Systems Change Key Components1
Systems Change Key Components1
Prepared by:
January 2006
ILRU Community Living Partnership
National State-to-State Technical Assistance Center
A National Technical Assistance Program at
Independent Living Research Utilization
© January 2006
ILRU Program
2323 S. Shepherd, Suite 1000
Houston, TX 77019
713.520.0232 (Voice and TTY)
713.520.5785 (Fax)
http://www.ilru.org
Lex Frieden
ILRU Director
Richard Petty
Director
ILRU Community Living Partnership
Darrell Jones
Program Coordinator
ILRU Community Living Partnership
This paper was developed under Grant No. 18-P-91554/6-01 from the U.S.
Department of Health and Human Services, Centers for Medicare & Medicaid
Services (CMS). The contents do not necessarily represent the official position of
CMS and no endorsement should be inferred.
Table of Contents
I. INTRODUCTION................................................................................................................. 1
II. CHALLENGES IN DESCRIBING AND CREATING SYSTEMS CHANGE .............. 2
A. CONTEXT FOR CHANGE ........................................................................................................ 2
B. WHAT DO WE MEAN BY “
SYSTEMS CHANGE?
”.................................................................. 3
C. CONSIDERING THE SCOPE OF SYSTEMS CHANGES ................................................................ 4
D. SYSTEMS CHANGE CANNOT BE COMPLETELY PREDICTED OR CONTROLLED ....................... 5
E. THE PROSPECT OF PEOPLE-CENTERED SYSTEM CHANGES ................................................... 5
III. KEY INGREDIENTS OF SYSTEMS CHANGE .............................................................. 6
A. THE RIGHT LEADERSHIP AT ALL LEVELS............................................................................. 6
1. Essential Qualities for Systems Change Leaders............................................................ 6
2. Strategies for Recruiting and Developing Leaders......................................................... 7
B. STAKEHOLDER INVOLVEMENT ........................................................................................... 11
1. Diversity of Stakeholder Involvement ........................................................................... 11
2. Full Inclusion in the Change Process........................................................................... 11
3. Strategies for Creating Meaningful Stakeholder Roles ................................................ 12
4. Individual Roles and Group Dynamics......................................................................... 14
C. EQUALIZATION OF KNOWLEDGE ........................................................................................ 15
1. Value of Equalizing Knowledge.................................................................................... 15
2. Strategies for Equalizing Knowledge............................................................................ 16
D. SYSTEMS CHANGES MUST BE SUSTAINABLE ..................................................................... 18
1. Barriers to Sustainability.............................................................................................. 19
2. Strategies for Sustaining Systems Change.................................................................... 19
IV. CONCLUSION ................................................................................................................... 21
V. READING LIST.................................................................................................................. 22
Acknowledgements
We gratefully acknowledge the gift of time and insights shared by Real Choice
Systems Change grantees during our onsite visits: New Hampshire Department
of Health and Human Services, Arkansas Division of Aging and Adult Services,
Connecticut Association of Centers for Independent Living, Connecticut
Department of Social Services, Long Term Care Authority of Tulsa, New York
State Department of Health and Broome County New York CASA, and Center for
Excellence in Disabilities at West Virginia University; and their numerous
associates. We also acknowledge the additional people beyond these who
attendedt he“ Unlockingt heCodeofEf f
ectiveSy st emsChange”col l
oquium in
Houston, January 2005.1 We thank those who assisted the authors by leading
colloquium discussion groups, including Melissa Wittman, Ernest McKenney, Jay
Klein, Dave Hasbury, and Lex Frieden. We also wish to thank Karen Kuralt and
Kaye Beneke for their expert editorial assistance. And finally, we are deeply
grateful to Melissa Hulbert and Cathy Cope of CMS; Jay Klein of CHANCE,
University of New Hampshire; and Leandre Waldo-Johnson of Boston College
Graduate School of Social Work, without whose support and guidance this work
would not have been possible.
1
A list of participants can be found at http://www.ilru.org/html/projects/CMS/colloquiumindex.htm
2
Readers interested in the original three papers used as catalysts to stimulate dialogue at the colloquium
may access them at http://www.ilru.org/html/projects/CMS/colloquiumindex.htm
From our study of successful programs and the recommendations and guidance
of the colloquium participants, we have developed three papers that address
these central aspects of the creation of enduring change.
In this paper, the first in the series, Key Components of Systems
Change, we attempt to create an overall framework for the
discussion of systems change and to give a summary of the
concepts discussed in all three papers. In addition, this paper
includes several specific recommendations that can be applied now
by any grantee, state, or program to enhance prospects of
achieving enduring change in home- and community-based
services.
The second paper in the series, Features of High-Quality
Community-Based Services, identifies the features of high-quality
integrated community services and the systems that support them.
It serves as foundation work for additional exploration and
discussion of what constitutes effective community services. The
paper will undergo continuing development in discussions with
representatives of projects and consumer leaders in states. The
authors believe the paper, in its current form, will augment
assessment of existing systems and planning of new or improved
systems and, after refinement, it will become an even more useful
tool for those involved in systems transformation.
The third paper in the series, Promoting Self-Direction and
Consumer Control in Home- and Community-Based Service
Systems, examines what contemporary social service systems can
do to promote consumer-directed services. We identify different
features that make a service "self-directed," and we identify
characteristics of successful consumer direction and
self-determination. As with the second paper, in its present form, it
serves as foundation work for additional dialogue and will also
undergo continuing development in discussions with
representatives of projects and consumer leaders in states.
Real Choice Systems Change can seem a daunting undertaking when the
“sy st
em”i sputf or war dassomet hi
ngt hathasal ifeofi t
sownwi thpowerov er
people and communities. But systems are inanimate entities that are designed
by, acted upon, and used by people. It is people—individuals and people working
in concert—who bring change into the environments and communities of which
they are part. It is their will to change that begins the processes of mobilizing
constituencies for change. These changes can range from the miniscule and
invisible to ones that are prominent and far-reaching.
Idealists may presume that support service systems ought to change simply
because it is the right thing to do. Unfortunately, these systems do not exist
solely to benefit the people dependent upon them. They also have to contend
with the needs, pressures, and vested interests of many other parties. Changes
centered on individual needs often compete with the needs and priorities of
outside parties who may be more entrenched, more powerful, and difficult to
persuade about the merits of systems change.
This observation does not mean that systems cannot uphold the people they
support in an honorable and beneficial way. Some already do. But there are
many difficulties in creating or protecting people-friendly aspects of systems if
those aspects collide with other priorities and preferences. People-friendly
outcomes may require systems that are very different from those with less
people-centered outcomes. Discovering how to create and sustain people-
friendly support services is the focus of our research.
B. WhatDoWeMeanBy“Syst
emsChange?”
Even without a precise definition, we can still name and describe many types of
intentional systems changes. For example, some systems have been gradually
de-institutionalized, becoming more community based, more individualized, more
granting of individual control and direction, and better integrated with other
systems. This type of shorthand definition may not be precise enough for every
purpose, but it offers an adequate definition for people to use in discussing and
organizing systems change projects.
Systems change projects may focus on anything from minor system components
to major system components; they may also start with small subsystems and
then become gradually more comprehensive in scope. Additionally, while some
people involved in systems change may not be in a position to effect large-scale
changes, they may have leverage to effect changes in smaller systems
components. For example, in helping patients to make productive transitions
between acute inpatient care and community living, systems change advocates
might conceivably leave the overall hospital system largely intact. However,
considerable changes would be made in the specific hospital subsystems related
to discharge planning, and changes would also be required in the coordinating,
planning, and financing practices of local agencies that offer community-based
services.
We must not assume, however, that small component or subsystem changes are
easier to make due to their scale. Even small components may have well-
entrenched defenders and interest groups holding them in place. It may not be
any more difficult to make a large systems change than a small change if the
timing is right and the parties involved are well positioned.
Even problems with obvious solutions may not be fixable if the conditions needed
to effect the change are missing. People within the system must possess the
underlying will and values to overcome resistance to the proposed change. There
may be moral, cultural, and political factors in a community that prevent change.
At a given time, people and communities may be unwilling to endorse feasible
solutions that collide with the prevailing view of what is proper and needed. Only
if these dominant community views change can system changes be successful.
Thus, it is extremely important to stress community and constituency education
strategies in any systems change plan.
Change does not appear simply because it is needed. Nor will simply setting
people-centered goals and using people-centered vocabulary bring about
change. Real change requires both a vision of what might be possible and
needed, and people willing to do the difficult work of bringing these visions into
reality. In some cases, these struggles for change are multi-generational in
duration and may involve periodic setbacks and revisions of approach as
conditions change. They all are dependent on mobilizing people to engage
themselves in a committed way to make progress on key issues.
To answer this question, we need to know which theories and assumptions about
people-centered systems change are valid, and which others are misleading or
They suggest some common investments that can help facilitate change at the
local, state or national level. The effect of these can be catalytic and synergistic,
particularly when a number are simultaneously present.
This list of components is not intended to end discussion, but rather to inform
further work on our collective understanding of meaningful and sustainable
systems change.
B. Stakeholder Involvement
C. Equalization of Knowledge
Colloquium participants noted that not all Real Choice Systems Change projects
were initiated with a plan for sustainability, and to them that was a contradiction
3
For more information about these two projects, see the Alliance for Full Participation website at
http://www.allianceforfullparticipation.org/public and the Ellensburg Conference website at
http://www.communityinclusion.org.
1. Barriers to Sustainability
Colloquium participants agreed, however, that there are often
serious barriers to sustainability, including --
lack of a clear vision about what should be sustained
lack of adequate documentation that a service works effectively and
should be sustained
lack of a way (including funding) to sustain the change
Strategy #3: Use the media to build your profile and develop a
relationship with the public
In modern times, achieving any major shift in public perception
always involves a consistent, clear, and credible message put
forward through the media. More importantly, however, the
message must be relevant to the listener. The public does not yet
widely know, for example, that there can be options other than
nursing home care when a family member reaches a certain level
ofinfirmity.Thus ,peoplemaynotaskf orwhatt heydon’tknowi s
possible. A relationship built over time with the newspapers and
television and radio stations can reap huge rewards in raising the
consciousness of the public to the next level, giving immeasurable
support to an agency seeking passage of new laws or new funding.
We must invest in helping change groups shape, communicate,
and get out their message more successfully. We must not assume
that everyone is equally equipped in this regard or that the media
chosen and the content to be shared are going to be similar in
dif
ferentpl acesorsi t
uations.Thispr oc essof“ messagemaki ng”
may need to be repeated with considerable regularity so more
people can benefit from your assistance and support.
IV. Conclusion
This paper illustrates that potentially effective catalysts are available to people
trying to bring about needed changes in their community or state. These
catalysts can be very beneficial if used with discretion and wise application.
However, they are not a panacea. They do not guarantee success, but they
sometimes produce powerful results. We hope that the principles and examples
discussed in this paper will help systems change leaders across the country to
recognize some catalysts that might suit their particular change challenges.
Obviously there are more catalysts for change than those presented as examples
here. Our understanding of the key components of meaningful and sustainable
systems change continues to grow as we collectively gain experience through
the Real Choice Systems Change Grant initiatives. We expect this paper and
others in the series to facilitate further discussion and discovery among all
stakeholders who work to transform the social support systems serving people
with disabilities of all ages.
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