With the upcoming implementation of theCalWORKs Information Network (CalWIN) System,the 17 counties that have been using the WelfareCase Data System (WCDS) for over 30 years willface a combination of challenges in operations,technology, and human resources and training.While the planned CalWIN system will improve theoperational effectiveness of eligibility determina-tion, it will also bring about considerable changesfrom the current way of doing business. Each of thenow 18 WCDS consortium counties are preparingfor the implementation by utilizing strategies thatare appropriate for their Agencies. The CalWINSystem is scheduled to pilot in the Spring of 2002,with implementation scheduled over the followingtwo years.

My BASSC interagency exchange brought me toSanta Clara County Social Services Agency, wherethe CalWIN System was the catalyst for theirAgency Transformation Project, defined as a majorsystem, business, and organizational transformation.With the support from their Board of Supervisors,the project is under the leadership of the Informa-tion Systems Director and the Director of theDepartment of Employment and Benefit Services,and has the commitment of approximately 60 full-time unclassified staff. The involvement from alllevels of staff was actively encouraged throughopportunities to participate in workgroups. Toensure organizational success, there was a largeinvestment in obtaining the perspectives and con-cerns of line staff through a variety of strategies

associated with change leadership and communica-tions.

The overall targets of the Agency TransformationProject are:

• Improve agency performance-based budget per-formance, accountability, and responsiveness

• Build technology infrastructure to support per-formance improvements

• Recruit, retain, develop and train appropriatehuman resources to support agency improve-ments

• Invest in change leadership to ensure organiza-tional success of process and technologyredesign efforts

• Implement uniform project management metho-dology to ensure project leadership and suc-cessful completion

In order to reach the targets of the Agency Transfor-mation Project, the objectives of the project aredefined and implemented through five key tracks:1) project management, 2) CalWIN and informationtechnology infrastructure, 3) agency process trans-formation, 4) change leadership and communica-tions, and 5) human resources and training. Thefive project tracks are interdependent upon eachother, and information was available from an assort-ment of venues. The use of innovative strategies inchange leadership and communications were thefocus of my internship, and are discussed in detailin the full case study.

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SA N TA CL A R A CO U N T Y: TR A N S F O R M I N G A N AG E N C YSelina Toy*

EXECUTIVE SUMMARY

*Selina Toy is a Human Services Supervisor with Alcohol and Drug Services in San Mateo County’s Human Services Agency.

ADMINISTRATIVE INNOVATIONS

R E C O M M E N D AT I O N S

Based on my learning experience in Santa ClaraCounty, I have developed the following recommen-dations for consideration by the San Mateo CountyHuman Services Agency (Agency):

Conduct an Assessment of the Organization’sReadiness for Change to CalWIN

An investment in the human capital required forsuccessful implementation should provide opportu-nities for staff to learn about the upcoming changesand reflect any feelings they may have regardingthe change process. By taking the time to solicit thecomments of management and line staff, theAgency can increase buy-in and ensure a smoothtransition to the new system. This recommendationcan be accomplished through the use of data gath-ering strategies, such as surveys, focus groups,regional meetings, or presentations.

Strengthen the Agency’s CommunicationsStrategy

With the diverse range of projects being imple-mented in San Mateo County, a more defined com-munications, marketing, and outreach strategycould benefit both internal and external stakehold-ers. The coordination of outreach and marketingmaterials will improve efficiency and streamline theprocesses for information dissemination. The cre-ation of a communications team to develop a sharedcommunications plan for agency-wide projectscould be an effective strategy to highlight innova-tive approaches in service delivery, disseminateinformation on the progress of key projects, andoffer career development opportunities for theretention of existing staff.

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B A C K G R O U N D

The San Mateo County Human Services Agency(Agency) is planning for the implementation of theCalWORKs Information Network (CalWIN) Systemin August, 2003. The Agency’s CalWIN projectteam is currently in the early stages of internalstrategy development. A steering committee hasbeen formed, and subcommittees will begin meetingin July, 2001 to address anticipated operationalissues impacted by CalWIN, as they relate to train-ing, policy, conversion and implementation, techni-cal issues, and human resources. The implementa-tion of the CalWIN system will affect staff currentlyinvolved in eligibility determination and the infor-mation technology systems that will support thenew software application.

My visit to Santa Clara County Social ServicesAgency granted me the opportunity to learn howthey used the CalWIN project within theDepartment of Employment and Benefit Services asa catalyst for their dynamic Agency TransformationProject (ATP). Because the ATP is a fast-paced anditerative process, the premise for my case study isbased on my observations in the early Spring of2001. During my brief visit, I witnessed dailyprogress on goals, ongoing revisions made to projectplans, and concepts that quickly developed intodeliverables. This experience has broadened myperspective on how a state mandate can be aspringboard for agency-wide, operational change.

After a brief history and outline of the key elementsof the Agency Transformation Project, this casestudy focuses on the roles of communication and

leadership in transforming Santa Clara County’sautomated welfare system. The case identifies theimplications for San Mateo County Human ServicesAgency and provides recommendations.

H I S T O R Y O F T H E C A LWIN P R O J E C T

The CalWORKs Information Network (CalWIN)System was born out of Chapter 303 of the 1995Budget Act and Legislation enacted in October1997 (W and I code sections 10823 and 10824).The mandate allowed for the utilization of fourStatewide Automated Welfare Systems (SAWS):ISAWS (Interim Statewide Automated WelfareSystem), currently in operation in approximately 35small counties; LEADER (Los Angeles EligibilityAutomated Determination, Evaluation & ReportingSystem) currently in the rollout stage; C-IV(Consortium IV), currently in design; and WCDS(Welfare Case Data System), initiated in 1968 andcurrently still operating in 17 counties. Althoughthe WCDS system continues to function beyond thenormal operational cycle of a software application,a replacement system has been explored over thepast several decades. The planned CalWIN Systemwill replace the current WCDS system, and willautomate eligibility determination, benefit calcula-tion and case management for the now 18 WCDSconsortium counties.

The CalWIN Project includes the design, develop-ment and implementation of the CalWIN System.Application design for the CalWIN system is cur-rently underway at the CalWIN Project site locatedin Folsom, California. The system is scheduled topilot in the Spring of 2002, with implementation

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scheduled over the following two years. The target-ed date for the implementation of the CalWINSystem in Santa Clara County is May 5, 2003.

K E Y E L E M E N T S O F T H E A G E N C YT R A N S F O R M AT I O N P R O C E S S

In August 2000, the Santa Clara County SocialServices Agency (SSA) embarked on a major sys-tem, business, and organizational transformation.The catalyst for the Agency Transformation Project(ATP) was CalWIN, the system that will improveoperational effectiveness while facilitating betterutilization of public and private resources to assistclients who are moving from welfare to self-suffi-ciency. The implementation of the CalWIN systemwill affect their CalWORKS, General Assistance,Medi-Cal, Food Stamps, Cash Assistance Programsfor Immigrants (CAPI), In-Home SupportiveServices (IHSS) and Foster Care Eligibility pro-grams. The ATP is a proactive approach to over-come the barriers to success by focusing not just onthe CalWIN system, but also on the people,processes, and infrastructure in which it operates.A copy of the Board of Supervisors resolution forthe Agency Transformation Project is attached asExhibit 1.

In consideration of the changes that will occur withthe transition to the CalWIN system, a multitude ofconcerns surfaced from SSA staff. A few of themajor issues identified by front line staff through afocus group include: a) insecurity regarding theirjobs, b) fear that their current computer skills willnot be adequate for the new CalWIN system, c) fearthat they will not receive adequate training on howto use the new system, d) lack of clarity on howtheir existing job functions will change, e) concernabout how their job classifications and salaries willbe affected, and f) adjusting to changes from their

current practice of doing business. In order toaddress the ongoing concerns raised by staff, theSSA is using a highly integrated team approach bybringing together resources from different areaswith complementary skills, including current lineand management staff, full-time dedicated unclassi-fied staff, Deloitte Consulting and other contractors.

The ATP is under the leadership of the InformationSystems Director, and the Director of theDepartment of Employment and Benefit Services,and has the commitment of approximately 60 full-time unclassified staff. Eleven project managerswithin the CalWIN staff provide leadership to theirrespective teams. All CalWIN Managers meet forweekly updates on the progress made towards theirdeliverables. A CalWIN implementation steeringcommittee was formed with key stakeholders,CalWIN staff, social services program managers,CalWIN committee lead members, and representa-tives from the unions. The initial pre-launch phasewas accomplished through the CalWIN committees,comprised of over 170 agency staff.

The targets of the Agency Transformation Projectare:

• Improve agency performance-based budget per-formance, accountability, and responsiveness

• Build technology infrastructure to support per-formance improvements

• Recruit, retain, develop and train appropriatehuman resources to support SSA improvements

• Invest in change leadership to ensure organiza-tional success of process and technologyredesign efforts

• Implement uniform project management metho-dology to ensure project leadership and suc-cessful completion

The ATP is structured in five phases: 1) assessing

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climate for change, 2) setting the climate forchange, 3) develop the new business model, 4) pre-pare for implementation, and 5) implementation.The objectives of the project are focused on fivekey tracks: 1) project management, 2) CalWIN andinformation technology infrastructure, 3) agencyprocess transformation, 4) change leadership andcommunications, and 5) human resources and training.

While the various project tracks and objectives areinterdependent in the planning and implementationof CalWIN, the focus of my interagency exchangewas on how the change leadership and communica-tion strategies relate to the larger, grand scale plan-ning effort.

R O L E O F C O M M U N I C AT I O N S

The role and function of the communications teamis to perform work related to CalWIN and SSA com-munications and information dissemination throughvarious mediums including newsletters, roadshows,social marketing materials, and web content/pres-ence. A communications committee was formed toprovide guidance in the development of materials.The major products of the department include thedevelopment of written communications and com-munication standards, conducting presentations androadshows agency-wide, utilization of social mar-keting strategies, and information disseminationthrough web content development and management.An example of promoting internal communication isthe “CalWIN Update,” a newsletter published anddistributed to project team members. A copy of thenewsletter is attached as Exhibit 2.

Presentations and Roadshows

The presentations provide an integrated face-to-

face mechanism to present project updates, providea “face” to the CalWIN/ATP effort, and convenedialogue among project staff and line staff. Theconcept is to bring a standard presentation “on theroad” to SSA staff stationed in district offices toprovide a consistent message regarding theCalWIN/ATP. The presentation includes an exer-cise led by the change leadership team, a PowerPoint presentation on the current political trendsand opportunities as they relate to the CalWIN/ATPproject, and a concept demonstration of theCalWIN software application. In the first roadshow,the attendees were primarily comprised of eligibili-ty workers and customer service workers. The com-pleted evaluation forms found that staff felt the pre-sentation was informative and the software demon-stration that simulated the CalWIN application washelpful in visualizing the future screens for captur-ing client information to determine eligibility. Manyattendees also had thought provoking questionsregarding the future of their job functions andresponsibilities. As of April, a total of 16 roadshowswere scheduled to reach 1125 employees in 16 dis-trict offices. There are a targeted total of 20 road-show presentations.

Social Marketing

The purpose of social marketing is to plan andimplement programs designed to bring about attitu-dinal and behavior change using concepts fromcommercial marketing. By creating a trademark andpromoting the CalWIN effort, it creates exposure forthe project, increases the awareness of staff regard-ing the upcoming change, and provides an opportu-nity for conversation. This strategy also recognizescommittee members for their efforts and encouragestheir ongoing participation and support of the pro-ject. A CalWIN logo was developed and there is aneffort underway to develop the CalWIN mascot, a

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computerized “mouse” named Calvin. Social mar-keting activities include distributing CalWIN-relat-ed giveaways and recognition items for CalWIN vol-unteers. For example, when a CalWIN committeecompletes their workplan goals, volunteers receivea choice of a portfolio, briefcase, or duffle bag withthe CalWIN logo. The communications departmentwill also begin working with an advertising agencyto improve upon their internal communication planand implement additional social marketing strate-gies to promote the CalWIN/ATP within the SSA.

I N V E S T I N G I N C H A N G E L E A D E R S H I P

The leading change strategy is to assist each inter-nal and external stakeholder in completing theprocess of letting go of the current systems, manag-ing the passage through the transition, and launch-ing into a new beginning. The desired outcome isthat everyone who will be impacted by ATP and theCalWIN implementation is identified, involved, andgiven the opportunity to access the tools necessaryto successfully deal with the human issues andindividual experiences that surround change. Thisstrategy includes acknowledgment of staff members’need to grieve due to the end of the current com-puter system and to prepare employees to acceptthe future changes in their roles as a result of thetransition to CalWIN.

Periodic Change Survey

The Periodic Change Survey (PCS) is a tool that 1)identifies change-related challenges and strengthsof the CalWIN implementation and other majoragency initiatives, 2) is a method for assessing anorganization’s readiness for change, and 3) servesas a device for obtaining employee’s views andinput from a large cross-section of an agency. Aseries of focus groups were conducted with targeted

groups and survey participants were asked to rate25 factors based on level of importance in imple-menting change successfully, as well as theagency’s current performance in that area. The RiskWheel assesses an organization’s readiness forchange around 12 identified categories at variouslevels within the organization: vision, value ofchange, transition, executive support, skills capa-bilities, communication, infrastructure, competingresources, motivation, openness to innovation, atti-tude, and benefits of CalWIN. The survey foundthat openness to innovation ranked as the most crit-ical factor, infrastructure was consistently rated as acritical risk factor, and skills and capabilities wereseen as a barrier to change.

Change Leadership Curriculum

A request for proposals (RFP) was released for thedevelopment and design of a curriculum that focus-es on the human issues surrounding change in theworkplace. The development of the RFP was basedon the recognition that the transformation effort willresult in many questions and concerns from staffimpacted directly or indirectly by the changeprocess. Its purpose is to assist SSA staff in recog-nizing and positively embracing the changes thatwill occur with CalWIN. The curriculum is intend-ed to prepare employees to accept the futurechanges their work, roles, and agency culture byproviding valuable tools that will assist them in rec-ognizing endings, managing transitions, andembracing the changes that will occur.

The selected contractor will be requested to designtraining materials, which include a Trainer’sManual, a Participant’s Manual, and Visual Aids.The curriculum designed for staff is entitled“Manage Yourself in Changing Times” and willinclude a 4-hour version and a 1-hour version that

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will be utilized as a refresher course. A separate 7-hour customized curriculum will be developed formanagers and supervisors, entitled “Leading in aChanging Environment.” In addition, the contractorwill instruct the SSA staff development trainers onhow to teach the 4-hour program to the entire SSAstaff. This strategy allows the SSA the ability toincrease their in-house capacity to provide trainingand instill the philosophy of change managementwithin the agency. Although the development andimplementation of this curriculum is a supportiveconcept, the CalWIN team recognizes that carryingout its intent is dependent on the voluntary partici-pation of front line staff and their willingness toembrace and utilize the tools that will be available.

Simulation Laboratory

The CalWIN/ATP Team currently has plans for thedevelopment of a simulation laboratory to assistSSA staff in envisioning how eligibility determina-tion will change with CalWIN. This is an innovativeapproach aimed at providing a safe place for train-ing and experimential learning, and will assist indecreasing staff anxiety and concerns regarding thefunctional changes that will occur with the CalWINsystem. A practice application will be developedand loaded on to computers in a laboratory setting,where staff will be invited to visit and participate ina simulation exercise. This is an interesting andcreative strategy that can be structured to meet sev-eral goals.

I M P L I C AT I O N S F O R S A N M AT E O C O U N T YH U M A N S E R V I C E S A G E N C Y

Over the past year, San Mateo County has beeninvolved in an agency-wide dynamic planningprocess for Outcome-Based Management (OBM).This process integrates planning, priority setting,

performance measurement, and budget develop-ment in order to focus available resources towardspecific outcomes. OBM implementation, alongwith the upcoming planning and implementation ofCalWIN in August, 2003, will produce similarissues in dealing with changes that affect the cur-rent and future business processes of Agency staff.This will result in an increased need to providetimely, accurate communication regarding changesin policies and operating procedures. As the strate-gies to focus on these upcoming challenges contin-ue to develop, San Mateo County may be able todraw upon the experience and perspective of theprocess changes of our neighboring county.

In forecasting the impact of the conversion to theCalWIN system, San Mateo County may have anadvantage due to the fact that the Agency hasincreased staff access to computers and have pro-vided an array of computer skills training over thepast several years. The majority of staff are current-ly using computers in their daily work and operat-ing similar software systems for tracking clientinformation, such as the SMART system.

The following items are presented as recommenda-tions for consideration in San Mateo County:

Conduct an Assessment of OrganizationalReadiness for Change to CalWIN

In order to assess the sentiment of Agency staffregarding the upcoming conversion to the CalWINsystem, the use of data gathering strategies, such assurveys, focus groups, or presentations may serve asa valuable beginning point for identifying possibleareas of concern. These activities will provide anopportunity to begin a dialogue with staff to informthem of the CalWIN project and the possible futurechange in job roles and functions. Staff who may or

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may not be directly impacted by the implementa-tion of CalWIN should be included, and issues thatsurface could be addressed at CalWIN steeringcommittee meetings. The steering committee willalso be able to formulate appropriate responses tothe issues identified in the various settings.

It is recommended that the Agency build upon theexisting work of their internal OrganizationalDevelopment department by incorporating thesestrategies to assess the readiness for change. Bycontinuing to investigate the perspectives of staff,the CalWIN project team will be better equipped todevelop a contingency plan.

Strengthen the Agency’s CommunicationsStrategy

There is currently a diverse range of innovativeAgency projects being planned and implemented inSan Mateo County. In order to maximize the infor-mation available regarding these efforts, it is rec-ommended that an effective communications andoutreach strategy include the creation of a commu-nications team dedicated to spearheading commu-nication for agency-wide projects. These projectscould include Outcome-Based Management,CalWIN, Family Development Credential,Electronic Benefits Transfer, Proposition 36, andIndividual Development Accounts.

San Mateo County currently utilizes a public infor-mation officer to coordinate both internal and exter-nal Agency communication, which includes the dis-tribution of information through the Agencynewsletter, email updates, and website develop-ment. A broader communications team could beutilized to develop an effective communicationsplan to share and circulate information for a broad-er audience. Through this effort, a venue to high-

light innovative approaches and best practices,track the progress of key projects, and offer newlearning opportunities among Agency staff would becreated. This recommendation could be accom-plished within the existing resources in the Agencywith limited fiscal impact. The proposed communi-cations team could include representative staff fromthe different regions in the county and/or key pro-ject staff, who could meet monthly to discuss com-mon strategies and work together to build a clear-inghouse of information for the Agency. The formalcoordination of outreach and marketing materialswill improve efficiency and streamline the process-es for information dissemination.

A C K N O W L E D G E M E N T S

I would like to extend my appreciation to all of themembers of the Santa Clara County Social ServicesAgency’s CalWIN/ATP Team for providing me withthe opportunity to observe and learn about projectmanagement, change processes, operations, andcommunication. Your team strength is what holdsthe puzzle pieces together. Special thanks to ToddPierce, Information Systems Director, for creatingan environment where change is honored and dif-ferences of opinion is acknowledged, “Never a DullMoment”; Welmin Militante, CommunicationsManager, for your guidance and insight into themany facets of communicating to audiences in waysthey will be “absorbed”; and Marlene Vidal,Change Leadership Manager, whose commitment tohonoring each individual’s needs is to be admiredand respected. You have all renewed my commit-ment to redesigning the face of social services byproviding me with another lens to view from.

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Exhibit 1

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Exhibit 2

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