Implementing Change : Patterns, Principles, and Potholes

by Hall, Gene E.; Hord, Shirley M., Ph.D.

• ISBN13: 9780137010271
• ISBN10: 0137010273
• Edition: 3rd
• Format: Paperback
• Copyright: 2010-07-12
• Publisher: Pearson

Summary

A research-based guide for educators to the practical methods of understanding, evaluating and facilitating the change process.

Significantly revised based on student and instructor feedback, the new third edition of Implementing Change continues to examine the ways in which change processes are experienced by those "on the ground" while adding new features, new material and the most current research. Based primarily on the Concerns Based Adoption Model (CBAM), this user-friendly text focuses on introducing constructs that can be used by those engaged in facilitating change processes as well as those who are evaluating and studying change.

Rather than maintaining a bird’s eye view of change processes, each chapter introduces a research-based, research-verified construct about change that captures the complexity of implementing change and the diversity of reactions to it. With a stress on pedagogical aids, each chapter incorporates practical examples, sample research, case studies, reflection questions and examples of common roadblocks to change.

"I use this book because of its coverage of the skills required to make change happen." - Martha Burger, Midwestern State University

"The book should be required reading for all educators as each will be personally and professionally involved in a wide variety of change initiatives throughout their careers." -Christopher J. Quinn, Azusa Pacific University

Author Biography

Gene Hall has over thirty years of experience studying the change process in schools, higher education, businesses, and governments.  He has been a faculty member and administrator at four universities and is on the author team of Foundations of American Education (Allyn & Bacon, 2011), and The Joy of Teaching (Allyn & Bacon, 2008).  He has conducted many studies of change processes, program evaluations and implementation assessments.  He also serves regularly as a change process coach for leaders and aspiring leaders.

Table of Contents

Preface

Foreword by Stephanie Hirsch

 

Dedication

Part I The Context for Implementing Change

Chapter 1 Implementing Change: Patterns, Principles and Lessons Learned 

WHY A BOOK ON “IMPLEMENTING CHANGE?”

Focus Questions

Principles of Change

Change Principle 1: Change Is Learning–It’s as Simple and Complicated as That

Change Principle 2: Change is a Process, Not an Event

Change Principle 3: The School is the Primary Unit for Change

Change Principle 4: Organizations Adopt Change–Individuals Implement Change

Change Principle 5: Interventions Are the Key to the Success of the Change Process

Change Principle 6: Appropriate Interventions Reduce Resistance to Change

Change Principle 7: Administrator Leadership Is Essential to Long-Term Change Success

Change Principle 8: Facilitating Change Is a Team Effort

Change Principle 9: Mandates Can Work

Change Principle 10: The Context Influences the Process of Learning and Change
Summary 

DISCUSSION QUESTIONS

FIELDWORK ACTIVITIES

CONDUCT A STUDY

ADDITIONAL READINGS/RESOURCES

 

Chapter 2 Developing Professional Learning Communities: A Powerful Context for Change
Focus Questions
ORIGINS OF ORGANIZATIONAL CULTURE AND PROFESSIONAL LEARNING COMMUNITY
Five Disciplines
Seventeen Factors
The PLC Context and Culture
Dimensions of a Professional Learning Community    

Shared Values and Vision

Intentional Learning and Application

Supportive and Shared Leadership

Supportive Conditions

Physical Conditions

People Capacities

Shared Personal Practice

Structure of the PLC Dimensions

Who Is the Professional Learning Community?

Benefits of a Professional Learning CommunitySchools

Leadership Teams
University   

Schools

Leadership AND INTERACTION in a Professional Learning Community
Collegial Learning
Sharing Responsibilities
Using Conversations
Types of Leadership
Other Leadership Ideas to Be Considered
Strategies for Facilitating a PROFESSIONAL LEARNING Culture
Our Closing Pitch
Summary    

DISCUSSION QUESTIONS

FIELDWORK ACTIVITIES

CONDUCT A STUDY

ADDITIONAL READINGS/RESOURCES

Assessment Instrument
Recent Books

 

Part II Tools and Techniques for Understanding Implementation at the Individual Level

Chapter 3

Clarifying the Change:  Innovation Configurations

Focus Questions

The Change: What it is and is Not

Innovation Adaptation

Innovation Configurations as a Concept

Mapping Innovation Configurations

Innovation Configuration Maps 

IC Map Components

Developing Clear Word-Picture Descriptions

Indicating Ranges of Quality and Fidelit

Student Roles in IC Maps

Other Roles in IC Maps

More Complex and Richer IC Map Components

The Process of Developing an IC Map       

IC Map Components

Innovation Configurations: Applications and Implications

Using IC Maps to Facilitate Change

Using IC Maps in Research, Evaluation, and Implementation Assessments

The Fidelity Enigma

Summary

DISCUSSION QUESTIONS

FIELDWORK ACTIVITIES

CONDUCT A STUDY

ADDITIONAL READINGS/RESOURCES

 

CHAPTER 4 Understanding Feelings and Perceptions about Change: Stages of Concern (SoC)

Focus Questions

The Personal Side of Change

Different Types of Concerns have been Identified

Fuller’s Unrelated, Self, Task, and Impact Concerns

Connecting Concerns to Teacher Education

Concerns and the Change Process

Identifying the Stages of Concern

Why Are They Called “Stages” of Concern?

Can There Be Concerns at More than One Stage?

Are There Typical Concern Profiles?

Techniques for Assessing Stages of Concern

The One-Legged Interview (OLI)

The Open-Ended Statement

The Stages of Concern Questionnaire

Change Facilitator SoCQ

Characteristic Stages of Concern Profiles

The “Big W” Concerns Profile

Implications of Resistance in Stages of Concern Profiles

SUMMARY

Discussion Questions

Fieldwork Activities

Conduct a Study

Additional Readings

 

Chapter 5 Exploring the Use of Innovations: Levels of Use
Focus Questions

The Levels of Use Concept

Nonusers

Level of Use 0 Nonuse

Level of Use I Orientation

Level of Use II Preparation

Level of Use 0 Nonuse

Level of Use III Mechanical                

Level of Use IVA Routine

Level of Use IVB Refinement

Level of Use V Integration
Level of Use VI Renewal

Level of Use
Assessing an Individual’s Level of Use
The LoU Branching Interview
The LoU Focused Interview    

Knowledge

Acquiring Information

Sharing

Assessing

Planning

Status Reporting

Performing

Applying Levels of Use

Facilitation of Change

Motivation for Movement in LoU

Evaluation of Change

Sidelights about LoU

Summary    

DISCUSSION QUESTIONS

FIELDWORK ACTIVITIES

CONDUCT A STUDY

ADDITIONAL READINGS/RESOURCES

 

Part  III The Imperative for Leadership in Change
Chapter 6 Defining leaders and the Differences They make: Change Facilitator Style

Focus Questions

The History of Research on Leaders and Leadership

The Legacy of Research on Leadership

Discovering in an Implementation Study that School Leaders were making a Difference

Implementation Data that were a Mystery

What would explain the differences?

Principal Leadership is the Key

The Concept of Change Facilitator Style

Three Change Facilitator Styles

Initiator Change Facilitators

Manager Change Facilitators

Responder Change Facilitators

Discussion and Implications of Change Facilitator Style

A Continuum of Change Facilitator Styles

Metaphors for Change Facilitator Styles

Additional Research and Support for Change Facilitator Styles

Research Findings: Intervention Behaviors of each CF Style Principal

Research Findings:  Relating Change Facilitator Style to Teacher Success in Implementing Innovations

Research Findings: Relationships of Principal CF Style to Student Learning

Underlying Dimensions and Measurement of Change Facilitator Style

Six Dimensions of Change Facilitator Style

Concern for People

Social/Informal

Formal Meaningful

Organizational Efficiency

Trust in Others

Administrative Efficiency

Strategic Sense

Day-to-Day

Vision and Planning

Measuring Change Facilitator Style with the CFSQ

IDEAS, IMPLICATIONS AND REFLECTIONS ABOUT CHANGE FACILITATOR

Change Facilitator Style as a Heuristic

Working with Different Change Facilitator Styles

Working with Initiators

Working with Responders

Working with Managers

Summary

Discussion Questions

Fieldwork Activities

Conduct a Study

 

Chapter 7 Describing What Change Facilitators Do: Interventions

Focus Questions

Intervention Definition

Intervention Delivery

Six Functions of Interventions

Function I: Developing, Articulating, and Communicating a Shared Vision of the Intended Change

Function II: Planning and Providing Resources

Function III: Investing in Professional Learning

Function IV: Checking on Progress

Function V: Providing Continuous Assistance

Function VI: Creating a Context Supportive of Change

Additional Kinds of Interventions

Communicating Externally

Disseminating Information

Sizes of Interventions

Policies

Game Plan Components

Strategies

Tactics

Incidents

Isolated Incident
Simple Incident
Chain Incident
Repeated Incident
Complex Incident

Isolated Incident

The Anatomy of Interventions

Source

Target

Function

Summary    203

DISCUSSION QUESTIONS

FIELDWORK ACTIVITIES

CONDUCT A STUDY

Additional READINGS/RESOURCES

 

Chapter 8 The construction of Understanding: Intervention Mushrooms

Focus Questions

Introducing Mushrooms: A Unique Form of Intervention

Two Ways of Knowing: Objectivist and Interpretivist

The Objectivist Perspective of Change

The Interpretivist Perspective of Change

Intervention Mushrooms Are Constructed

Recognizing the Theme of a Mushroom

The Life Cycle of Intervention Mushrooms

The Birth of a Mushroom

The Growth of a Mushroom

The Maturing of a Mushroom

Keys to the Construction of Intervention Mushrooms

Stages of Concern as a Source of Mushrooms

Personal Concerns: A Significant Source of Negative Mushrooms

Intervening on Insecurity Mushrooms

Impact Concerns: A Significant Source of Positive Mushrooms

Levels of Use as a Rubric for Developing Understanding of Mushrooms

Levels of Use from a Constructivist Perspective

LoU-Based Mushrooms

Change Facilitator Style and Mushrooms

Different Change Facilitator Styles Have Different Meanings

Initiator CF Style: The meaning within a question

Manager CF Style: The Meaning within a Question

Responder CF Style: The Meaning within a Question

Keys to Detecting Mushrooms

Positive Mushroom Growth can be Encouraged

Intervening on Positive Mushrooms

Mushroom Detection by Change Facilitator Style

Initiator CF Style Leaders are Early Detectors

Responder CF Style: Respond to Some of the Individual Actions

Manager CF Style: Keep Things Evened Out

Evergreen Mushrooms

Sometimes Doing Nothing is Best

Summary

Discussion Questions

Fieldwork Activities

Conduct a Study

Additional Readings

 

Part  IV Different Perspectives for Understanding the Big Picture of Change

CHAPTER 9 Systems Thinking: Interconnections of Parts That Make a Whole

Focus Questions

Familiar Names in Systems Thinking

Going Deeper to Examine a Systems View

Components of the Educational System

Components of Systems in Change

Characteristics of Systemic Policy

Elements of Systemic Reform

Working Systemically in Schools

Components

Levels

Competencies

The Cube

Competencies from Other Writers

Effects of Working Systemically

Outcomes for Educators

Results for Students

Facilitators and Barriers to Working Systemically

Facilitators of the Change

Barriers to the Change Process

Limitations of Working Systemically

Summary

DISC

DISCUSSION QUESTIONS

FIELDWORK ACTIVITIES

CONDUCT A STUDY

Additional READINGS/RESOURCES    

 

Chapter 10 Diffusion
Communication and Change Agents

Focus Questions

Communication

Within the Lines and Networks?

Components of Interpersonal Communication

Understanding Communication Networks

Implications of Communication Networks for Facilitating Change

Communication of Innovations: Who is Doing What?

Communication Elements: Sources, Targets, and Media

Sources of Communication

Targets of Communication

Media in Communication

Purpose of Communication

Coding Communication Actions in General

Implications of Coding Communications for Facilitating Change

Characteristics of Adopters

Five Adopter Categories

Innovators are Excited About Trying Something New

Early Adopters Think before Adopting

Early Majority are Careful

Late Majority are Cautious

Laggards Resist the New

There is a predictable Pattern to the flow of information across adopter categories

Opinion Leaders

Communicating across Adopter Categories

There is a Predictable Pattern to the Rate of Innovation Adoptions

The S Curve Explains it all

Critical Mass Signifies an Important Point 

Implications of Adopter Categories for Facilitating Change

Other Diffusion Constructs: Perceptions of the Innovation and Characteristics of Change Agents

Perceived Attributes of the Innovation

Relative Advantage

Compatibilty

Complexity

Trialability

Observability

Addressing Perceived Attributes of the Innovation

The Role of Change Agents

Summary

Discussion Questions

Fieldwork Activities

Conduct a Study

Chapter 11 Organization Development

Team Building, Action Research and Process Consultants

Focus Questions

What Is OD?

OD Definitions across the Decades

Training and Planning

Changing OD Definitions 

OD Intervention Tools and Techniques

Survey Feedback 

Exercises 

Building Consensus

Team Functioning

OD Exercises are Job Context Free

Finding and Sharing OD Exercises

Team/group and Individual Process Skills

Team Decision Making 

Brainstorming

Developing Consensus

Problem Solving

Force-Field Analysis

Meeting Skills

Individual Team Member Process Skills

Using OD to Change Whole Organizations

Assessing and Developing Climate/Culture

Organizational Climate Defined

Climate versus Culture

Interviewing to Assess Organization Culture

Examples of Organization Culture

Comparing Measurement of Climate and Culture

Strategic Planning

Making Strategic Planning Real

Providing Indicators/Evidence is Important

Action Research

OD Process Consultants

OD Consultants at Work

Planned Change Steps

OD Consultant Issues

Summary

Discussion Questions

Fieldwork Activities

Conduct a Study

Additional Reaings

 

Part  V Combining Views and Tools
Chapter 12 Implementing Change: Assessing and Facilitating the Process from Individuals to Whole Systems

Focus Questions

Units of change range from the very large to the very small

The System as the Unit of Change

An Organization as the Unit of Change

Teams or Divisions as the Unit of Change

The Individual as the Unit of Change

The Change Perspective of the Concerns Based Adoption Model (CBAM)

CBAM Addresses the Individual

CBAM Addresses Teams and Groups

SoC Whole Group Profiles: Lap Top Computers for Teachers

SoC Subgroup Profiles

The Implementation Bridge: Using LoU and IC to Assess Change Progress

A School District Superintendent Wants to Know

Assessing Implementation

Action Research Can Happen

Two Snap Shots are Better than One

LoU is One Indicator

Another Indicator: Innovation Configurations

Fidelity of Implementation

Fidelity of Implementation of a Mathematics Innovation

The Bottom Line Question: What is the relationship between Extent of Implementation and Outcomes?

Which Research Design is Best?

Problems with Treatment-Control Group Designs

Comparing Degrees of Implementation

Leadership is a Very Important Factor 

Relationships between CF Style and Student Outcomes

Principal CF Style and Student Test Scores 

A Summary Systemic Framework 

Principal CF Style and School Organization Culture

Final Reflections about Implementing Change

Ethical Issues in Facilitating Change

Understanding the Constructs

Responsible Use

Support at All Levels of the Organization

What about the Ethics of Change Agentry?

Ethical Behavior From a Concerns-Based Perspective

Wrong Interventions

Deliberate Manipulation

Continue Asking the Ethics Question

Summary

Discussion Questions

Fieldwork Activities

Conduct a Study

Additional ReaDings

Appendices

Appendix 1 Stages of Concern Questionnaire (Form 075)

Appendix 2 SoCQ Scoring Devise

Appendix 3 Levels of Use of the Innovation (operational definitions)

Appendix 4 Six Dimensions of Change Facilitator Style

Appendix 5 Change Facilitator Style Questionnaire (CFSQ)

Appendix 6 Change Facilitator Style Scoring Devise