Implementing Change: Patterns, Principles, and Potholes / Edition 3

Implementing Change: Patterns, Principles, and Potholes / Edition 3

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Implementing Change: Patterns, Principles, and Potholes / Edition 3

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.

Product Details

ISBN-13: 9780137010271
Publisher: Pearson
Publication date: 07/26/2010
Edition description: Older Edition
Pages: 352
Product dimensions: 6.90(w) x 9.10(h) x 0.70(d)

About the Author

About the Authors

Gene E. Hall, Ph.D. , School of Environmental and Public Affairs, University of Nevada, Las Vegas, has been a full professor at four universities and served as the Dean of the College of Education at two universities. Dr. Hall is internationally recognized for his career-long focus on developing new understandings about the change process in organization settings. He regularly serves as a consultant for schools, school districts, businesses, and state leaders on the implementation of various innovations and change processes from a Concerns-Based perspective. In addition to his work in the United States, he regularly collaborates with colleagues in other countries and serves on doctoral committees in relation to facilitating, evaluating, and studying change processes. His more recent research has examined relationships between Change Facilitator Style of leaders and outcomes such as increases in student learning. Dr. Hall has had a parallel academic career in regard to innovation in and national accreditation of teacher education. He is a co-author of The Foundations of American Education (Pearson) now in its 16th edition, and the lead author of Introduction to Teaching: Making a Difference in Student Learning (SAGE).

Shirley M. Hord, Ph.D. was the first Scholar Emerita at the Southwest Educational Development Laboratory, and is currently Scholar Laureate, in association with Learning Forward (previously, National Staff Development Council). She authors articles and books on school-based professional development, school change and improvement, and professional learning communities. A sampling of her publications are Implementing Change: Patterns, Principles, and Potholes with Gene Hall; Learning Together, Leading Together: Changing Schools Through Professional Learning Communities, Teachers College Press (2004); with Patricia Roy, Moving NSDC’s Staff Development Standards Into Practice: Innovation Configurations, National Staff Development Council (2003); Leading Professional Learning Communities:Voices from Research and Practice, Corwin Press (2008); and with Edward Tobia, Reclaiming Our Teaching Profession: The Power of Learning in Community, Teachers College Press (2012). In addition to working with educators at all levels across the United States, Canada, and Mexico, Dr. Hord serves as an educational consultant worldwide, in Asia, Europe, Australia, and Africa.

Table of Contents


Foreword by Stephanie Hirsch


Part I The Context for Implementing Change

Chapter 1 Implementing Change: Patterns, Principles and Lessons Learned


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





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


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





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






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


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


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


Acquiring Information




Status Reporting


Applying Levels of Use

Facilitation of Change

Motivation for Movement in LoU

Evaluation of Change

Sidelights about LoU






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


Formal Meaningful

Organizational Efficiency

Trust in Others

Administrative Efficiency

Strategic Sense


Vision and Planning

Measuring Change Facilitator Style with the CFSQ


Change Facilitator Style as a Heuristic

Working with Different Change Facilitator Styles

Working with Initiators

Working with Responders

Working with Managers


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


Game Plan Components




Isolated Incident Simple Incident Chain Incident Repeated Incident Complex Incident

Isolated Incident

The Anatomy of Interventions




Summary 203





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


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




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







Chapter 10 Diffusion
Communication and Change Agents

Focus Questions


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





Addressing Perceived Attributes of the Innovation

The Role of Change Agents


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


Building Consensus

Team Functioning

OD Exercises are Job Context Free

Finding and Sharing OD Exercises

Team/group and Individual Process Skills

Team Decision Making


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


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


Discussion Questions

Fieldwork Activities

Conduct a Study

Additional ReaDings


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

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Implementing Change 4 out of 5 based on 0 ratings. 1 reviews.
BookDilettante More than 1 year ago
Great asset for those who's position requires them to lead a process change or for those interested in the subject.