Southwest Educational Development Laboratory Austin, Texas Section C Strategy One: Create A Context for Change

Southwest Educational Development LaboratoryAustin, Texas

Section C

Strategy One:

Create A Context for Change


What Leaders of Successful Change Do

• Strategy One: Create a context for change

• Strategy Two: Develop and articulate a shared vision

• Strategy Three: Plan and provide resources

• Strategy Four: Invest in training and professional development

• Strategy Five: Assess progress

• Strategy Six: Provide continual assistance

Ho. C. 1


Create a Context for Change

Outcome 1: Participants will describe how school context affects the change process.

Outcome 2: Participants will identify elements of context that provide support for change.

Outcome 3: Participants will use Stages of Concern to assess the progress of change in individual

implementers.

Outcome 4: Participants will identify interventions that relate to various concerns.

Ho. C. 2


Examining ContextSchool A – Ms. Williams, a third-grade teacher, reported the following about this school:

In this school, each teacher is mainly concerned with his/her own class. Almost no cooperation or exchange exists among teachers. There is no feeling of unity and community. Teachers do not receive support from one another personally or professionally, with a few exceptions. Staff meetings are formal structures during which announcements are made. There are no structures in place for daily communication among teachers. The relationships between teachers are limited, although several subcultures of teachers who share the same opinion regarding conflicts have developed.

When asked about the goals of the school, teachers speak primarily in the first person “I,” rather than in terms of the team or school as a whole. An emphasis is placed on the work of the individual teacher in his/her classroom. A few teachers state that there is no goal consensus at the school, but express a desire for goal consensus, usually reflecting on some other school where they have taught before. There is no link between the daily activities and the achievement of future goals. Little or no reflection by teachers with respect to possible modifications in current practice for the future occurs.

The principal of School A has little contact with the teachers. She is often not present at school functions. When contacts do take place between the principal and the teachers, they are mostly problematic. She hardly ever visits the classrooms and is ill-informed about what goes on there. The norm is, “If you leave me alone, then I’ll leave you alone as well.” There are few contacts between the principal and the parents or the local community. The principal thinks it is important for everything to run smoothly; however, one reaction from parents can be sufficient cause for her to change things in the school. Problems are viewed as disturbances. Unclear and vague expectations are communicated to the staff. The principal clearly focuses on the administrative aspects of her task. When decisions must be made, she either compromises endlessly to satisfy everyone as much as possible or makes decisions in an authoritative manner without participation of the teachers.

Most teachers in School A are negative about adopting innovations. Activities that do take place are usually isolated initiatives of individual teachers and are not based on reflection. Once in a while, ideas are launched but they are not implemented. The norm is, “Don’t make waves.”

Ho. C. 3a


Examining ContextSchool B–Mr. Villareal, a first-grade teacher, reported the following

about this school:

At School B, isolating oneself in one’s classroom is not typical. To a large extent, teachers are given autonomy in their classrooms, yet to the principal, the definition of “being a teacher” includes teachers as part of a team. Investing in this team and cooperating with colleagues is viewed as the way to improve professionally. The formal character of contacts between teachers illustrates that teachers consider themselves colleagues and not just friends. The norms are, “Together we can do more than alone,” and “What each one of us does should benefit all of us.” However, the individual importance of the teachers is also stressed.

Structures exist in the school that enable professional exchange between teachers. Staff meetings, systematic discussion with grade-level colleagues, steering committees, and other working groups function as a supporting network. Each meeting is well prepared for and well directed. Staff meetings function as a channel of communication where the work of several individuals or groups is communicated, coordinated, and celebrated. The principal is well-read and well-informed about recent developments in research and often talks about these with the staff. Teachers can always call on the principal for help with professional problems. The principal and the staff believe that the school is a place where teachers are learners and that one can become a better teacher by bringing up issues in a professional manner.

Norms such as continuous professional development and hard work are introduced and modeled by the principal; she is the first at school and the last to leave. She expects the same dedication from the teachers. The administration of the school runs smoothly and efficiently without taking too much time and energy away from instructional matters.

The principal makes clear decisions and communicates them to the teachers. She prefers possible conflicts to giving up the school’s non-negotiable focus on students. Teachers in the school have a collective goal orientation. They think in terms of “Who are we?”, “What is the image of our school?”, and “What do we want?” Conflicts between teachers are experienced as opportunities to promote interaction and discussion. Conflicts do not control the school’s functioning. A shared vision of the school exists that relates to both the functioning of the school as a whole and the classroom practice of individual teachers. The goal consensus of the school is clear through the actions of the principal, the school’s plan of activities, written documents, emblems, and slogans. These serve to activate a mechanism of continual reflection on “Why are we doing this this way?” and “Can we do it differently and better?” Teachers are called upon to justify why they want to do something and to describe how it fits into the vision of the school.

The vast majority of teachers agree to participate in innovations, as they are considered a challenge. A significant criterion for choosing innovations is what is good for the pupils. Every teacher in the school must significantly master an innovation before the school moves on to the next priority.

Ho. C. 3b


Factors that Influence Change

Ho. C. 4

School B

School A School BEnvironment

School A People

Physical Surroundings and Structures

Formal Policies and Rules

Resources

Attitudes and Beliefs

Norms

Relationships

Factors


Factors that Influence Change

Ho. C. 5

Environment

Physical Surroundings and Structures

Formal Policies and Rules

Resources

Attitudes and Beliefs

Norms

Relationships

My RelevantPersonal Experience

Factors

People


CHANGE

is a

PROCESS

not an

EVENT

Ho. C. 6


Some Definitions

Concerns: Feelings, reactions,

attitudes—not necessarily anxiety, worry, or fear

Intervention: Action(s) or event(s) which influence a person in implementing change

Ho. C. 7


Concerns-Based Adoption Model (CBAM)

CBAM was developed so that those who facilitate change

might:

• Gain a better understanding of implementation.

• Have tools and techniques to guide and support implementation.

• Add to the probability that implementation would be successful.

Ho. C. 8


Assumptions of the Concerns-Based Adoption Model (CBAM)

Change is:

• ___________________, not event

• Made by ______________ first, then institutions

• Highly _________________ experience

• _____________________ growth in feelings and skills

Interventions must be related to:

• The _________________ first

• The _________________ second

Ho. C. 9


Fuller’s Sequence of Concerns About Teaching

Impact

Task

Self

Unrelated

Ho. C. 10


Create a Context for Change

Stages of Concern:Typical Expressions of Concern about the Innovation

Developed by Research and Development Center for Teacher Education, The University of Texas at Austin.

Available from Southwest Educational Development Laboratory, Austin, Texas.

Ho. C. 11

Stages of Concern Expressions of Concern

6 Refocusing

5 Collaboration

4 Consequence

3 Management

2 Personal

1 Informational

0 Awareness

I have some ideas about something that would work even better.

I am concerned about relatingwhat I am doing to what otherinstructors are doing.

How is my use affecting kids?

I seem to be spending all my timegetting material ready.

How will using it affect me?

I would like to know more about it.

I am not concerned about it (theinnovation).

IMPACT

TASK

SELF


Assessing Concerns

Three Ways:

1. Open-Ended Statements–

2. Interviewing–

3. Concerns Questionnaire–

Ho. C. 12


Example 1

When I think about how this innovation may influence how

others see me as a professional, I wonder whether I want to become

involved in it. I might have very little to say about how the innovation is

implemented or who I would have to work with. I’m just not sure how it

would fit in with the way I enjoy doing things nor do I know how I’d be

expected to change if we really get involved with this innovation.

Ho. C. 13


Example 2

Almost every night, I wonder if I’ll be able to locate and

organize the material I will be using the next day. I can’t yet prevent

surprises that cause a lot of wasted time. I am not yet able to anticipate

what things I will need to requisition for next week. I feel inefficient when I

think about my use of the innovation.

Ho. C. 14


Example 3

Some of the students just don’t seem to be catching on to this

new individualized approach. They seem to need more monitoring, closer

supervision, and fewer distractions. I wonder if my aide might concentrate

more on them as a group and if that might help.

Ho. C. 15


Analysis of Video Interviews

How does the

facilitative leader

start the teacher

talking about

inquiry-oriented

science?

What is the teacher’s

stage of concern?

What intervention

does the facilitative

leader provide to

each teacher?

Developed by Research and Development Center for Teacher Education, The University of Texas at Austin

Available from Southwest Educational Development Laboratory, Austin, Texas

Ho. C. 16

Robert Sue


Suggestions for Interviewing for the Stages of Concerns (SoC)

—To “get at” the user’s attitudes, feelings, reactions, concerns—

Here’s a laundry list of phrases and questions—use those questions or parts of questions that seem most comfortable to you. Substitute the name of the innovation at each point where “innovation” is used in the statement or question.

• Are you aware of the innovation?

• Are you using it?

• I’m interested in anything you’ll share with me about the innovation.

• How do you feel about it?

• Any problems or concerns you may have about it?

• What do you think of it?

• How does it affect you? Others you’re involved with?

• Anything you question or wonder about?

• Your reaction to it?

• Your attitude toward it?

• Do you have any reservations about it?

• Would you like any information about it?



Ho. C. 17


Concerns of Implementers

In your group discuss:

What implications does each stage of concern have for facilitative leaders?

Stage 6: _______________________________

Stage 5: _______________________________

Stage 4: _______________________________

Stage 3: _______________________________

Stage 2: _______________________________

Stage 1: _______________________________

Stage 0: _______________________________

Ho. C. 18




What Leaders of Successful Change Do

It is important for facilitative leaders to know:

• that people have real concerns about any new idea or innovation— concerns that cannot be ignored!

• what those concerns are in order to respond to them appropriately!

Ho. C. 19



Ho. C. 19a

___ ___ ___ ___ ___

Leadership CapacityStaff Survey

This is an assessment of leadership dispositions, knowledge, and skills needed to build leadership capacity inschools and organizations. The items are clustered by the characteristics of schools with high leadership capacity. It may be completed by a school staff member or by a colleague who is familiar with the work of thatstaff member. The survey information is most useful if each staff member completes a survey as a self-assessmentand then asks for an assessment by two colleagues. To the right of each item is a Likert-type scale.

NO = not observed

IP = infrequently performed

FP = frequently performed

CP = consistently performed

CTO = can teach to others

Please circle the rating for each item.

A. Broad-based participation in the work of leadership1. Assists in the establishment of representative

governance and work groups.2. Organizes the school to maximize interactions

among all school and community members.3. Shares authority and resources broadly.4. Engages others in opportunities to lead.

Total numbers

NO IP FP CP CTO

NO IP FP CP CTONO IP FP CP CTONO IP FP CP CTO

B. Skillful participation in the work of leadership5. Models, describes, and demonstrates the following leadership skills:

a. develops shared purpose of learning;b. facilitates group processes;c. communicates (especially listening and

questioning);d. reflects on practice;e. inquires into the questions and issues confronting

your school community;f. collaborates in planning;g. manages conflict among adults;h. problem solves with colleagues and students;i. manages change and transitionsj. uses constructive learning designs for students

and adults.6. Communicates through action and words the

relationship between leadership and learning.

Total numbers

NO IP FP CP CTONO IP FP CP CTO


NO IP FP CP CTONO IP FP CP CTONO IP FP CP CTONO IP FP CP CTONO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

___ ___ ___ ___ ___

Note: NO = not observed; IP = infrequently performed; FP = frequently performed; CP = consistentlyperformed; CTO = can teach to others.

Ho. C. 19b

___ ___ ___ ___ ___

C. Inquiry-based use of information to inform shared decisions and practice

7. Engages with others in a learning cycle (reflection,dialogue, question posing, inquiry, constructionof meaning, planned action).

8. Develops plans and schedules for the creation of shared time for dialogue and reflection.

9. Identifies, discovers, and interprets information and school data/evidence.

10. Designs and implements a communication system thatkeeps all informed and involved in securing and interpreting data.

11. Participates with others in shared governanceprocesses that integrate data into decision making.

Total numbers

NO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

D. Roles and responsibilities that reflect broad involvement and collaboration

12. Own role includes attention to the classroom, theschool, the community, and the profession.

13. Observes and is sensitive to indicators that participants are performing outside traditional roles.Gives feedback to participants regarding the benefitof these changes.

14. Develops strategies for strengthening the newrelationship that will emerge from broadened roles.

15. Develops mutual expectations and strategies for ensuring that participants share responsibility for theimplementation of school community agreements.

Total numbers

NO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

___ ___ ___ ___ ___

E. Reflective practice/innovation as the norm

16. Ensures that the cycle of inquiry and time schedulesinvolve a continuous and ongoing reflective phase.

17. Demonstrates and encourages individual and groupinitiative by providing access to resources, personnel,time, and outside networks.

18. Practices and supports innovation withoutexpectations for early success.

19. Encourages and participates in collaborativeinnovation.

20. Engages with other innovators in developing own criteria for monitoring, assessment, and accountabilityregarding own individual and shared work.

Total numbers


NO IP FP CP CTO

___ ___ ___ ___ ___

NO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

Ho. C. 19c

NO/IP FP/CP



21. Works with members of the school community toestablish challenging and humane expectations and standards.

22. Designs, teaches, coaches, and assesses authenticcurriculum, instruction, and performance-basedassessment processes that ensure that all childrenlearn.

23. Provides systematic feedback to children andfamilies about student progress.

24. Receives feedback about family learning expectations.25. Redesigns roles and structures to enable the school

to develop and sustain resiliency in children (e.g.,teacher as coach/counselor/mentor).

26. Ensures that the learning cycle within the schoolincludes evidence from performance-basedassessment, examination of student word, andresearch.

Total numbers ___ ___ ___ ___ ___

NO IP FP CP CTO

NO IP FP CP CTO


NO IP FP CP CTO

NO IP FP CP CTO

NO IP FP CP CTO

A. Broad-based participation in the work of leadership

B. Skillful participation in the work of leadership

C. Inquiry-based use of information to inform shareddecisions and practices

D. Roles and responsibilities that reflect broadinvolvement and collaboration


F. High student achievement

CTO

Suggestion: Note each area (A-F) in your professional development plans; identify specificdispositions and skills in category or group: NO/IP, FP/CP, and CTO. Suggested learning plan:

• NO/IP areas: Find opportunities to observe these behaviors; participate in specifictraining.

• FP/CP areas: Find more opportunities to demonstrate and practice.• CTO areas: Find opportunities to teach and coach others; participate in formal

governance groups.Source: From Building Leadership Capacity in Schools by Linda Lambert, Alexandria, VA: Association for Supervision and

Curriculum Development. Copyright© 1998 ASCD. Reprinted by permission. All rights reserved.

Ho. C. 20a

5

5

_______ = ___ ___ ___ ___ ___

Leadership CapacityStaff Survey

This school survey is designed to assess the leadership capacity conditions that exist in your school. The itemsare clustered by the characteristics of schools with high leadership capacity. After each staff member has completedthis survey and totaled the results, this information can be presented in a chart that depicts schoolwide needs.Beside each item is a Likert-type scale:

1 = We do not do this in our school.

2 = We are starting to move in this direction.

3 = We are making good progress here.

4 = We have this condition well established.

5 = We are refining our practice in this area.

Circle the most appropriate number

A. Broad-based, skillful participation in the work of leadershipIn our school, we…1. have established representative governance

groups; 2. perform collaborative work in large and small

groups;3. model and demonstrate leadership skills;4. organize for maximum interaction among adults and

children;5. share authority and resources;6. express our leadership by attending to the learning

of the entire school community; 7. engage each other in these opportunities to lead.

TOTAL (add circled numbers, down and then across columns)

1 2 3 4 5

1 2 3 4 51 2 3 4 5

1 2 3 4 51 2 3 4 5

1 2 3 4 51 2 3 4 5

B. Inquiry-based use of information to inform shared decisions and practiceIn our school, we…8. use a learning cycle that involves reflection,

dialogue, inquiry, construction of new meanings and action;

9. make time available for this learning to occur (e.g.,faculty meetings ad hoc groups, and teams);

10. connect our learning cycles to our highest priorities,our teaching and learning purposes;

11. identify, discover, and interpret information anddata/evidence that are used to inform our decisionsand teaching practices;

12. have designed a comprehensive information systemthat keeps everyone informed and involved.

TOTAL (add circled numbers, down and then across columns) _______ = ___ ___ ___ ___ ___

1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

Note: 1 = We do not do this in our school; 2 = We are starting to move in this direction; 3 = We are making good progress here; 4 = We have this condition well established; 5 = We are refining our practice in this area.

Ho. C. 20b

_______ = ___ ___ ___ ___ ___

C. Roles and responsibilities that reflect broad involvement and collaborationIn our school, we…13. have designed our roles to include attention to our

classrooms the school the community, and the profession;

14. are sensitive to indications that we are performingoutside or traditional roles;

15. have developed new ways in which we can worktogether to nurture our relationship with each other;

16. have developed a plan for shared responsibilitiesin the implementation of our decisions and agreements.


1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

D. Reflective practice/innovation as the norm

In our school, we…17. make sure that the learning cycle and time

schedules include times and places for continuousand ongoing reflection;

18. demonstrate and encourage individual and groupinitiative by providing access to resourcespersonnel, and time;

19. have joined with networks of other schools andprograms, both inside and outside the district, to secure feedback on our work;

20. practice and support innovation without unrealisticexpectations of early success;

21. encourage and participate in collaborativeinnovations;

22. develop our own criteria for monitoring,assessment, and accountability regarding ourindividual and shared work.


1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

_______ = ___ ___ ___ ___ ___

E. High student achievementIn our school, we…23. work with members of the school community to

establish challenging and humane expectationsand standards;

24. design, teach, coach, and assess authenticcurriculum, instruction, and performance-based

1 2 3 4 5


Ho. C. 20c

School

E. High student achievement (continued)

assessment processes that insure that all childrenlearn;

25. provide systematic feedback to children andfamilies about student progress;

26. receive feedback from families about studentperformance and school programs;

27. have redesigned roles and structures to developand sustain resiliency in children (e.g., teacher ascoach/advisor/mentor, schoolwide guidanceprograms, community service).

TOTAL (add circled numbers, down and then across columns) _______ = ___ ___ ___ ___ ___


1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

1 2 3 4 5

Comments, perceptions, insights that you want to remember:

School scoring; Add staff totals for each area, A to E. Possible scores can be found by multiplying the numberpossible for each category by the number of staff completing the survey (see column “Possible Scores” in thefollowing table). List the “School Totals” from the following table on chart paper for all to see. The areas thatreceived the lowest numbers are the areas of greatest need. Discuss each area, distinguishing among items in orderto identify areas of growth. Columns 1 and 2 in the survey represent areas of greatest need. Columns 3 and 4represent strengths. Column 5 represents exemplary work as a school with high leadership capacity. Select areas to address in your school planning.

A. Broad-based participation in the work of leadership 35x = ____

B. Inquiry-based use of information to inform shareddecisions and practice 25x = ____

C. Roles and responsibilities that reflect broad involvementand collaboration 20x = ____

D. Reflective practice/innovation as the norm 30x = ____

E. High student achievement 25x = ____

SchoolTotals

PossibleScores

Note: in Column 3, x=no. of staff completing surveySource: From Building Leadership Capacity in Schools by Linda Lambert, Alexandria, VA: Association for Supervision andCurriculum Development. Copyright © 1998 ASCD. Reprinted by permission. All rights reserved.

Documents

Southwest Educational Development Laboratory Austin, Texas Section C Strategy One: Create A Context for Change