Adult Learning and Adult Learning and Change TheoryChange Theory

How To Successfully Implement How To Successfully Implement School Initiatives Using School Initiatives Using

Theories of ChangeTheories of Change

www.ncrel.org/sdrs/areas/issues/www.ncrel.org/sdrs/areas/issues/educatrs/profdevl/pd2fiph.htmeducatrs/profdevl/pd2fiph.htm

What We Have Learned About What We Have Learned About ChangeChange

Change is a process, not an event.Change is a process, not an event. Change is accomplished by individuals.Change is accomplished by individuals. Change is a highly personal experience.Change is a highly personal experience. Change involves developmental growth.Change involves developmental growth. The focus of facilitation should be on The focus of facilitation should be on

individuals, innovations, and the context.individuals, innovations, and the context.

Using CBAM Using CBAM When Planning When Planning

and Implementing and Implementing New PracticesNew Practices

What is CBAM?What is CBAM?

The Concerns-Based Adoption Model The Concerns-Based Adoption Model (CBAM) is a framework and set of (CBAM) is a framework and set of tools for understanding and tools for understanding and managing change in people. managing change in people. Created through a decade of Created through a decade of research and development (Hall & research and development (Hall & Hord, 1987), CBAM has been in use Hord, 1987), CBAM has been in use for more than 25 years now.for more than 25 years now.

Change is an ongoing process, not a Change is an ongoing process, not a short-term event.short-term event.

Change requires ongoing support and resources Change requires ongoing support and resources and it takes time.and it takes time.

Most changes in education take three to five years Most changes in education take three to five years to be implemented at a high level.to be implemented at a high level.

Failure to address key aspects of the change Failure to address key aspects of the change process can either add years to, or even prevent, process can either add years to, or even prevent, successful implementation.successful implementation.

Change occurs in individuals first, Change occurs in individuals first, then in organizations.then in organizations.

Those implementing the change are ready and Those implementing the change are ready and willing to make it a success.willing to make it a success.

The organization is supportive of the change.The organization is supportive of the change.

Coaches need to pay attention to the needs and Coaches need to pay attention to the needs and concerns of individual implementers, as well as concerns of individual implementers, as well as work with the principal to successfully integrate the work with the principal to successfully integrate the change.change.

People go through change at different People go through change at different rates and in different waysrates and in different ways

You can't expect everyone to be ready at the You can't expect everyone to be ready at the same time to implement or even to choose a same time to implement or even to choose a program. Some people need more information to program. Some people need more information to be convinced. Some need more training to feel be convinced. Some need more training to feel prepared. Be aware of individual differences in prepared. Be aware of individual differences in your implementers.your implementers.

Identifying Stages of ConcernIdentifying Stages of Concern

Stages of Stages of ConcernConcern

Expressions of ConcernExpressions of Concern

Stage 6: RefocusingStage 6: Refocusing I have some ideas about something that would I have some ideas about something that would work even better.work even better.

Stage 5: Stage 5: CollaborationCollaboration

I am concerned about relating what I am doing I am concerned about relating what I am doing with what my co-workers are doing.with what my co-workers are doing.

Stage 4: Stage 4: ConsequenceConsequence

How is my use affecting clients?How is my use affecting clients?

Stage 3: ManagementStage 3: Management I seem to be spending all of my time getting I seem to be spending all of my time getting materials ready.materials ready.

Stage 2: PersonalStage 2: Personal How will using it affect me?How will using it affect me?

Stage 1: Stage 1: InformationalInformational

I would like to know more about it.I would like to know more about it.

Stage 0: AwarenessStage 0: Awareness I am not concerned about it.I am not concerned about it.

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Unrelated

Stages of Concern QuestionnaireStages of Concern Questionnaire

SoCQ - 35-item questionnaireSoCQ - 35-item questionnaire Valid and reliable instrumentValid and reliable instrument SoC Quick Scoring DeviceSoC Quick Scoring Device Technical manual to assist in scoring Technical manual to assist in scoring and interpreting informationand interpreting information Capability of developing concern profileCapability of developing concern profile over timeover time Hall & Hord, p. 69; Hall et al., 1979Hall & Hord, p. 69; Hall et al., 1979

Look at the next two slides with a partner.Look at the next two slides with a partner. Where is the teacher on slide 1 on the change Where is the teacher on slide 1 on the change

continuum?continuum? What kind of conversation would help move that What kind of conversation would help move that

teacher?teacher? The chart with two graph lines represent two The chart with two graph lines represent two

different teachers. Discuss the differences in different teachers. Discuss the differences in coaching conversations that would need to take coaching conversations that would need to take place to help both move forwardplace to help both move forward

Share out whole group.Share out whole group.

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Coaches As Change AgentsCoaches As Change Agents

Typical Expressions of Concern about an Innovation

  Stage of ConcernStage of Concern   Expression of ConcernExpression of Concern

  6. Refocusing6. Refocusing   I have some ideas about something that would I have some ideas about something that would work even better.work even better.

  5. Collaboration5. Collaboration   How can I relate what I am doing to what How can I relate what I am doing to what others are doing?others are doing?

  4. Consequence4. Consequence   How is my use affecting learners? How can I How is my use affecting learners? How can I refine it to have more impact?refine it to have more impact?

  3. Management3. Management   I seem to be spending all my time getting I seem to be spending all my time getting materials ready.materials ready.

  2. Personal2. Personal   How will using it affect me?How will using it affect me?

  1. Informational1. Informational   I would like to know more about it.I would like to know more about it.

  0. Awareness0. Awareness   I am not concerned about it.I am not concerned about it.

InterventionsInterventionsStage 6, RefocusingStage 6, Refocusing Respect and encourage teacher interests

Channel their ideas and energies; act on their concerns.

Stage 5, Stage 5, CollaborationCollaboration

Provide opportunities to develop skills needed to work collaboratively Rearrange schedules so people can collaborate

Stage 4, Stage 4, ConsequenceConsequence

Provide positive feedback and needed support Provide opportunities for teachers to share knowledge and skills

Stage 3, Stage 3, ManagementManagement

Answer specific “how to” questions Avoid considering future impact at this time

Stage 2, PersonalStage 2, Personal Address potential personal concerns directly Implement changes progressively over time

Stage 1, Stage 1, InformationalInformational

Provide clear and accurate information Relate changes to current practices

Stage 0, AwarenessStage 0, Awareness Involve teachers in discussion and decisions Give permission not to know

Hall, George, & Rutherford, 1986

Where Are They On the Where Are They On the Continuum of Change?Continuum of Change?

Read the passages on the following Read the passages on the following pages.pages.

Decide where they are with the stages of Decide where they are with the stages of concern by what they are saying.concern by what they are saying.

Discuss your idea with a partner.Discuss your idea with a partner. How would you coach each teacher?How would you coach each teacher? Be ready to support your answer.Be ready to support your answer.

Example 1Example 1

When I think about how this innovation may When I think about how this innovation may influence how others see me as a professional I influence how others see me as a professional I wonder whether I want to become involved in it. I wonder whether I want to become involved in it. I might have very little to say about how the might have very little to say about how the innovation is implemented or who I would have to innovation is implemented or who I would have to work with. I’m just not sure how it would fit in with work with. I’m just not sure how it would fit in with the way I enjoy doing things, nor do I know how the way I enjoy doing things, nor do I know how I’d be expected to change if we really get involved I’d be expected to change if we really get involved with this innovation.with this innovation.

Example 2Example 2

Some of the students just don’t seem to be Some of the students just don’t seem to be catching on to this new individualized approach. catching on to this new individualized approach. They seem to need more monitoring, closer They seem to need more monitoring, closer supervision, and less distractions. I wonder if my supervision, and less distractions. I wonder if my aide might concentrate more on them as a group, aide might concentrate more on them as a group, and if that might help.and if that might help.

Example 3Example 3

Almost every night I wonder if I’ll be able to Almost every night I wonder if I’ll be able to locate and organize the material I will be locate and organize the material I will be using the next day. I can’t yet prevent using the next day. I can’t yet prevent surprises that cause a lot of wasted time. I surprises that cause a lot of wasted time. I am not yet able to anticipate what things I am not yet able to anticipate what things I need to requisition for next week. I feel need to requisition for next week. I feel inefficient when I think about my use of the inefficient when I think about my use of the innovation.innovation.

Many people make the mistake of assuming that Many people make the mistake of assuming that everyone's needs within a group are the same. everyone's needs within a group are the same.

The CBAM model can help you identify differences among The CBAM model can help you identify differences among users and tailor your interventions to their individual needs users and tailor your interventions to their individual needs

and concerns. Here are some examples:and concerns. Here are some examples:

Provide teachers in the awareness stage (Stage 0) with Provide teachers in the awareness stage (Stage 0) with local data that demonstrate the need for prevention in your local data that demonstrate the need for prevention in your school.school.

Address informational concerns (Stage 1) by inviting MSCs Address informational concerns (Stage 1) by inviting MSCs or teachers from other schools to talk about their successful or teachers from other schools to talk about their successful experiences with using prevention programs.experiences with using prevention programs.

Engage in one-on-one discussions with teachers who have Engage in one-on-one discussions with teachers who have personal concerns (Stage 2) to assess their needs. personal concerns (Stage 2) to assess their needs.

Identify differences among users and tailor Identify differences among users and tailor your interventions to their individual needs your interventions to their individual needs

and concerns.and concerns.

Provide “booster” training sessions for teachers who are already Provide “booster” training sessions for teachers who are already implementing the program but who have management concerns implementing the program but who have management concerns (Stage 3).(Stage 3).

Have staff make presentations at local or regional meetings to Have staff make presentations at local or regional meetings to describe the impact of the program in your community (Stage 4).describe the impact of the program in your community (Stage 4).

Provide opportunities for staff who have implemented the Provide opportunities for staff who have implemented the program for a few years to work together (Stage 5) in order to program for a few years to work together (Stage 5) in order to design ways to improve the program (Stage 6).design ways to improve the program (Stage 6).

Have staff work with other middle school staff to discuss how the Have staff work with other middle school staff to discuss how the prevention program might be expanded to the greater school prevention program might be expanded to the greater school community, including parents and staff (Stage 6).community, including parents and staff (Stage 6).

Strategies for Addressing Strategies for Addressing Different Stages of ConcernDifferent Stages of Concern

Stage 0: Awareness ConcernsStage 0: Awareness Concerns    Involve teachers in discussions and decisions about new prevention Involve teachers in discussions and decisions about new prevention

programs.programs.    Provide current data on the need for prevention in the district.Provide current data on the need for prevention in the district.    Share enough information to engage interest but not overwhelm.Share enough information to engage interest but not overwhelm.    Acknowledge that a lack of awareness is expected and that no questions Acknowledge that a lack of awareness is expected and that no questions

about prevention programs are foolish.about prevention programs are foolish.    Encourage unaware people to talk with colleagues who know more about Encourage unaware people to talk with colleagues who know more about

prevention programs.prevention programs.

Stage 1: Informational ConcernsStage 1: Informational Concerns    Provide clear and accurate information about research-based prevention Provide clear and accurate information about research-based prevention

programs.programs.    Share information in a variety of ways (e.g., verbally, in writing, through Share information in a variety of ways (e.g., verbally, in writing, through

any available media). Communicate with both individuals and groups.any available media). Communicate with both individuals and groups.    Have people who have used prevention programs in other school districts Have people who have used prevention programs in other school districts

visit with your advisory team.visit with your advisory team.    Help advisory team members see how the new prevention program Help advisory team members see how the new prevention program

relates to their current practices, highlighting both similarities and relates to their current practices, highlighting both similarities and differences.differences.

Strategies for Addressing Strategies for Addressing Different Stages of Concern Different Stages of Concern (continued)(continued)

Stage 2: Personal ConcernsStage 2: Personal Concerns    Legitimize the existence and provide opportunities for the expression of Legitimize the existence and provide opportunities for the expression of

personal concerns. personal concerns.    Use personal notes and conversations to encourage individuals and Use personal notes and conversations to encourage individuals and

reinforce people's sense of adequacy.reinforce people's sense of adequacy.    Connect advisory team members with others whose personal concerns Connect advisory team members with others whose personal concerns

have diminished and who can be supportive.have diminished and who can be supportive.    Show how the prevention program can be implemented in small steps Show how the prevention program can be implemented in small steps

(e.g., as a pilot) rather than as one big leap. Establish realistic and (e.g., as a pilot) rather than as one big leap. Establish realistic and attainable expectations.attainable expectations.

Stage 3: Management ConcernsStage 3: Management Concerns    Clarify the components of the prevention program and the steps involved Clarify the components of the prevention program and the steps involved

in implementation.in implementation.    Provide training and answers that address the specific "how to" issues that Provide training and answers that address the specific "how to" issues that

often produce management concerns. often produce management concerns.    Demonstrate exact and practical solutions to the logistical problems that Demonstrate exact and practical solutions to the logistical problems that

contribute to these concerns.contribute to these concerns.    Help implementers sequence specific activities and set timelines for their Help implementers sequence specific activities and set timelines for their

accomplishment.accomplishment.

Strategies for Addressing Strategies for Addressing Different Stages of Concern Different Stages of Concern (continued)(continued)

Stage 4: Consequence ConcernsStage 4: Consequence Concerns    Provide implementers with opportunities to visit other schools where the Provide implementers with opportunities to visit other schools where the

prevention program is being used effectively.prevention program is being used effectively.    Encourage implementers to attend conferences or workshops on the Encourage implementers to attend conferences or workshops on the

program.program.    Give individuals positive feedback and support.Give individuals positive feedback and support.    Share information obtained through process or outcome evaluations. Share information obtained through process or outcome evaluations.

Stage 5: Collaboration ConcernsStage 5: Collaboration Concerns    Provide opportunities for individuals with these concerns to develop skills Provide opportunities for individuals with these concerns to develop skills

for working collaboratively.for working collaboratively.    Bring together people, both within and outside the school, who are Bring together people, both within and outside the school, who are

interested in collaboration.interested in collaboration.    Help the collaborators establish reasonable expectations of, and Help the collaborators establish reasonable expectations of, and

guidelines for, the collaborative effort.guidelines for, the collaborative effort.    Encourage collaboration, but don't force it on those who are not interested.Encourage collaboration, but don't force it on those who are not interested.

Strategies for Addressing Strategies for Addressing Different Stages of Concern Different Stages of Concern (continued)(continued)

Stage 6: Refocusing ConcernsStage 6: Refocusing Concerns   Respect and encourage people's interest in finding a Respect and encourage people's interest in finding a

“better” way. “better” way.    Provide information about the core elements of the Provide information about the core elements of the

research-based program (i.e., those elements that must research-based program (i.e., those elements that must be maintained in order to ensure effective outcomes).be maintained in order to ensure effective outcomes).

   Help individuals channel their ideas and energies into Help individuals channel their ideas and energies into productive, rather than counterproductive, activities. productive, rather than counterproductive, activities.

   Encourage people to voice their concerns to you, so Encourage people to voice their concerns to you, so that you can arrive at solutions together. that you can arrive at solutions together.

   Provide individuals with the training and resources they Provide individuals with the training and resources they need to implement the program with fidelity. need to implement the program with fidelity.

   Recognize and accept the fact that some individuals Recognize and accept the fact that some individuals may replace or significantly modify the existing may replace or significantly modify the existing programs.programs.

Comparison of SoC and LoUComparison of SoC and LoU

“ “Stages of ConcernStages of Concern (SoC) addresses the (SoC) addresses the affectiveaffective side of change – people’s reactions, feelings, side of change – people’s reactions, feelings, perceptions, and attitudes.”perceptions, and attitudes.”

“ “Levels of UseLevels of Use (LoU) has to do with behaviors and (LoU) has to do with behaviors and portrays portrays howhow people are acting with respect to people are acting with respect to specified change.” specified change.”

Hall & Hord, p. 81Hall & Hord, p. 81

Levels of UseLevels of Use

Identify if person is a user or Identify if person is a user or

nonuser . . .nonuser . . .

–Three nonuse levelsThree nonuse levels

–Five use levelsFive use levels

Levels of Levels of UseUse

Behaviors Associated with Behaviors Associated with LoULoU

0 Non-Use0 Non-Use No interest shown in the innovation; no action No interest shown in the innovation; no action takentaken

1 Orientation1 Orientation Begins to gather information about the Begins to gather information about the innovationinnovation

2 Preparation2 Preparation Begins to plan ways to implement the Begins to plan ways to implement the innovationinnovation

3 Mechanical3 Mechanical Concerned about mechanics of Concerned about mechanics of implementationimplementation

4A Routine4A Routine Comfortable will innovation and implements it Comfortable will innovation and implements it as taughtas taught

4B 4B RefinementRefinement

Begins to explore ways for continuous Begins to explore ways for continuous improvementimprovement

5 Integration5 Integration Integrates innovation with other initiatives; Integrates innovation with other initiatives; does not view it as an add-on; collaborates does not view it as an add-on; collaborates with otherswith others

6 Renewal6 Renewal Explores new and different ways to Explores new and different ways to implement innovationimplement innovation

Hall & Hord, p. 82

Categories for Levels of UseCategories for Levels of Use

KnowledgeKnowledge Knows about the innovation, how to use it, and Knows about the innovation, how to use it, and consequences of its use.consequences of its use.

Acquiring Acquiring InformationInformation

Solicits information in a variety of ways (e.g., Solicits information in a variety of ways (e.g., resource persons, printed materials, site visits,resource persons, printed materials, site visits,

SharingSharing Collaborates with others (e.g., sharing plans, ideas, Collaborates with others (e.g., sharing plans, ideas, resources, problem solving)resources, problem solving)

AssessingAssessing Examines implementation as well as collecting and Examines implementation as well as collecting and analyzing dataanalyzing data

PlanningPlanning Designs and outlines short- and long-term outcomes Designs and outlines short- and long-term outcomes (i.e., aligns resources, collaborates, schedules (i.e., aligns resources, collaborates, schedules activities)activities)

Status ReportingStatus Reporting Describes personal level of implementationDescribes personal level of implementation

PerformingPerforming Operationalizes the actions and activities of Operationalizes the actions and activities of innovationinnovation

Hall & Hord, p. 90

Example 1Example 1

The teacher has made various attempts to The teacher has made various attempts to get the new science equipment ready for get the new science equipment ready for the next day’s class without too much the next day’s class without too much success. He’s going to experiment with a success. He’s going to experiment with a grocery cart so he doesn’t have to make grocery cart so he doesn’t have to make so many trips around the room.so many trips around the room.

Where Are These Teachers on Where Are These Teachers on the Level of Use Continuum?the Level of Use Continuum?

Look at the examples on the next three Look at the examples on the next three slides.slides.

Decide where the teacher is on the level of Decide where the teacher is on the level of use.use.

Discuss your idea with a partner, and decide Discuss your idea with a partner, and decide what your coaching step would be for each what your coaching step would be for each slide.slide.

Be ready to share whole group.Be ready to share whole group.

Example 2Example 2

Six weeks ago she made up and began to use Six weeks ago she made up and began to use a self-checking system for her spelling a self-checking system for her spelling program, so her pupils who can move more program, so her pupils who can move more rapidly don’t have to wait for her.rapidly don’t have to wait for her.

Example 3Example 3

Her math modules are organized and she Her math modules are organized and she tested them out in class last year. She tested them out in class last year. She will use them just like she did then-they will use them just like she did then-they were quite successful.were quite successful.

Talking PointsTalking Points

Think about teachers in your district implementing new knowledge and skills . . .

• How were the teachers’ levels of use identified?

• How does the teachers’ levels of use impact student

achievement?

ReflectionReflection

33 important things I’ve learned … important things I’ve learned …

22 ideas/thoughts I would like to share with ideas/thoughts I would like to share with

others …others …

11 action I will take immediately is … action I will take immediately is …