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

2. Southwest Educational Development Laboratory Austin, Texas 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 Tp. C. 1

3. Southwest Educational Development Laboratory Austin, Texas 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. Tp. C. 2

4. Southwest Educational Development Laboratory Austin, Texas Factors that Influence Change Tp. C. 3 School B School ASchool B Environment School A People Physical Surroundings and Structures Formal Policies and Rules Resources Attitudes and Beliefs Norms Relationships Factors

5. Southwest Educational Development Laboratory Austin, Texas Factors that Influence Change Tp. C. 4 Environment Physical Surroundings and Structures Formal Policies and Rules Resources Attitudes and Beliefs Norms Relationships My Relevant Personal Experience Factors People

6. Southwest Educational Development Laboratory Austin, Texas CHANGE is a PROCESS not an EVENT Tp. C. 5

7. Southwest Educational Development Laboratory Austin, Texas 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 Tp. C. 6

8. Southwest Educational Development Laboratory Austin, Texas 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. Tp. C. 7

9. Southwest Educational Development Laboratory Austin, Texas Assumptions of the Concerns-Based Adoption Model (CBAM) Tp. C. 8 Change is: Process, not event Made by Individuals first, then institutions Highly Personal experience Developmental growth in feelings and skills Interventions must be related to: The people first The innovation second Developed by Research and Development Center for Teacher Education, The University of Texas at Austin. Available from Southwest Educational Development Laboratory, Austin, Texas.

10. Southwest Educational Development Laboratory Austin, Texas Fuller’s Sequence of Concerns About Teaching Impact Task Self Unrelated Tp. C. 9

11. Southwest Educational Development Laboratory Austin, Texas Create a Context for Change Stages of Concern: Typical Expressions of Concern about the Innovation Tp. C. 10 Stages of Concern Expressions of Concern 6 Refocusing 5 Collaboration 4Consequence 3 Management 2 Personal 1 Informational 0 Awareness I have some ideas about something that would work even better. I am concerned about relating what I am doing to what other instructors are doing. How is my use affecting kids? I seem to be spending all my time getting material ready. How will using it affect me? I would like to know more about it. I am not concerned about it (the innovation). I M P A C T T A S K S E L F Developed by Research and Development Center for Teacher Education, The University of Texas at Austin. Available from Southwest Educational Development Laboratory, Austin, Texas.

12. Southwest Educational Development Laboratory Austin, Texas Assessing Concerns Three Ways: 1. Open-Ended Statements 2. Interviewing 3. Concerns Questionnaire Tp. C. 11

13. Southwest Educational Development Laboratory Austin, Texas Example 1 When I think about how this innovation may influence how others see me (Personal) as a professional, I wonder whether I want to become involved (Personal) 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 (Personal) how it would fit in with the way I enjoy doing things (Personal) nor do I know how I’d be expected to change (Personal) if we really get involved with this innovation. Tp. C. 12

14. Southwest Educational Development Laboratory Austin, Texas Example 2 Almost every night, I wonder if I’ll be able to locate and organize the material (Management) I will be using the next day. I can’t yet prevent surprises (Management) that cause a lot of wasted time (Management). I am not yet able to anticipate (Management) what things I will need to requisition for next week. I feel inefficient (Personal) when I think about my use of the innovation. Tp. C. 13

15. Southwest Educational Development Laboratory Austin, Texas Example 3 Some of the students (Consequence) just don’t seem to be catching on to this new individualized approach. They seem to need (Consequence) more monitoring, closer supervision, and fewer distractions. I wonder if my aide might concentrate more on them (Consequence) as a group and if that might help. Tp. C. 14

16. Southwest Educational Development Laboratory Austin, Texas Analysis of Video Interviews Developed by Research and Development Center for Teacher Education, The University of Texas at Austin. Available from Southwest Educational Development Laboratory, Austin, Texas. Tp. C. 15 SueRobert 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?

17. Southwest Educational Development Laboratory Austin, Texas 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? Developed by Research and Development Center for Teacher Education, The University of Texas at Austin. Available from Southwest Educational Development Laboratory, Austin, Texas. Tp. C. 16

18. Southwest Educational Development Laboratory Austin, Texas 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: _______________________________ Tp. C. 17 Developed by Research and Development Center for Teacher Education, The University of Texas at Austin. Available from Southwest Educational Development Laboratory, Austin, Texas.

19. Southwest Educational Development Laboratory Austin, Texas 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! Tp. C. 18 Developed by Research and Development Center for Teacher Education, The University of Texas at Austin. Available from Southwest Educational Development Laboratory, Austin, Texas.

20. Tp. C. 19a _______________ Leadership Capacity Staff Survey This is an assessment of leadership dispositions, knowledge, and skills needed to build leadership capacity in schools 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 that staff member. The survey information is most useful if each staff member completes a survey as a self-assessment and 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 leadership 1.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 NOIPFPCPCTO B. Skillful participation in the work of leadership 5.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 transitions j.uses constructive learning designs for students and adults. 6.Communicates through action and words the relationship between leadership and learning. Total numbers NOIPFPCPCTO _______________ Note: NO = not observed; IP = infrequently performed; FP = frequently performed; CP = consistently performed; CTO = can teach to others.

21. Tp. 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, construction of 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 that keeps all informed and involved in securing and interpreting data. 11.Participates with others in shared governance processes that integrate data into decision making. Total numbers NOIPFPCPCTO D.Roles and responsibilities that reflect broad involvement and collaboration 12.Own role includes attention to the classroom, the school, 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 benefit of these changes. 14.Develops strategies for strengthening the new relationship that will emerge from broadened roles. 15.Develops mutual expectations and strategies for ensuring that participants share responsibility for the implementation of school community agreements. Total numbers NOIPFPCPCTO _______________ E.Reflective practice/innovation as the norm 16.Ensures that the cycle of inquiry and time schedules involve a continuous and ongoing reflective phase. 17.Demonstrates and encourages individual and group initiative by providing access to resources, personnel, time, and outside networks. 18.Practices and supports innovation without expectations for early success. 19.Encourages and participates in collaborative innovation. 20.Engages with other innovators in developing own criteria for monitoring, assessment, and accountability regarding own individual and shared work. Total numbers Note: NO = not observed; IP = infrequently performed; FP = frequently performed; CP = consistently performed; CTO = can teach to others. NOIPFPCPCTO _______________ NOIPFPCPCTO

22. Tp. C. 19c NO/IP FP/CP Note: NO = not observed; IP = infrequently performed; FP = frequently performed; CP = consistently performed; CTO = can teach to others. E.Reflective practice/innovation as the norm 21.Works with members of the school community to establish challenging and humane expectations and standards. 22.Designs, teaches, coaches, and assesses authentic curriculum, instruction, and performance-based assessment processes that ensure that all children learn. 23.Provides systematic feedback to children and families 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 school includes evidence from performance-based assessment, examination of student word, and research. Total numbers _______________ NOIPFPCPCTO 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 shared decisions and practices D.Roles and responsibilities that reflect broad involvement and collaboration E.Reflective practice/innovation as the norm F.High student achievement CTO Suggestion: Note each area (A-F) in your professional development plans; identify specific dispositions 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 specific training. 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.

23. Tp. C. 20a 5 5 _______ =_______________ Leadership Capacity Staff Survey This school survey is designed to assess the leadership capacity conditions that exist in your school. The items are clustered by the characteristics of schools with high leadership capacity. After each staff member has completed this 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 leadership In 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) 1234512345 1234512345 1234512345 1234512345 1234512345 1234512345 1234512345 B.Inquiry-based use of information to inform shared decisions and practice In 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 and data/evidence that are used to inform our decisions and teaching practices; 12.have designed a comprehensive information system that keeps everyone informed and involved. TOTAL (add circled numbers, down and then across columns) _______ =_______________ 1234512345 1234512345 1234512345 1234512345 1234512345 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.

24. Tp. C. 20b _______ =_______________ C.Roles and responsibilities that reflect broad involvement and collaboration In 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 performing outside or traditional roles; 15.have developed new ways in which we can work together to nurture our relationship with each other; 16.have developed a plan for shared responsibilities in the implementation of our decisions and agreements. TOTAL (add circled numbers, down and then across columns) 1234512345 1234512345 1234512345 1234512345 1234512345 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 continuous and ongoing reflection; 18.demonstrate and encourage individual and group initiative by providing access to resources personnel, and time; 19.have joined with networks of other schools and programs, both inside and outside the district, to secure feedback on our work; 20.practice and support innovation without unrealistic expectations of early success; 21.encourage and participate in collaborative innovations; 22.develop our own criteria for monitoring, assessment, and accountability regarding our individual and shared work. TOTAL (add circled numbers, down and then across columns) 1234512345 1234512345 1234512345 1234512345 1234512345 _______ =_______________ E.High student achievement In our school, we… 23.work with members of the school community to establish challenging and humane expectations and standards; 24.design, teach, coach, and assess authentic curriculum, instruction, and performance-based 1234512345 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.

25. Tp. C. 20c School E.High student achievement (continued) assessment processes that insure that all children learn; 25.provide systematic feedback to children and families about student progress; 26.receive feedback from families about student performance and school programs; 27.have redesigned roles and structures to develop and sustain resiliency in children (e.g., teacher as coach/advisor/mentor, schoolwide guidance programs, community service). TOTAL (add circled numbers, down and then across columns) _______ =_______________ 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. 1234512345 1234512345 1234512345 1234512345 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 number possible for each category by the number of staff completing the survey (see column “Possible Scores” in the following table). List the “School Totals” from the following table on chart paper for all to see. The areas that received the lowest numbers are the areas of greatest need. Discuss each area, distinguishing among items in order to identify areas of growth. Columns 1 and 2 in the survey represent areas of greatest need. Columns 3 and 4 represent 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 shared decisions and practice 25x = ____ C.Roles and responsibilities that reflect broad involvement and collaboration 20x = ____ D.Reflective practice/innovation as the norm 30x = ____ E.High student achievement 25x = ____ School Totals Possible Scores Note: in Column 3, x=no. of staff completing survey 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.