeedback on functioning of
» Recruitment and Selection Practices» Training Programs (pre and in-service)» Supervision and Coaching Systems
Identifying “wicked” problems and applying effective strategies to address those problems
Implementation Drivers
Leadership Drivers
Wicked problems
Each attempted solution permanently alters the nature of the problem.
“The problem” is a moving target Attempted “solutions” often make the problem
worse, not better Legitimate But Competing Alternatives:
“Solutions” as defined by one group are seen as “calamitous failures” by other groups
Leadership Drivers
Different challenges call for different strategies
• Technical Strategies
• Adaptive Strategies According to Ron Heifetz and his colleagues at Harvard’s Kennedy School of Government, one of the biggest mistakes “leaders” make is to incorrectly identify the type of challenge they are facing
Using technical approaches for adaptive issues (and vice versa)
Implementation Drivers
Leadership Drivers
Leadership Drivers
Technical Challenges
• Perspectives are aligned (views, values)
• Definition of the problem is clear
• Solution and implementation of the solution is relatively clear
• There is reasonable confidence that if the solution is implemented there will be resolution
• There can be a “primary” locus of responsibility for organizing the work
Implementation Drivers
Leadership Drivers
Leadership Drivers
Adaptive Challenges
• Legitimate, yet competing, perspectives emerge
• Definition of the problem is unclear
• There are different perspectives on the “issue” at hand
• Solution and implementation are unclear and require learning
• Primary locus of responsibility is not a single entity or person
Implementation Drivers
Leadership Drivers
Leadership Drivers
Strategies for Adaptive Work• Terms of Reference
• Nominal Group Process
• Criteria Referenced Problem-Solving What are the legitimate but competing agendas in
play? How do we define the challenge? What are the criteria for a good solution? Options? How do options address each of the criteria? Agreement to “next right steps” and next assessment
• Next right steps are planned and results measured
• Resources can be aligned and re-purposed to improve implementation
Implementation Drivers Action Plans
DriversTools You Can Use-Drivers Best Practices -Locus of Responsibility for Drivers
Full Suite of Drivers’ Assessments
Drivers’ Best Practices – Overview Assessment
Drivers’ Strategic Analysis – Starter Discussion
Reflection Implementation Drivers
Do the Competency Drivers have applicability to SSIP work?o How?o Why not?o Under what conditions?
Do the Organization Drivers have applicability to SSIP work?o Why?o Why not?o Under what conditions
Does adaptive and technical leadership have application to SSIP work?o Why?o Why not?o Under what conditions?
SupportingNew Ways of Work
Changing on Purpose
• New practices do not fare well in existing organizational structures and systems
• Effective innovations are changed to fit the system, as opposed to existing systems changing to support effective innovations.
• People, organizations, and systems. . .• Cannot change everything at once (too big;
too complex; too many of them and too few of us)
• Cannot stop and re-tool (have to create the new in the midst of the existing)
• Cannot know what to do at every step (we will know it when we get there)
• Many outcomes are not predictable (who knew!?)
Improvement Cycles
Types of Improvement Cycles
Plan-Do-Study-Act Cycles
• Rapid cycle problem solving (Shewhart; Deming)
• Transformation Zone
• Usability testing (Neilson; Rubin)
• Practice-policy communication loops
Improvement Cycles
Rapid Cycle Problem SolvingImprovement Cycles
Plan
DoStudy
Act
Usability TestingImprovement Cycles
Plan
DoStudy
Act Plan
DoStudy
Act Plan
DoStudy
Act
Usability vs. Pilot TestingImprovement Cycles
Usability
• Clear description of the program
• Trial and learning approach
• Small number of participants (N = 3 - 5)
• Multiple iterations to detect and correct problems as they arise
• Learn HOW to do the work effectively
Pilot
• Clear description of the program
• Trial and assessment approach
• Sufficient number of participants for statistical power (N= 20 – 50)
• Sufficient time to realize potential results
Transformation Zone
A “vertical slice” of the service system (from the classroom to the Capitol)
• The “slice” is small enough to be manageable
• The “slice” is large enough to include all aspects of the system
• The “slice” is large enough to “disturb the system” – a “ghost” system won’t work.
Improvement Cycles
Practice-Policy Communication Cycle
Policy
Practice
Po
licy En
ables P
ractices
Plan
DoEx
tern
al I
mp
lem
enta
tio
n S
up
po
rt Policy
Practice
Structure
Procedure
Pra
ctic
e In
form
s P
oli
cy
Fee
db
ack
Stu
dy - A
ct
FORM SUPPORTS FUNCTION
Implementation Team
StateManagement
Team
TeachersInnovations
Students
Sys
tem
C
han
ge
SIS
EP
Sy
ste
m C
han
ge
Su
pp
ort
Pra
ctic
e-
Po
licy
C
om
mu
nic
ati
on
Cy
cle
Po
licy
Su
pp
orts
Effe
ctive
Pra
ctice
System Alignment
Improvement CyclesTools You Can Use
Improvement Cycles – Analysis Worksheet
Transformation Zone Functions and Structure
Reflection Improvement Cycles and Communication Loops
• How can we make use of improvement cycles in developing and implementing our improvement activities?
• Linking Communication Protocols
SupportingNew Ways of Work
IMPLEMENTATION TEAMS
Organized, expert assistance to develop and sustain an accountable and effective structure
Implementation Teams
• Provide accountable and effective structure to move intervention through stages of implementation
• Scope of the initiative determines the number of teams and the linked communication protocols needed
• Focus is on Ongoing “buy-in” and readiness Installing and sustaining the Implementation Drivers Fidelity & Outcomes Systems Alignment and Stage-based work Problem-solving and sustainability
“We tend to focus on snapshots of isolated parts of the system and wonder why our deepest problems never seem to get solved.”
—Senge, 1990
Linked Team StructuresImplementation Teams
School-basedImplementation Team
School-basedImplementation Team
District-basedImplementation Team
District-basedImplementation Team
Regionally-basedImplementation Team
State-basedImplementation Team
State-basedImplementation Team
Reflection Implementation Teams
• In your experience, who supports the change process?
• How is the transition made from external expertise to building internal capacity?
SupportingNew Ways of Work
Implementation Teams Tools You Can Use & Learn More
Terms of Reference and Linking Communication Protocols
SISEP Teams, Roles, Functions
Your Implementation Resource
Active Implementation Hub http://implementation.fpg.unc.edu/
“Making it Happen” for students and families: Purposeful selection of an effective and feasible “What”
Conceptualize a change process so that effective interventions for children and families can become embedded and sustained in socially complex settings “stage-matched activities” to guide the process “implementation drivers” to build the infrastructure
Improvement processes are critical the work is never done because the environment is in motion
Invest in the development of organized, “expert” implementation support
Reflection Implementation Action Planning
• What are the best next steps for your team relative to applying implementation frameworks to the work around SSIP?