Change Management: Front Line Practice Tool
Defining: Defining what you aim to improve in the language of the client, in operational
terms, and in line with the needs of the client is the first step in front line practice change
management.
If a worker and client can get to a common definition of the problem to work on and a desired
future state, and agree to work on it together, that is the essence of engagement and a vital first
step in working toward solutions. This can be achieved by the worker and the client together
answering the following questions:
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What is it that we need to work on and why?
Is there an immediate crisis that needs to be resolved?
What is the agreed upon desired future state in relation to the problem that we want to
work toward?
What values are important to the client? (i.e. family, independence)
What are their perceptions of the worker/agency? Is there trust?
Who needs to be included in the defining/assessment process and what is the best way to
engage them?
What is the client’s or family’s ability to perform toward its desired state?
What are the current barriers to moving forward to assessment?
If a worker and a client cannot come to a common definition of the problem to be worked on,
then the potential to work together on solutions becomes very limited.
Other key points regarding Defining work:
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This work includes defining the relationship of the worker and the client. Defining (and
the other DAPIM steps) will work best as a partnership where the worker is a helper
looking to use the expertise of the client to find solutions.
Sometimes there are non-negotiable issues for the worker and the client. These issues
should be presented in the context of the definition of the problem and the goal of seeking
solutions.
Emergency situations require emergency responses. Quick initial definition of the
problem to be worked on leads to the next steps of assessment and initial planning.
Frontline practice does not always provide the luxury of time, however defining an
emergency situation by the problem focuses the conversation toward solving problems.
The action of defining prior to assessing and planning will lead to plans that attempt to
address the true (defined) problem.
Clients often have multiple and complex problems that are not easily defined. That is
why breaking down complex situations into a series of actionable objectives can allow
change planning to be effective.
Once an initial crisis situation has been resolved, further definition, and “turning of the
flywheel” will naturally occur.
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By focusing on who the client is and the problem to be worked on, front line practice workers
will minimize any bias or prejudgments that might otherwise serve as a barrier to good, solutionfocused planning, in turn reducing disproportionality and disparity.
Assessing: Once a definition of the focus of the work is complete, the next step is to do an
assessment of the client’s current state in relation to the focus of the work.
Key points:
• Most if not all human services perform a type of intake assessment to assess a client’s
current state, frequently without having defined the problem they are working on or the
desired future state.
• The assessment step in DAPIM establishes a baseline to compare against the desired
future state as well as a reality check prior to planning.
• Assessment should be based on fact not opinion. Conclusions can be drawn once some
facts have been uncovered.
• Typically the more rigorous the assessment, the more accurate the assessment. Gathering
data from all relevant sources provides the most complete assessment.
• Emergency situations require emergency assessments, often with limited information. By
completing this step as thoroughly as possible, a worker will be assured they can develop
comprehensive initial, emergency (safety) plans.
• Assessments include identifying client strengths for the purpose of building on those
strengths when planning solutions.
• Assessment supports a worker testing hypotheses. Questions for the client can test
hypotheses and explore concepts such as the following:
o How does the parent feel about the child?
o What are the client’s emotional, behavioral, and cognitive needs regarding the
current situation?
o What happens in the home at times of stress?
o How does problem solving currently occur?
o What is the client’s current support system?
By testing hypotheses as part of an assessment the worker will complete a more rigorous
assessment.
• Assessment leads to “findings.” Findings should be observable and measurable
statements about the current situation. Findings should be descriptive of actionable
observations about strengths and gaps in relation to the defined problem and desired
future state.
• Once findings have been collected, root cause analysis should occur. Root cause analysis
leads to planning remedies for gaps. Root causes can be identified by continually asking
“and why is that?” until actionable remedies emerge for the identified problem.
• Actionable remedies require that the resources needed to achieve the remedies will be
available to the client.
• Root cause analysis ensures that time, energy, and resources used for assessment are used
in planning as targeted to address fundamental causes of challenges and not just to
respond to symptoms of bigger and more important issues. Alcoholism, domestic
violence, and mental health issues all tend to be root causes that show up through other
behavior such as homelessness, unemployment, or criminal activity.
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Root cause analysis is considered the “bridge to planning” because the root cause must be
addressed in planning to ensure long term, sustainable change.
Planning: Plans should be reflective of information gathered, the root causes for the
defined problem and associated gaps, and the capacity and resources of the client.
Thorough root cause analysis will lead to general remedies becoming apparent, supporting
customized and well-targeted plan development.
To be effective, plans must be written to show a clear commitment and direction for improving
the client’s current situation towards the desired outcomes by addressing root causes through
actions.
To be effective, plans must meet the following standards:
• Plans must contain measurable benchmarks for success including timelines to achieve
goals.
• Phased long-term planning requires layering solutions and building on successes.
• Responsible parties must agree to their roles for the plan to succeed.
• Plans should be made with clients, not for them. Maintaining this standard will lead to a
much higher success rate for accomplishment of plan objectives. Even hostile and
resistant clients should be given a voice in their plans and a choice of providers.
• Resources to accomplish plan objectives must be available and accessible to the client.
• Written plans must be developed in the language of the client without agency jargon or
potential for misunderstanding.
• Plans should be individualized, based off of the following: the defined problem to be
solved, the desired future state, the assessed current state, prioritized root causes of the
problem, and a client’s current abilities.
• To be effective, plans must be solution-focused and not simply created to fill a statutory
requirement.
• Effective plans can be refined as circumstances change for the client. This includes
celebrating successes as clients achieve goals and plan conditions thereby change.
Planning can involve quick wins or mid-to long-term goals. Quick wins should be:
• Identified to resolve immediate crises based on the definition of the problem and
identified gaps.
• Symbolically powerful and allow for building involvement and trust, closing gaps, and
laying a foundation for longer term planning.
Mid (30-90 days) and longer term (90 days to 2 years) planning should:
• Be easily linked back to the definition of the problem to be solved and the root causes for
those problems.
• Focus on building sustainable change and the client’s internal capacity.
• Teach the client to problem solve on their own.
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Implementing: More than just doing the work of the plan, implementation includes
transferring ownership of the plan from the worker to the client and continually reworking
plans until objectives are achieved.
Implementation is usually thought of as actually doing the work of the plan. It also, however,
involves other pieces of work and adjustment of the plan as work is completed and/or
circumstances change.
Completing tasks on the plan:
• After solid written plans have been developed, the implementation phase requires clients
to begin to take ownership of the plan. With initial coaching and support from the
worker, clients build their skills and capacity to reach their goals.
• Implementation of plans will lead to increased client capacity to perform tasks on their
own without the support of a worker.
• Completing plan objectives often requires clients to get connected to outside resources.
When this occurs, workers should be advocating for clients as needed. The connection to
the resource should be purposeful with certain outcome goals and objectives in mind
without being overly prescriptive about how the work gets done.
• Workers should continue to use the expertise of the client and not fall into the trap of
feeling like they are the only ones capable of making appointments or decisions.
Identifying barriers:
• One of the key points of our planning section was “plans must contain measurable
benchmarks for success including timelines to achieve goals”. This is to assist in making
determinations if barriers arise preventing the client from succeeding.
• If barriers are identified workers and clients must ask themselves: can they be removed
quickly or worked around, or does a new plan need to be created to achieve desired
outcomes?
Searching for other strengths and gaps:
• Implementation includes developing and following a communication plan that assures
that appropriate parties remain in communication regarding the client. Explicit
agreement on a communication plan allows for ongoing assessment of potential newly
discovered strengths and gaps.
• As a plan is implemented, new areas for DAPIM work often arise. Being able to
successfully integrate new circumstances through the DAPIM process while the “big
DAPIM” occurs is a skill for frontline practice workers to master.
For these reasons, initial plans should be adjusted during the course of implementation based on
the work completed toward the defined goals, the continued building of client capacity to do
more over time, and new information gathered during the course of the work.
Monitoring: Monitoring at some level should occur during every client contact.
While case plans often have goals that are measurable such as completion of a parenting class or
maintaining a certain number of hours at work, frontline practice monitoring often needs to be
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both qualitative and quantitative. Monitoring should bring focus to how lives are changing and
how the client is achieving the agreed upon desired future state.
When implementing a plan, a focus on accountability is essential.
• Monitoring is all about accountability and continuous adaptation based on lessons
learned. Helping clients see what went well, what didn’t go well, what should be done
differently, and what are lessons learned (for worker and client) are all aspects of
monitoring.
• Recognizing and celebrating successes is a key skill for frontline practice that is often
overlooked. When successes are recognized and celebrated, a culture of achievement and
positive reinforcement is created and will likely continue beyond the client’s contact with
the worker.
• Effective monitoring of plans is the only way to assure that the worker and client will be
able to appropriately refine plans already in place.
• Assuring that work is completed beyond minimal requirements and within the values and
standards of the client and agency are tasks done during monitoring.
• It is expected that clients will occasionally take steps backwards or shift directions while
working on plan objectives. Monitoring helps keep aim focused on achieving goals
despite these changes.
It has been stated that plans need to be measurable and that is true. It is also true that by keeping
the plan measurable, the worker is able to focus on client accountability for tasks and
maintenance of the case plan. However, having the client no longer need the worker’s services
seems to be a universal goal of frontline practice work that is often not fully measurable, but
based on qualitative assessment.
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Some quantitative data collection may be required (hours worked, income, school
attendance for children) and if data collection is part of monitoring, that should be made
clear during the planning meetings and performed as part of the implementation process.
Qualitative data collection such as observations the worker has made about the quality of
a client’s communications, ability of the client to manage their children, or attitude a
client has about work should all be factually documented in a client’s case record.
Ultimately monitoring can serve as a motivator as clients and workers alike tend to do what they
know will be reviewed by others. From monitoring insights, adjustments get made to the related
plans themselves. Monitoring as a process and activity should be designed to be simple and
clear, easily accomplished at every client contact.
DAPIM, when applied to frontline practice, serves as a strategy for family engagement
that:
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Gives definition to the process of client engagement including a purposeful initial
meeting that develops trust, partnership, and aim toward achieving agreed upon
objectives.
Provides at the beginning of the process clear definition of the problem for the family so
that: there is no ambiguity about the purpose for worker involvement, non-negotiable
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issues are presented, provides the family input into defining the problem for the worker to
hear, and the definition of the work is put into the language of the problem that needs to
be solved.
Empowers families. This model is based on understanding that clients are the experts of
their family and their situation. The model gives frontline staff “license and language” to
engage families vs. confront families.
Gives “facilitator” role to worker with significant leeway to guide the process. Workers
are the experts of the system and a partner in the process. The worker, like a facilitator in
an organizational effectiveness DAPIM, is accountable for the work getting completed
within certain guidelines and timeframes and can channel discussion to necessary crucial
conversations.
Recognizes it takes both the worker and client to develop and set boundaries for the plan
once the problem is defined.
Provides renewed emphasis on individualized case planning based on individualized
define and assessment work.
Serves as clear reminder of ongoing monitoring at every contact, not just at the end of a
plan.
Reminds workers to identify and celebrate “quick wins” and successes with clients.
Assists in the creation of plans that lead to results oriented, solution focused work being
completed based on agreed upon milestones.
Creates opportunity for supervisory conferences to be structured based on the DAPIM
phase the worker is in with their client. Supervisors will have processes for workers to
employ engagement skills. Supervisors will also have direction for new staff who need
structured approaches regarding engaging clients and developing agreed upon plans with
clients.
Helps supervisors assess performance of staff in discrete areas such as “assessment” or
“planning” and build the skills needed for each area.
Teaches the “flywheel” concept, reinforcing the idea that we are able to continually look
for areas to improve and that we will likely always be trying to continuously improve in
many areas.
Works across systems, allowing a common language for many workers in one
jurisdiction.
Provides clients with problem solving skills moving forward that are sustainable,
allowing them to become less dependant on the system.
Minimizes the impact that a worker’s unconscious prejudices may have on client’s case
plans and eventual outcomes.
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