Results
Table
3 describes participant demographics. Three organizational adaptation profiles were identified, “Incorporators,” “Early Investors,” and “Learners.” Table
4 illustrates the distribution of organizational-level profiles across the eight service systems.
Table 3
Participant demographics for qualitative data
Job role |
Home visitor | 10 | 8 | 9 | 5 | 10 | 5 | 46 | 93 |
Coach | 7 | 3 | 0 | 1 | 8 | 1 | 6 | 26 |
Agency leader | 7 | 3 | 2 | 3 | 1 | 2 | 12 | 30 |
County/state role | 3 | 6 | 4 | 1 | 5 | 4 | 10 | 33 |
Othera | 1 | 2 | 2 | 1 | 1 | 1 | 18 | 26 |
Gender |
Female | 24 | 16 | 16 | 8 | 23 | 13 | 74 | 174 |
Male | 4 | 5 | 0 | 3 | 2 | 0 | 17 | 31 |
Missing | 0 | 1 | 1 | 0 | 0 | 0 | 1 | 3 |
Table 4
Distribution of adaptation profiles by service system
County A | 3 Incorporators, 1 Early Investor |
County B | 1 Incorporator, 1 Early Investor, 1 Learner |
County C | 1 Early Investor |
County D | 1 Incorporator, 1 Early Investor |
County E | 1 Incorporator, 1 Learner |
County F | 1 Early Investor |
County G | 1 Incorporator |
State | 1 Early Investor, 2 Learners |
Incorporators
There were seven incorporators in five of the service systems. Incorporators were CBOs that “incorporated” SafeCare into existing structures, processes, and capabilities. A key feature of Incorporators was that they primarily integrated the EBP into what they already did as an organization, rather than making substantial changes or creating new ways of operating. This was akin to assimilation. Over time, Incorporators made relatively small-scale organizational adaptations in response to contract and intervention requirements. Small-scale adaptation included adding screening assessments or supplemental material required by the service system to the home visit, adjusting caseloads, adding SafeCare to job descriptions and titles, modifying supervision formats to accommodate SafeCare coaching requirements, and adding the SafeCare program to existing agency forms and documents. As one Incorporator agency leader commented about SafeCare implementation, “…you have to do some things but it’s not overwhelming or hard to do.”
Five of the Incorporators were in a service system that had a dominant lead agency (three within the same service system). One Incorporator agency leader explained the dynamics with the lead agency as, “Over time especially I have really learned how to allow the coaches and to allow [lead agency name] to be the people who they go to for implementation issues.” The major responsibilities associated with initiating, building, and maintaining SafeCare in the system fell on these lead agencies, not the Incorporators.
Six of the Incorporators had contracting arrangements that covered the full costs of implementing SafeCare. An Incorporator supervisor explained, “…I cannot think of anything that needs to be changed for us to better do SafeCare…We have our supplies, we have our transportation, we have our supervision, we have everything...” Another Incorporator agency leader said, “I don’t think there was a need to make extraordinary changes with the resources that were put in place.” Changes related to insufficient funding or lack of resources were not an issue for Incorporators.
Finally, for two of the Incorporators, SafeCare was described as a small part of the agency’s service array. One Incorporator agency leader observed, “It’s a small piece of kind of the tapestry of who we are…our program [SafeCare] has literally one person.” This leader further explained the organization’s adaptation as, “… minimal. Again just the scale of it really wouldn’t drive a lot of heavy lifting changes.” When asked about the percentage of total revenue derived from SafeCare, an agency leader at the other Incorporator organization responded, “A small percentage, very small percentage.”
Early Investors
Six Early Investors were present in six service systems. Early Investors were CBOs that made substantial adaptations during the initial phases of implementation. Agency leaders at two different Early Investors described this initial effort as “blood, sweat, and tears getting this up and running,” and they “set the stage” for what SafeCare would look like in the entire system. The substantial adaptations that Early Investors made in early implementation were related to the critical system-wide implementation role that these CBOs played. Five of the six Early Investors acted as lead SafeCare agencies in their respective service systems. The sixth Early Investor was initially a lead agency but then became a subcontractor after contracts were renegotiated.
Lead agencies bore significant responsibilities in initiating and maintaining SafeCare in their systems and may have been formally designated as leads in the contracts. Early Investors made strategic adaptations to fulfill a variety of lead agency responsibilities. These responsibilities centered on: (1) coordinating and conducting SafeCare training, coaching, and fidelity monitoring across multiple CBOs; (2) acting as liaisons with service systems, other CBOs, and the NSTRC; (3) managing system-wide SafeCare data; and (4) housing, supporting, and finding ways to pay for at least one SafeCare coordinator. Terms used across the transcripts to describe SafeCare coordinators included “main contact person,” “a resource,” “SafeCare subject matter expert,” “a buffer,” “de facto champion,” and “honorary administrator.”
All of these lead agency responsibilities required substantial adaptation related to developing EBP expertise, creating new processes and procedures, hiring staff or modifying staff roles (especially in the context of training and coaching), and building leadership and data management capacity. These types of changes required greater organizational effort and resources than the way that Incorporators engaged in adaptation.
Additionally, Early Investors changed their approaches to adaptation over time. While Early Investors maintained the organizational changes that they made during early implementation, overall engagement in adaptation tapered off as SafeCare was embedded in the CBO itself and the broader service system. When reflecting on adaptation longitudinally, an agency leader at an Early Investor stated, “I’d say we made extensive changes in the beginning and then minimal changes to sustain it over time.” In this case, the extensive changes had to do with the “entire cultural shift” that had to occur to support SafeCare (described below). An Early Investor team leader at a different agency noted, “Since we’ve been doing this for a few years now, it’s the expected practice…We have a well-oiled machine.” Regarding later implementation stages, an Early Investor supervisor said, “Creativity had been performed already.”
For four Early Investors, SafeCare implementation represented a major cultural shift in the organization. Overcoming ideological misfit and resistance to EBPs generally or SafeCare specifically was part of the early investment that these organizations had to make. Factors that helped to resolve ideological misfit included hiring new staff who were more amenable to the model (one CBO had “massive turnover” as a result of SafeCare implementation), having leaders who made a commitment to “find out what’s good about it and move forward,” creating SafeCare guidelines that could be used when training new staff, and generating buy-in from social workers in the service system who needed to refer clients. Another Early Investor supervisor had to figure out how to integrate providers who had not worked together prior to SafeCare implementation. This supervisor explained, “it was very important for us to get that as one of those elephants in the room, address it, and really have worked strategically to keep our team blended.”
Learners
Four Learners were present in three service systems. Learners were characterized by steady and continuous attention to new ways that the CBOs could support SafeCare. Learners did not necessarily have more instances of organizational-level changes. Instead, these organizations appeared to have an intangible quality related to a culture and/or leader attitudes that reflected and encouraged curiosity, openness, and a focus on continuous improvement. One Learner agency leader described adaptation in response to SafeCare implementation as, “I want to say we’ve made a lot of changes just to maintain or support the program…we are constantly trying to adapt...” Another Learner leader noted, “I’m committed to knowing or finding out if we’re being effective and wanting to evaluate. I think we have to. We can’t just stumble along in the dark…”
When talking about SafeCare implementation experiences, individuals in Learner organizations used phrases such as: “continually update,” “took the initiative,” “able to quickly adapt or make changes as needed,” “constantly trying to assess and reassess,” “keeps us from being stale,” “constantly tweaking,” “ongoing conversation,” “is there another way we can deliver the service that we haven’t thought about,” and “we’re just ever evolving.” A Learner agency leader explained, “I think there’s just always something to look at through the eyes of how do we sustain and make it part of the overall program versus it’s just something that we do?” Another agency leader noted, “…we’ve fostered or trained ourselves to really value that ongoing learning.” For Learners, SafeCare implementation represented a positive educational experience for the organization’s staff.
Two of the Learners were in stable, well-funded service systems, while two Learners did not have SafeCare contracts that covered full costs of implementing the EBP. One of these Learner agency leaders explained, “…We have to be quite vigilant about keeping up the caseloads and keeping up the presence and the visibility so that we don’t get forgotten about.” The other Learner agency leader with the underfunded SafeCare contract discussed multiple financially related adaptations that the CBO had made, including cross-training staff (beyond the full-time employee covered by the SafeCare contract) and pulling from discretionary funds to cover the costs of SafeCare implementation. Similar to Incorporators, Learners maintained their overall approach to adaptation across the implementation stages outlined in EPIS.
Discussion
This study used rigorous prospective qualitative methods and analysis to address the unexplored topic of how organizations adapt over the course of EBP implementation. Three organizational-level adaptation profiles emerged: Incorporators (
n = 7 organizations), Early Investors (
n = 6 organizations), and Learners (
n = 4 organizations). The three profiles demonstrate the concept of equifinality or the idea that there can be multiple effective paths to the same outcome [
54,
55]. This is the case because all of the organizations in this study successfully moved through implementation to EBP sustainment.
A key feature of the seven Incorporator organizations was that they primarily integrated (or assimilated) SafeCare into existing operations. This is akin to Piaget’s theory of assimilation or accommodation in the learning process but at the organizational rather than individual level [
56]. Five of the Incorporators were in service systems with dominant lead agencies. Six of the Incorporators entered into contracting arrangements that covered the full costs of implementing SafeCare. For two of the Incorporators, SafeCare was a small part of the agency’s service array. The Incorporator approach perhaps points to the strategic management concept of beneficial inertia, which occurs when an organization faces minimal (or no) need to change to meet environmental demands [
57]. Zajac and colleagues note that internal characteristics, such as possessing “resources that offset external pressures for change” can help determine when inertia is beneficial [
57]. Having a lead agency to depend on, adequate resources, and a limited portfolio of SafeCare services may explain why an Incorporator approach most benefitted these CBOs.
Early Investors organizations made substantial adaptations during initial phases of implementation, e.g., leading system-wide language translation of SafeCare materials, training home visitors across the system, and transforming organizational culture to support EBP use generally and SafeCare specifically. Unlike Incorporators and Learners, a key feature of the six Early Investors is that they changed their adaptation approach over time to align with the changing needs of the environment. Overall engagement in adaptation tapered off as SafeCare became embedded in the organization and service system. Five of the six Early Investors acted as lead agencies in their respective service systems, and the sixth was initially a lead agency and became a subcontractor after contract renegotiations. Early Investors played an important system-wide implementation role. This finding points to the importance of examining organizational adaptation within the context of interorganizational networks. In this study, lead agencies were responsible for training, coaching, managing data, and coordinating across other agencies and with system-level leaders. The burden of implementing was particularly high for Early Investors.
Furthermore, Incorporators may have developed because of the presence of Early Investors. Consistent with the EPIS framework construct of interorganizational networks, organizations occupy different spaces in the network of entities involved in EBP implementation [
40,
41]. Each organization may fill different functional niches within their system. Knowing a CBO’s implementation role relative to other organizations in the system can help organizational and system leaders collaboratively engage in implementation planning. Planning tasks where the CBO’s role may be important include assessing and allocating resources across the system, identifying service redundancies and gaps, and leveraging interorganizational synergy (e.g., coaching and training across agencies to mitigate turnover and maintain a trained workforce within the system as a whole). This information can also help system leaders craft contracting arrangements that accurately reflect and financially support the different roles that organizations fill.
What characterized the four Learners was steady and continuous attention to new ways that the organization could support SafeCare. The Learner label was inspired by the concept of learning organizations, defined as “an organization skilled at creating, acquiring and transferring knowledge, and at modifying its behavior to reflect new knowledge and insights” [
58]. Although developed in the management literature, this concept has been applied to health and mental health contexts [
59‐
61]. Sheaff and Pilgrim assessed whether or not learning organizations can exist in the British National Health System [
61]. The authors note, for example, “Team members need to have trust in one another and enjoy the managerial mandate to exploit opportunities as they arise, or experiment with new conditions emerging from the shifting external context that situates the organization” [
61]. Learners appeared to have leaders and a culture demonstrating commitment to adapting, improving, and keeping implementation fresh in the organization throughout the implementation lifecycle to reach sustainment. This study was a first step in describing what learning organizations may look like in the context of organizational adaptation to support EBP implementation and sustainment.
Findings can also enhance the implementation strategy literature. Implementation strategy tailoring involves identifying barriers and facilitators, then intentionally selecting strategies that align with these determinants [
62]. Knowing an organization’s adaptation profile can help in two ways. First, this information can enable researchers and practitioners to gage the intensity of the tailoring process in advance of implementation. Incorporators, for example, may have a less intense strategy tailoring and selection process than Early Investors during the early implementation phases. Second, researchers can use this information to explain and disseminate implementation strategies in a more targeted way. For example, the package of implementation strategies for an Incorporator may be quite different than the set of strategies that best fits a Learner. Incorporator leaders may be most interested in a small set of strategies that closely align with their current organizational functioning (e.g., updating record systems and revising professional roles). Learner leaders, on the other hand, may want to continually experiment with a variety of strategies that more substantially alter the organization’s core functions (e.g., forming new academic partnerships and accessing new funding streams).
More broadly, we hope that our findings offer a way of thinking about adaptation and organizational research that is new to the implementation science community. Most adaptation research in our field has focused on how to change the intervention [
1‐
9]. Rather than treating organizations as a benign “structural factor that can affect adaptation,” [
1] we draw focused attention to the different ways that sustaining organizations approached the process of adaptation. Profiles are a well-known tool in the strategic management literature for understanding how organizations adapt [
15‐
20]. Rather than transporting an existing typology to an implementation study, we wanted to leverage our rich dataset to see what emerged among organizations that were responding to EBP implementation and sustainment.
We recommend the use of organizational profiles (ours and newly identified ones) as a theoretical foundation for empirical testing similar to what has been done with other organizational typologies in the strategic management literature [
63]. Recently, Pintello put forth the concept of “organizational phenotypes that promote implementation and sustainment” as a core implementation science principle for future research and one that corresponds with the US National Institute of Mental Health’s (NIMH) current strategic plan [
63]. The concept of organizational phenotypes could serve as “diagnostic determinants” for EBP scale-up and sustainment at the organizational level [
63]. Profiles, like those identified in the present study, and Glisson’s [
27‐
29] culture/climate profiles, are examples of ways to think about organizational phenotypes for implementation and sustainment research.
Limitations
This study examined organizational adaptation profiles in the context of SafeCare, one particular EBP. Intervention complexity varies widely, and different organizational approaches to adaptation may emerge with other EBPs. A second limitation is that this study examined organizational adaptation in the context of systems that utilized contractual arrangements to promote and implement SafeCare. Organizations in systems that do not have contractual obligations to implement a particular EBP may engage in other adaptation approaches.
This study used secondary qualitative data to understand adaptation. Social desirability biases and the tenure of participants within a CBO may have influenced the quality of responses. Participants were also recalling and reflecting upon past events. A document review and member checking activities facilitated triangulation of the findings. However, these limitations echo the broader issue that adaptation can be difficult for practitioners to explicitly recognize and report, and accurately assessing adaptation is a persistent methodological issue in implementation science [
1].
Next steps
This study lays the groundwork for multiple avenues of future research. First is the creation of adaptation profiles for other contexts including organizations that do not reach sustainment, are de-implementing a non-evidence based practice, or are implementing a novel EBP. Future research can also explore which implementation activities and strategies are most effective for Incorporators, Early Investors, and Learners. Quantitative methods can be used to further explore characteristics that define the profiles and the relationship between profiles and specific implementation (e.g., fidelity) and client outcomes (e.g., engagement and satisfaction).
Additionally, future research can explore adaptation in the context of the constellation of EBPs that an organization implements. Organizations may use one adaptation approach for one EBP and a different approach for a different practice. For example, some interventions may be a more integral piece of the agency’s total service array (and therefore require a more intense organizational adaptation process). Organizational adaptation profiles may also change in response to environmental threats such as drastic changes in funding, changes in the organization’s mission, or the entrance or exit of key organizational players in the broader systemic network. Or perhaps, an overarching adaptation philosophy may influence organizational adaptation approaches across EBPs.
Future work may also consider the relationship between concurrent organizational adaptation processes, e.g., simultaneous practice, organizational, and system level adaptation that occurs during EBP implementation. Finally, while the importance of cultural and leadership factors for the Learner profile emerged in the qualitative analysis, understanding more precisely how this profile differs from the others requires targeted data collection around published learning organization characteristics.
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