Heading: MANAGEMENT OF CHANGE AND INNOVATION IN EDUCATION

UNIT 1 THE NATURE AND SOURCES OF CHANGE IN EDUCATION

UNIT 1
THE NATURE AND SOURCES OF CHANGE IN EDUCATION
INTRODUCTION
The management of change is characterized by tensions: tensions between desired change and imposed;
between systematic planning and evolutionary change. It can always be guaranteed to cues a great deal
upset and disturbance in school system. This is not always a bad thing if it is well managed; but what is
the best way to manage change? Is there in fact one best way, or should it depend on our circumstances?
Where do we begin? According to Gassett (1997) we need to start by attempting to understand as much
as possible about the process of change in order to have a fair chance of managing it effectively.
Understanding the meanings of change, innovation and reform would perhaps be a good starting point.
The purpose of this unit is to help you begin developing your understanding about the key meanings of
change, innovation and reform. Understanding the sources of change is the most important issue in the
process of managing change. The unit also presents the type of changes that take place in schools.
1.1. The meanings of Change, Innovation and Reform
In everyday usage the words change and innovation are often used interchangeably. Identifying their
differences would perhaps be the best beginning point for this discussion.
"Change" in its ordinary dictionary meaning means the "action or an instance of making or becoming
different.” Several authorities have also defined "change" in the technical context. Havelock and
Huberman (1977:32) state “Change is any event or action, which alters the level of completeness or
equilibrium with it may be the action moving towards equilibrium or it may be building or destroying.”
Huberman (1975) further indicates that "When educators write of 'change', they mean simply that
something has happened between some original time T1 and some later time T2 in the structure of the
school system in any of its processes or in its goals or purposes."
Thus change may be understood to mean any alteration or variation (positive or negative) in something
between two points of time.
Innovation, on the other hand, is seen as being something which is essentially new rather than reordering
of something which already exists into a new pattern. While the terms change and innovation are used
synonymously every change should not be regarded as innovation. This implies that an innovation must
be directed to an improvement towards a predetermined objective and always presupposes one or more
qualitative criteria such as a change in the culture of the school, which may likely change the authority
relationships, communication networks, status groupings, and even friendship cliques.
Miles (1964:14) emphasizes 'deliberate planning' and ‘improvement of performance' as characteristics of
innovation when he defines an innovation as a deliberate, novel, specific change which is thought to be
more efficacious in accomplishing the goals of a system.
The emphasis on the qualitative aspect of innovation implies that it is not introduced simply for its own
sake, rather made with the intention of promoting improvements in the aspect concerned and having
regard to the close interdependence of all such aspects and the system as a whole. (Noel, 1974:29) says
that an innovation is not necessarily something new and Miles refers to a recombination of parts, while
Owen reflects the notion that an innovation can be merely a re-arrangement of old components. Rogers
and Shoemaker (1971) also offer the following definition:
An innovation is an idea, practice, or object perceived as new by an individual. It matters
little so far as human behavior is concerned, whether or not an idea is 'objectively' new as
measured by the lapse of time since its first use or discovery. It is the perceived or

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subjective newness of the idea for the individual that determines his reaction to it. If the
idea seems new to the individual, it is an innovation.
This observation is about innovation in all fields, but it is particularly relevant to educational innovations
which frequently require teachers to change attitudes, relationships and roles. In most cases shortage of
educational innovations does not seem to be a problem. The difficulties arise mostly in the
implementation rather than the creation and this will depend on the experience of the individuals or
groups concerned.
If we bring together the elements of the definitions above we can arrive at the following conclusions
regarding innovation:
 An innovation is an idea, object or practice perceived as new by an individual or
individuals.
 It is intended to bring about improvement in relation to desired objectives
 It is deliberate, willed and planned rather than occurring spontaneously.
 It is a purposeful process and in most cases a one-shot operation
At this point it would be useful to make a distinction between two concepts often confused in the
literature on educational change: innovation and reform. We have seen the various definitions of
innovation. How does it differ from reform?
Reform is a particular type of change, a form which implies a planned strategy for the alteration of some
aspects of the educational system of a country according to a set of specified needs, planned outcomes
and ways and means for attaining them. This phenomenon which occurs in very different setting and can
have equally different objectives and processes for achieving them. For these reasons: any definitions of
educational reforms tend to be broad in scope.
Simons (in Paulston, 1976: 1) states that educational reforms are:
Those changes in educational policy which cause major changes in either educational
budget, the slope of the pyramid of school environment, or the effect of education
investment on individual and social development. Kluchnikov (1977:29) suggest that
educational reform is “an integral part of the social transformation and comprise
major changes in educational policies, involving the major changes in a nation's
educational objectives, normative and structures.”
These definitions suggest that educational reform is a state-wide phenomenon which may very well have
repercussions beyond the educational system itself. The idea of educational reform, to be linked to
broader ideas of societal change or, at least, of better systems maintenance at a societal level
As discussed above, reform is to be understood in the context of the entire educational system.
Furthermore, it is generally initiated from the decision-making center of the educational system. On the
other hand, educational innovations are seen in a more limited context as more isolated attempts at
improving or changing selected aspect of the educational process. One of the more revealing and
interesting indicators of the distinction between educational reform and innovation is to be found in the
literature on the two subjects. At theoretical level, educational reform is linked with abundant references
to general social and economic theories which are often well integrated into the theory and presentation
and educational reforms.
For instance, in most of the cases, the major criteria for initiating and, or evaluating an educational
reform are stated in economic (rate of return, human capital, or resource development) or social
(reduction of inequalities, cultural development, improving the link between schooling and the world of
work) terms. In other words, the concepts used in explaining educational reforms take very large
account of factors external to the educational system and processes. In fact some writers indicate that

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educational reform is almost always tied up with reforms in the political, sociological and economic
reorientation of the wider society
In the literature on educational innovation the emphases are placed more narrowly within the confines of
the sphere of the innovation itself. The systems analysis framework is mostly used for the development
of models for the understanding and evaluation of innovations. The studies on educational innovation
are more concerned with factors within the educational system.
This strengthens the idea that the basic distinguishing traits between educational reforms and
innovations lie in their respective terms of reference. Reforms tend to be achieved, elaborated and
discussed in a context that largely overflows that of the educational system itself. Innovations tend to be
much more limited in scope. Thus,
Reform is a system-wide effort at creating change whose need and impact are often
broader than the confines of the educational system itself. Innovations are much more
isolated attempts at changing or improving some-particular component of the
educational system without affecting its entirety. (Sack in Ayalew, 2000)
Also, reforms are generally conceived, formulated and planned at the central level, with the actual
implementation occurring at a combination of the central and local levels. Innovations may actually be
planned at the local level and they do not imply the same national and system-wide efforts as reforms.
According to Fagerlind and Saha (1983:138) “society-wide reforms usually mean major changes in the
economic, social, ideological and political structures of a nation. They usually take place after
revolutions or violent political takeovers, but they can also happen more gradually.” The term "reform"
is frequently used in a vague and diffuse way and is usually defined as an attempt to change things for
the better in a country or a part of a country, particularly its population. In contrast to innovations in the
field of education, which seldom have economic, social, ideo-logical or political implications, important
educational reforms always involve a political process with implications for the redistri-bution of power
and of material resources (Paulston, 1976:1). Educational reform as we define it refers to a thorough
change in the structure of the educational system of a country. It means a fundamental alteration in
national educational policies, causing in turn major changes in some or all of the following:-
1. the national allocation of resources to the field of education;
2. the allocation of resources within the existing educational system to other levels of the system;
3. the percentage of students completing different levels of the educational system;
4. the percentage of students from different social strata or the percentage of female students that
complete different levels of the educational system;
5. the aims of the curricula and their content.
Educational reforms can also take place outside the formal educational structure. Other
agencies like religious, political, and economic organizations can in a formal or informal
way educate varying proportions of a population. Like the educational system, these
agencies can also initiate fundamental changes in their own structures, thus affecting the
goals and character of their educative impact on a population. It is thus important to
remember that in spite of very thorough educational reforms the formal educational
systems of today do not have a monopoly on education itself. The Polish sociologist Jan
Szczepanski (1980) has described what he calls "The Total Educational System" which
extends from birth to post-school adult age. If we look at the secondary-school stage

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only, the family, youth organiza-tions, mass-media, peer-groups, sport, tourism, libraries,
cultural institutions, films, theatres, museums, medical and social services are all
educative and modify the educational impact of schools.

Theories of Educational Reform

Insofar as reforms are usually the result of struggles between groups with different political, economic
and ideological interests, it can often be difficult to reveal the theory behind any given reform. The
major theories of change and development which have influenced the interpretation and shaping of
social structures, have been funda-mental in guiding educational reforms and can also be used in the
evaluation of the effects of these reforms. An overview of theories related to educational reforms can be
found in Paulston (1977a).

Theories Preconditions for Strategies for educational Outcomes of educational

educational reform reform reform
Evolutionary Education system no Promote the adaptation of a Greater adaptation and
and longer adequate to meet 'modern' educational system "goodness of fit" between
neo-evolution the needs of society as including high participation education and other societal
ary it moves to ward a new rates and standard institutions
stage of social or curriculum for needs of the
economic development future direction of societal
development.
Modernizatio Pre-modern values, Educational and curriculum The creation of a population
n attitudes and belefs reform stressing of modern individuals, able
which are seen to nationalism, self-reliance, to cope with the demands of
constitute obstacles to and technologies rapid social change and the
social and appropriate for the needs of modern institutions
technological development needs of the
development society
Dependency Economic, social and Education for consciousness The formation of
cultural dependency; and awareness of needs for individuals committed to
not only dependent structural change; national development,
institutions but preparation for participatory collective, orientation, and
dependent psychology; democracy with technological skills
schools producing appropriate to the
"lumpenbourgeoisle" development needs of the
society
Marxist-Socia Education system Education for consciousness The formation of the
list subordinate to the and awareness of needs for "socialist man"; elimination
needs of capitalism; the structural change; of educational and social
formation of docile preparation for participatory privilege and creation of an
work force; increased democracy equalitarian society
awareness for change
Fig. Some theories of development and educational reform
Source: Fagerlind, and Saha (1982) page 141.

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Paulston contends that by and large the unique character of any particular educational reform effort can
be explained at least in part by the theory of change, or more fundamentally, the theory of education and
development which prevails in a given society. In the Fig above show that there are typologies of
educational reform strategies and out-comes for some of the theories of development.
We see in this attempt to relate theory to reform that there are striking differences between the theories
in the character of the reform processes, as well as in the desired outcomes. For example, if the
development strategy in a particular society is based on Western- type modernization, then the
educational reform strategy will aim at "institution building", and be based on Western institutional
models and technologies. In Third World societies this means the imitation of Western schooling with
appropriate levels of educational technology and educational outcomes, for example high academic
achievement and the inculcation of modern attitudes, values and beliefs.
On the other hand, if the development strategy follows a more Marxist or neo-Marxist theory of change
and development, then educational reform, particularly in a new socialist state, will more likely be
directed toward the restructuring of the school system such that the social relations in the school
correspond to the social relations of production in the new social structure. In effect, part of the reform
measures will be directed to the elimination of privilege and elitism in the school system as well as in
society. In each case, the theories underlying the reform strategies assume that educa-tional systems are
intricately linked with other dimensions of the social structure, and those reforms in education will have
an impact on the society as a whole, but also must be supported by those other structures (Fagerlind and
Saha, 1983:140-42)
1.2 . Sources Of Change
The nature of educational change must first be understood in terms of its sources. In their attempt to
identify the sources of change various writers have used different approaches. In his endeavor to classify
the sources of change Huberman (1975) borrows from anthropologists the notions of 'creative motive'
and 'deficit motive' to change.
By creative Motives to change is meant a voluntary and self-imposed desire to:
- reduce the gap between the objectives of the system and present practices,
- redefine problems,
- recognize new problems and to create new ways of dealing with them
Deficit motives to change, on the other hand, are brought about by crisis, competition or conflict.
Among such incidences could be cited:-
- Student or teacher Strikes
- Dissatisfaction of citizens at large or of national officials
- Internal conflicts between and among administrators and teachers
- Shortage of teachers or facilities etc. in the school system.
In addition to creative and deficit motives to change Huberman (1975) lists other preconditions that may
predispose educational system to change. These include:
- Increasing public concern for quality education
- Increasing interest in technological advances
- Emphasis on research and development greater affluence
- Growth of the educational system itself.
- Rising educational qualifications of parents and graduates
- Growing proportion of the gross national product devoted to education, etc.
Fullan (1991:17) asserts that in pluralistic societies there will always be pressures for educational change
and he identifies three broad ways in which pressures for educational policy change may arise:

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1. Through natural disasters such as earthquakes, floods, famines and the like
2. Through external factors such as imported technology and values, and immigration, and
3. Through internal contradictions, such as when indigenous changes in technology lead to new
social patterns and needs, or when one or more group in a society perceive a discrepancy
between educational values and outcomes affecting themselves or other in whom they have an
interest
After examining several cases, Fullan (1991) concludes that change is generated through a mixture of
political and educational motives. He further states that politically motivated change is accompanied by
greater commitment of leaders, the power of new ideas, and additional resource but it also produces
overload, unrealistic time-lines, uncoordinated demands, simplistic solutions, misdirected efforts,
inconsistencies, and underestimation of what it takes to bring about reform.
Conley (1997) examines broader trends which have influenced the thinking of policy makers and
educators in their consideration of change in education. He has organized these trends into three broad
categories: economic, social and technological forces. A brief summary of these forces is presented
below:
Economic Forces
The economic system is transforming in ways that have implications for all social constitutions
including schools. Some of the elements of the transformation that have the greatest potential impact
upon schools include the following:
 Increased economic competition in the world that has led to an accelerated rate of change in the
business world versus less access to job for school leavers
 More racial/ethnic/gender diversity in the work place and concomitant equal employment
provisions for hiring that require employers to show a link between the perspective employee's
knowledge and skills and the hiring decision.
 A Global economy where companies function through out the world, workers may have to travel
or live out side their country.
 Development of authority i.e, which resulted in responsibility for decision-making being pushed
downward, requiring workers who are more able to think and managers who are more able to
adapt
Social Forces
Some of the important social forces operating to produce change that will have an impact on schools
include the following:
 The changing structure of the family in the era of the " Post-nuclear family," the increase in
single-parent families, the concomitant disintegration of extended support networks for
families, the tendency for any crises to throw a family off balance for an extended period
unless some sort of external assistance is available
 The increase in the number of children who are living in poverty.
 The failure of schools as vehicles for desegregation or for equal education performance for
minority students
 A decreasing sense of civic responsibility, of social tolerance, of a social contract among
citizens for the benefit of all; a lack of understanding of democratic rule by majority.
Technological Forces
Technological forces include a broad array of new techniques for organizing, communicating, and
disseminating information that arise of the following Issues:

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 Schools are neither organized nor funded in a way that enables them to keep up with changes
in knowledge or changes in technology used to store and present such knowledge
 Text books are an obsolete technology, yet they continue to be central to the way schools
conceive of teaching and learning
 Knowledge is becoming more accessible to more of the population. Therefore, the teacher's
role as subject matter expert must change.
 The structure of knowledge is rapidly evolving. The division of academic disciplines is no
longer appropriate for understanding or solving the problems that exist in the world, yet
schools cling to this one structure to the exclusion of other possibilities.
 Schools are not moving to integrate technology, nor are the keeping up with latest eve
developments; in fact, they are falling farther and farther behind technological advancement.
Conley (1997) stresses that these economic, social and technological forces press the educational system
to introduce and/or adapt to change accordingly.
Nicholls (1983) addresses the issue from a different perspective. He focuses on the specific source of
change and Innovation. These specific sources seem to vary from country to country
To generalize, the sources of change are approached in different ways by different writers. Some focus
on the forces that pressurize change while others look at specific factors source of change.
1.3 . Types Of Change
The changes that take place can be classified in different ways
i) Spontaneous and Planned Changes
This classification belongs to the theories of social change in particular. Social change may occur
"spontaneously" as the result of the operation of general forces or tendencies that are more or less
outside the realm of human control. Three different varieties of theories of spontaneous change are
usually identified:
a) Evolutionary Theories
Evolutionary changes are piecemeal and slow. It emphasizes the idea of stages that human society
inevitable traverses, but has been criticized for an alleged misunderstanding of the contrast between
"primitive" and "modern" societies.
b) Cyclical Theory
This theory indicates that change is not a straight line progression from some primitive to some
advanced stage, but history reveals a fluctuation between one and another basic social form.
c) Factor Theories
These theories of change emphasize the contingent rather than the inevitable character of change. Only
if certain change- inducing factors are present will change occur. The basic division among proponents
of this approach involves the question of whether social change can profitably be viewed as the result of
change in a single factor, or whether change has to be explained in terms of multiplicity of factors that
must be favorable for change to occur.
Social change may also be the result of human intention and deliberate planning. This is called planned
change. Planned changes are systematic and scientific. But it is not without difficulties. Two examples
-efforts to induces change in educational practices in school systems, and efforts to bring about
"Modernization" of a country can be used to illustrate the difficulties of social planning, involving often
unanticipated consequences and resistances on the part of those people negatively affected by planned
changes.
ii) Reactive and Pro-active Changes

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Reactive change occurs when some forces make it necessary for a change to be implemented. It is
passive compliance to the demands. Pro-active change takes place when some forces to change lead an
organization to conclude that a particular change is desirable and goes about in initiating the change in a
planned manner.
Reactive change involves a limited part of the system whereas proactive change coordinates the parts of
the system as a whole.
iii) Degree and Kind of changes
Havelock (1971) classifies change on the basis of degree (i.e. how much change is required) and the
kind of changes involved. He divides the first category into four types
a) Change in size and scope of operations -requiring outlays of -capital, labor space and equipment
b) Acquiring new skills as in retaining teachers for new curricula, team teaching or the utilization of
language laboratories.
c) Changing goals as in the introduction of self-instructional materials, where the teacher becomes a
non-directive help rather than an authoritative conveyor of information.
d) Changing values or orientation -where many of the adopters long help principles are at stake, as
in the elimination of examinations, school desegregation or the abandonment of religious
induction.
The second category, involving the type of change required for adoption or adaptation, may be of six
sorts:
a) Substitution- probably the most common and most reality accepted innovation, in which one
item is substituted for another previously in use ( a new textbook, new equipment in a science
laboratory or, somewhat more complex, a replacement for a teacher or administrator).
b) Alteration -involving changes in existing structures, rather than a complete substitution of parts
or elements Addition without changing old elements or patterns -those which can be added to an
existing programme without seriously disturbing other parts of it (audio-visual aids, workshops,
and diagnostic tests).
c) Restructuring -seem either as a national rearrangement of work space (changing the composition
and size of classes), rearrangements in the curriculum (e.g. introducing a new language course)
or as a revision of instructional method (team teaching, par-professional teaching aids, non
graded schools).
d) Eliminating Old Behavior -as, for example changing from a simple textbook or method of
discussion in class or human relations training for reducing mutual suspicion or hostility
e) Reinforcing old Behavior -Where it is a question of transmitting or adopting knowledge which
reinforces what is already practiced.
iv) Hardware, Software and Role Changes
Focusing specifically on changes that take place in the school system, writers divided them into three
sorts:
a) Hardware changes are additions to school equipment, such as new classrooms, teaching
machines, books or play ground
b) Software changes -refer to the content and range of the curriculum or to the methods of delivery
and reception
c) Role changes- consist of the interpersonal relations between teachers and students, between
teachers and administrators or teachers and teachers.
Changes can thus be classified into different types depending on ones point of analysis.

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Heading: MANAGEMENT OF CHANGE AND INNOVATION IN EDUCATION
UNIT 2 THE PROCESS OF PLANNED CHANGE/INNOVATION

UNIT 2
THE PROCESS OF PLANNED CHANGE/INNOVATION
Objectives
At the end of this unit you should be able to:
 Identify the roles and qualities of a change agent in education/school
 Analyse innovations or change ideas against the characteristics of successful changes and
specific situations of the education system.
 Value the significance of exactly identifying and involving the users in the process of change.
 Recognize the specific tasks one is expected to accomplish in each of the stages of the innovation
process to ensure success.
INTRODUCTION
This unit deals with what the change agent is, and the factors in which s/he is involved in the process of
change. These include the process of innovation and the planning of innovation that are done at its
different phases.
Change is conceived as a process rather than a one shot activity. Although change takes place in
environments of uncertainty and itself is characterized by complexity. Nations can plan the change and
change process in light of desired goals. This unit deals with the process of planned change. The process
of planned change involves four major factors- the change agent, change itself (the innovation), the user
system- target up on which the change operates and the time dimension in which the change takes place
and on the basis of which the behavior and interaction between the various components change agent,
change, and the user systems differ.
The unit emphasizes on the importance of carefully considering each of these factors to effect the
change as planned to the desired ends. In the whole process of change, starting from identifying the
problems that necessitate change, through introducing planning the solution to implementation of the
solutions in general managing the change process is the main responsibility of the change agent. This
responsibility includes the task of enabling and empowering the users (user system) and feel and act as
owners of the change itself and selecting the appropriate strategies that fits the change to the
environment- economic, political, and cultural milieu of the particular society which is sought to
benefit from the change outcomes.

2.1. The change agent system

Any change agent or innovator will obviously be involved with:
-the Process of Innovation,
-the Planning of Innovation,
-strategies of Innovation.
Considering these under the change agent system does not imply that the user system is not involved. It
sometimes happens that the change agent and the user are in opposition. But for any innovation to
succeed the two must co-operate and collaborate. So, while considering what the change agent does, one
must remember that, ideally, the user will also be closely involved in the change agent's activities. How
ever, in this section we shall only focus on the first two elements. The third element though practically
in separable from the other two for the sake of convenience it has been treated as a separate unit (see
unit three)
The process of innovation
Havelock and Huberman point out that many innovations fail because innovators fail to appreciate the
process of innovation, because they pay little attention to the lessons that can be learnt from the process,

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particularly the fact that innovation is a matter of system change and system building within a social
context. On the other hand they show how careful diagnosis of needs, specificity of objectives, detailed
organizational planning and development of competencies and materials, can be instrumental in the
success of innovative projects.
Most innovations go through something approaching these logical phases.
1. The problem- Before any innovation process begins there must be some problem, some situation,
which is causing dissatisfaction and which it is hoped that some innovation will solve or at least
minimize it. Otherwise, why introduce any innovation?
The difficulty is often to identify the real problem, i.e. the one that is the root-cause of the
dissatisfaction.
If youth unemployment is the cause of concern, the real problem may have nothing to do with education
and with what goes on in the schools, but rather lie in the economic and political spheres. Unless there
are jobs available, changing the education system won't solve the basic problem. Only providing jobs
will reduce unemployment. The job of the change agent is to assist in identifying the real problem.
2. The solution - Having identified the real problem, the next phase involves considering possible
solutions, bearing in mind the economic, social and cultural limitations. The examination system often
provides constraints on innovation. Parents, too, can shackle new ideas and solutions. Some parents
think diplomas and certificates have magical powers: no 'child-centered', 'play-way' methods for their
children. The change agent must constantly keep in mind the context in which the solution, the
innovation, the educational change, will be applied. He must consider the peculiarities of the user system
and its likely response to any innovation. An innovation is a deliberate intrusion into the fabric of a
culture. Often this entails a change in the existing order of things. Any solutions, innovations, preferred
must not only be feasible in terms of costs, etc. but must also be compatible with existing values.
3. The innovation. From the possible solutions the change agent (e.g. a Government planning unit, a
Ministry, a Headmaster, etc.) will select that solution, innovation, educational change, that it considers
will best achieve the desired results with the greatest effectiveness and at reasonable cost.
4. Trial - The next task of the change agent is to develop and introduce this innovation, this optimum
solution, into the client/user system on a trial basis. This will involve promoting awareness and interest
in the innovation, adjusting internal organizational procedures and arrangements, locating and arranging
appropriate resources, providing training courses (and possibly incentives), setting up monitoring and
feedback procedures to assess the relevance and effectiveness of the innovation.
5. Implementation. For effective planning and execution of an innovation, the implementation phase
should be regarded as a distinct process from the earlier 'trial' phase. It is not merely an extension of the
earlier 'trial' or 'development' phase; implementation entails new and distinctive issues and problems that
call for new and distinctive approaches. Initial acceptance of an innovation, even enthusiasm, is not
enough to ensure implementation. Innovation requires continuous and complex negotiation between
people involved in establishing new ideas and practices. Most innovations require considerable change
in the usual pattern of teacher behavior. To break away from old modes of behavior and begin to act in
an entirely different way is far from easy and takes time.
6 Institutionalization. The final task for the manager (change agent) of an innovation process,
assuming a decision to proceed with the innovation has been taken, is to take steps to stabilize or
institutionalize the innovation that is, get it absorbed and structurally integrated into the system. To do
this he must make provision for continuing maintenance of the innovation, and for ensuring that the
innovation can be adapted to meeting changing needs. This is where many literacy programmes failed
-there was no follow-up, there was no provision for maintaining and increasing the skills already
acquired.

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UNIT 2 THE PROCESS OF PLANNED CHANGE/INNOVATION
The planning of innovation
The problems of innovation are very complex and nowadays can no longer be solved by mere intuitive
judgment or educated guesses. If innovation is not to be a hit or miss affair it must be planned. Evidence
shows that careful planning is resorted to far less than is imagined. This results in waste of scarce
resources, stress, disenchantment and ultimately failure of the innovation.
For effective planning of innovation Adams and Chen enumerate eleven elements which must be
considered at each of the six stages of any innovation process. These elements concern 'who does what,
with what, to whom, where, when, in what manner and why and with what effect'.
These elements are:
1. The personnel to be employed (who).
At all stages of an innovation process there must be people available all along the line who have the
expertise and capacity to carry out their allotted tasks. As we shall see in Chapter 16, no one with
experience of teaching by correspondence was involved in the original planning of teaching by this
method and so there was a lack of awareness of the problems that might -and did -arise.
2. The specification of what the actual task is (what);
That is, what has to be done, what the innovation in action will consist of, its size and its scope, the role
of teachers, of researchers etc. Whether the specifications are detailed or more open depends on the
capabilities of those who are to carry out the tasks. Where the teaching force is largely unqualified the
curriculum materials and tasks are made as 'teacher proof' as possible. The purpose of task specification
is to provide a sufficient basis for getting into the action of innovation.
3. The method -the strategy or procedure to undertake the task (how?)
This is the change to be effected by a formal, legislative approach, requiring individuals to act in
accordance with new regulations? or is change to be effected by a more natural approach, relying on the
new idea diffusing and gradually catching on, the process being helped along by advisers, community
developers, publicity, etc?
Activity 2.2.
1. Explain the relationships/links between the six phases of innovation and the
eleven elements of the planning process.
2. What major differences do you observe between the two-stages of innovation and
elements of the planning process?

Between these two extremes there are other approaches or strategies which are mentioned presently.
4. The equipment needed (with what).
5. The plant, buildings or environment (where).
There is usually a 'critical mass' of equipment and plant needed to enable a new project to function. Too
little equipment hinders action; too much may stultify (as research in the USA has shown). The trick is
to determine how much is just enough. When equipment and plant are part and parcel of an innovation
then, means must be found for producing and delivering them.
6. The cost entailed.
Often planning is based more on aspirations than on realistic analyses of available resources. One must
face up to the costs, not only of initial trials, but also the full implementation costs of any innovation.
When one has little money or time or manpower one has to cut one's innovation coat according to one's
cloth, even if that turns out to be far from elegant.
7 Other people or r other social contexts on which the innovation impinges.

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It is wise and, perhaps, essential to gain the cooperation, or at least acquiescence, of interested parties,
especially if they are powerful, who might otherwise regard their territory or prerogatives as being
violated or threatened. Failure to involve, or at least, inform interested sections can prove an
innovation's undoing. Murphy's law states that 'if something can go wrong, it will'. It is here, at the
interface between 'interest' groups, that things often go wrong. Whilst, as Adams and Chen say, 'it is not
necessary to contact all of the people all of the time', it is necessary to identify the interest groups and to
enter into mutual dialogue and negotiation with them.
8. The time involved (when and for how long).
Innovations take time. People and social systems are generally slow to welcome changes, which they
often regard with suspicion. Beware of making haste too quickly. And remember that, no matter how
long you think it will take, it will take twice as long'.
9. The scheduling or sequencing or co-coordinating of activities (in what manner).
Time spent in planning the sequencing and co-coordinating of events is time well spent. That is, the
more precise the co-ordination, the faster the process of innovation.
10. The rationale for undertaking the innovation (why).
This refers to what are the justifications for the particular approaches used in the operational phase.
11. The evaluation of the consequences or effects resulting (with what effects).
This is the 'moment of truth' when either a 'thumbs up' or a 'thumbs down' decision has to be taken on
whether or not to go ahead with the innovation. Whether an innovation is implemented on a wide scale
depends on at least three factors:
i) the political climate, in a national sense and in an institutional or local sense;
ii) whether there is sufficient 'energy' in the form of material and human resources to sustain it
(any proposal that adds to costs generally yield unfavorably);
iii) its place in the general array of priorities.
In the discussion above we studied the factors in which the change agent is involved and the technical
procedures as planning process s/he should accomplish. But, we should question ourselves. Is change
agentry that easy? Can the change agent perform her/his task with the technical skills only? What else
does one require to be come a competent change agent. You are here provided an interesting reading
directly taken from Fullan (1993), enjoy and try to come up with possible responses to the
aforementioned questions.
Moral Purpose and Change A gentry
Managing moral purpose and change agentry is at the heart of productive educational change. It is
necessary to take a closer look at each of them, and to make explicit their organic relationship.
Moral Purpose
In their major study of teacher education, Godlad and his colleagues found themselves being pushed
deeper to the moral purpose of education in order to understand the basic rational for teaching in
post-modern society: ‘We came to see with increasing clarity the degree to which teaching in schools,
Public or private, carries with it moral imperatives more in public schools, however, because they are
not schools of choice in a system requiring compulsory schooling’ (Goodlad, 199a. P.47 , my emphasis;
see also Goodlad, Soder and sirotnikk, 1999) Goodlad singles out four moral imperatives:
Facilitating Critical Enculturation
The school is the only institution in our nation specifically charged with enculturing the young into a
political democracy … schools are major players in developing educated persons who acquire an
understanding of truth, beauty, and justice against which to judge their own and society’s virtues and
imperfections … This is a moral responsibility. (pp. 48-9)
Providing Access to Knowledge

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The school is the only institution in our society specifically charged with providing to the young a
disciplined encounter with all the subject matters of the human conversation: the world as physical and
biological system; evaluative and belief systems ; communication systems; the social , political, and
economic systems that make up the global village; and the human species itself… (Teacher) must be
diligent in ensuring that no attitudes, beliefs, or practices bar students from access to the necessary
knowledge. (p.49)
Building an effective Teacher-Students connection
The moral responsibility of educators’ takers on its most obvious significance where the lives of
teachers and their students interest … The epistemology of teaching must encompass a pedagogy that
goes far beyond the mechanics of teaching. It must combine generalizable principles of teaching,
subject-specific instruction, sensitivity to the pervasive human qualities and potentials always
involved. )pp. 49-50)
Practicing Good Stewardship
If schools are to become the responsive, renewing institutions that they must, the teachers in them must
be purposefully engaged in the renewal process. (Goodlad, 1990, p.25)
One of Goodlad’s Colleagues, Sirotnik (1990, P.. 298 ff) adds his list of moral requirements:
commitment to inquiry, knowledge, competence, caring, freedom, well-being , and social justice. In his
own words:
Change Agentry
Fullan defines change agentry as being self-conscious about the nature of change and the change process.
Those skilled in change are appreciative of its semi-unpredictable and volatile character, and they are
explicitly concerned with the pursuit of ideas and competencies for coping with and influencing more
and more aspects of the process toward some desired set of ends/ they are open. Moreover to
discovering new ends as the journey unfolds. In chapter 3, the complexities of the change process and
some of the insights and lessons arising from the new mindset will be explored in detail. At this stage
the question is, what conceptions and skills should the teacher of moral purpose possess in order to
become a more effective change agent.
 He observes four core capacities required as a generative foundation for building greater change
capacity: personal vision-building, inquiry, mastery, and collaboration. Each of these has its
institutional counterpart: shared vision-building , organizational structures, norms and practices of
inquiry: focus on organizational development and know how, and collaborative work cultures. For
reasons that should be increasingly clear throughout this discussion we need a dual approach
working simultaneously on individual and institutional development. One cannot wait for the other.
And if they are not working in concert, in particular settings, it is necessary to work on them
separately looking for opportunities to make them connect.
The individual educator is a critical starting point because the leverage for change can be greater through
the efforts of individuals, and each educator has some control (more than is exercised) over what he or
she does, because it is one’s own motives and skills that are at question. Moreover, working individually
on the four capacities about to be described makes it inevitable that there will be plenty of intersection of
effort. Fullan is not talking about leaders as change agents but of a more basic message: each and every
educator must strive to be an effective change agent.
Fullan starts with personal vision-building because it connects so well with moral purpose contending
with the forces of change. A shared vision is important in the long run, but for it to be effective you have
to have something to share. It is not a good idea to borrow someone else’s vision. Working on vision
means examining and reexamining, and making explicitly to ourselves why we came into teaching.
Asking what difference am I trying to make personally? is a good place to start? For most of us it will

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not be trying to create something out of nothing. The reasons are there, but possibly buried under other
demands or through years of disuse, or for the beginning teacher still underdeveloped. It is time to make
them front and centre. We should not think of vision as something than front and centre. We should not
think of vision as something only for leaders. It is not a farfetched concept. It arises by pushing
ourselves to articulate what is important to us as educators. Block (1987) emphasizes that creating a
vision forces us to take a stand for a preferred future (p.102): it signifies our disappointment with what
exists noe. To articulate our vision of the future is to come out of the closet with our doubts about the
organization and the way it operates (p.105). Indeed, it forces us to come out of the closet with doubts
about ourselves and what we are doing.
Says Block writing more generally about organizations: ‘We all have strong values about doing work
that has meaning, being of real service to our customers, treating other people well, and maintaining
some integrity in the way we work’ (p.123). Teachers, as I have indicated, are in one of the
most ’natural’ occupations for working on purpose and vision, because underneath that is what teaching
is all about.
Several points in conclusion. First, I cannot stress enough that personal purpose and vision are the
starting agenda. It comes from within, it gives meaning to work, and it exists independent of the
particular organization or group we happen to be in.
Second, personal vision in teaching is too often implicit and dormant. It is often expressed negatively
(what people want to get rid of, or not see happen) or narrowly in terms of means (more time, smaller
classes). We need also to have positive images as driving forces. Teachers do not have to wallow in
hubris in realizing that they are in a strategic position. Teachers should be pursuing moral purpose with
greater and greater skill, conceptualizing their roles on a higher plane than they currently do.
Third, once it gets going, personal purpose is not as private as it sounds. Especially in moral occupations
like teaching, the more one takes the risk to express personal purpose, the more kindred spirits one will
found. A great deal of overlap will be experienced. Good ideas converge under conditions of
communication, and collaboration. Individuals will find that they can convert their own desires into
social agendas with others. Remember, personal purpose is not just self centered, it has social
dimensions as well such as working effectively with others, developing better citizens, and the like
Fourth, personal purpose in teaching should be pushed and pushed until it makes a connection to social
betterment in society. This is what it is at the one-to-one teacher-student level anyway. It has greater
scope and meaning and calls for wider action if we realize that societal improvement is really what
education is about.
Fifth, and an extension of the previous point, is the realization that personal purpose in teaching is a
change theme. Gardner (1964:72) quotes Petrarch
By Citizens, of course I mean those who love the existing order; for those who daily desire
changes are rebels and traitors, and against such a stern justice may take its course. Today,
the teacher who works for or allows the status quo is the traitor. Purposeful change is the
new norm in teaching. It has been bouncing around within teaching for the past thirty years.
It is time we realized that teachers above all are moral change agents in society a role that
must be pursued explicitly and aggressively.
Finally, and paradoxically, personal purpose is the route to organizational change. When personal
purpose is diminished we see in its place groupthink and a continual stream of fragmented surface,
ephemeral innovations. We see in a phrase, the uncritical acceptance of innovation, the more things
chance, the more they remain the same. When personal purpose is present in numbers it provides the
power for deeper change:

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Cultures get changed in a thousand small ways, not by dramatic announcements from the boardroom. If
we wait until top management gives leadership to the change we want to see, we miss the point , For us
to have any hope that our own preferred future will come to pass, we provide the leadership. (Black,
1987 (PP. 97-98)
All four capacities of change agentry are intimately interrelated and mutually reinforcing. The second
one inquiry is to say that the formation and enactment of personal purpose is not a static matter. It is a
perennial quest. One of the new paradigm writers, Richard Pascale (1990) captures this precisely: The
essential activity for keeping our paradigm current is persistent questioning. I will use the term inquiry.
Inquiry is the engine of vitality and self-renewal’ (p.14). Stacey (1992) puts it this way: “A successful,
innovative organization must have groups of people who can perform complex learning spontaneously.
Because in open-ended situations on one can know what the group is trying to learn, the learning process
must start without a clear statement of what is to be learned or how
Inquiry is necessary at the outset for forming personal purpose. While the latter comes from within, it
must be fueled by information, ideas, dilemmas and other contentions in our environment. The beginner,
by definition, is not experienced enough with the variety and needs of students and with the operational
goals and dilemmas of improvement to have clear ideas of purpose. Habits of ‘questioning. Personal
journals, action research, working in innovative mentoring and peer settings are some of the strategies
currently available (see Fullan and Hargreaves, 1991). Inquiry means internalizing norms, habits and
techniques for continuous learning.
Learning is critical for the beginning teacher because of its formative timing. But we are talking about
more than this lifelong inquiry is the generative characteristic needed because post-modern
environments themselves are constantly changing. We are probably never exactly right in the first place,
but in any case we need the checks and balances of inquiry because in changing times our initial mental
maps ‘cease to fit the territory’ (Pascale, 1990, P. 13). Thus, we need mechanisms to question and
update our mental maps on a continuous basis. For Pascale, the question is the answer: “our quest isn’t
just a New Management Paradigm of the Nineties but a way of thinking that is continually open to the
next paradigm and the next and the next…’ (p.265).What could be closer to change agentry?
The relationship between the first two capacities personal vision and inquiry involves the ability to
simultaneously express and extend what you value. The genesis of change arises form this dynamic
tension.
The capacity of mastery is another crucial ingredient. People must behavior their way into new ideas and
skills, not just think their way into them. Mastery and competence are obviously necessary for
effectiveness, but they are also means (not just outcomes) for achieving deeper understanding. New
mindsets arise from new mastery as much as the other way around. Mastery then is very much
interrelated with vision and inquiry as is evident in this passage from (Senge, 1990):
Personal mastery goes beyond competence and skills, though it is grounded in competence and skills …
It means approaching one’s life as a creative work, living life from a creative as opposed to a reactive
view point
When personal mastery becomes a discipline and activity we integrate into our lives it embodies two
underlying movements. The first is continually clarifying what is important to us ( purpose and vision).
We often spend too much time coping with problems along our path that we forget what we are on the
path in the first place. The result is that we only a dim, or even inaccurate, view of what’s really
important to us.
The second is continually learning how to see current reality more clearly… The juxtaposition of vision
(What we want) and a clear picture of current reality (where we are relative to what we want) generates

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what we call ‘creative tension’. ‘Learning’ in this context does not mean acquiring more information,
but expanding the ability to produce results we truly want in life. It is lifelong generative learning.
It has long been know that skill and know-how are central to successful change, so it is surprising how
little attention we pay to involves strong initial teacher education, and continuous staff development
throughout the career, but it is more than this when we place it in the perspective of comprehensive
change agentry. It is a learning habit that permeates everything we do. It is not enough to be exposed to
new ideas. We have to know where new ideas fit, and we have to become skilled in them, not just like
them.
Block (1987) says that the goal is (to learn) as much as you can about the activity you are engaged in.
There’s pride and satisfaction in understanding your function better than anyone else and better than you
though possible.
We also know that inquiry, learning, and mastery are intrinsically anxiety producing: ‘Almost every
important learning experience we have ever had has been stressful. Those issues that creates stress for us
give us clues about the uncooked seeds within us that need attention (ibid, p.191). This means that the
capacity to suspend belief, take risks, and experience the unknown are essential to learning. We can be
more selective in what we try ( as distinct from accepting all change) but in exploring selected new ideas
we must be patient enough to learn more about them and to look for longer term consequences before
drawing conclusions.
Rosenholtz (1989) found that teachers in schools characterized by these ‘learning enriched’ habits, not
only learned more and became better at what they did, but they became more confident. The more
accustomed one becomes at dealing with the unknown, the more one understands that creative
breakthroughs are always preceded by periods of cloudy thinking, confusion, exploration, trial and stress;
followed by periods of excitement, and growing confidence as one pursues purposeful change, or copes
with unwanted [Link] to Senge (1990)
People with a high level of personal mastery live in a continual learning mode … personal mastery is not
something you possess. It is process. It is a lifelong discipline. People with a high level of personal;
mastery are acutely aware of their ignorance, their incompetence, their growth areas. And they are
deeply self-confident. Paradoxical? Only for those who do not see that ‘the journey is the reward’> (P.
142)
In order to be effective at change, mastery is essential, both in relation to specific innovation and as a
personal habit. New competencies and know-how are requirements for better understanding and judging
the new and are route to greater effectiveness.
Collaboration is the fourth capacity. Aside from the power of collaboration which we take up in later
chapters collaboration is essential for personal learning (Fullan and Hargreaves, 1991). There is a ceiling
effect to how much we can learn if we keep to ourselves. The ability of to collaborate on both a small
and large scale is becoming one of the core requisites of postmodern society. Personal strength , as long
as it is open minded (i.e. inquiry oriented) goes hand –in-hand with effective collaboration in fact,
without personal strength collaboration will be more form than content. Personal mastery and group
mastery feed on each other in learning organizations. People need one another to learn and to
accomplish things.
Small –scale collaboration involves the attitude and capacity to form productive mentoring and peer
relationships, team building and the like. On a larger scale , it consists of the ability to work in
organizations that form cross-instructional partnerships such as school district university and
school-community and business agency alliances, as well as global relationships with individuals and
organizations from other cultures.

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In short, without collaborative skills and relationships it is not possible to learn and to continue to learn
as much as you need in order to be an agent for societal improvement.
In summary, skills in change agentry are needed, because the processes of improvement are dynamically
complex, and as we shall see, these processes are to certain extent unknowable in advance. Chaos in a
scientific sense is not disorder, but a process in which contradictions and complexities play themselves
out coalescing into clusters (see Glerick, 1987, Stacey, 1992, Wheatley, 1992). Scientists talk about
‘strange attractors ‘as forces that pull chaotic states into periodic patterns. Moral purpose is one of
change process’ strange attractors (because it is not guidable), they capitalize on it. Without moral
purpose, aimlessness and fragmentation prevail. Without change moral purpose, aimlessness and
fragmentation prevail. Without change agentry, moral purpose stagnates. The two are dynamically
interrelated, not only because they need each other, but because they quite literally define ( and redefine)
each need other as they interact.
He has also claimed that moral purpose and change agentry separately, but especially in combination,
are as yet society’s great untapped resources for improvement. We need to make them explicitly, and
make them part and parcel of personal and collective agendas. We need to go public with a new rational
for why teaching and teacher development is so fundamental to be the future of society. We need to
begin to practice on a wide scale what is implicit in the moral purpose of teaching. To do so we need the
capacities of change agentry. And we need to know a lot more about the complexities of the change
process.
2.2. The Innovation System
In the first part of this unit, you have been introduced to the major factors (causes) for educational
change /innovation/. In this sub-section, you will study the innovation system-from where innovation
ideas /change/ generate. According to Havlock (1969) innovation may be derived from four types of
knowledge:
 basic knowledge
 applied research and development knowledge.
 Practice generated knowledge
 user feedback knowledge.
Other writers like Hull et al (1973) state that innovations come in three broad forms: information
documents, training materials and an installable system. Many of the innovation according to Brham
(1981) generated at the user level come up in the form of untested and often vaguely formulated ideas.
Although an innovation is usually aimed at a particular target system, it must be noted that this may
differ from the user system which actually takes it up.
In addition to the way in which innovations are developed and disseminated certain characteristics are
important factors in determining the extent to which they are adapted and implemented. Rogers and
Schomakes (1971) identify five characteristics of innovations. They argue that it is the potential users'
perceptions of these characteristics rather than the experts' perception /change agents/ that affect the fate
of the innovations.
The Characteristics of the Innovation
Fullan (1993), of course many others too, views that change is characteristically complex these is no
linear relationship between cause and effect in the process of change. Senge distinguishes between two
types of complexity- detailed complexity and ‘dynamic complexity’. Detailed complexity involves
identifying all the variables that could influence a problem, which of course is enormously difficult to be
orchestrated by individuals or groups. But detailed complexity is far from real. Dynamic complexity is a
real territory of change: ‘when cause and effect’ are not close in time and space and obvious
interventions do not produce expected outcomes’ because other factors unplanned factors dynamically

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interfere. Complexity, dynamism, and unpredictability, are not merely things that get in the way, they
are normal,. Stacey goes even further, since change in dynamically complex circumstances is- linear, we
cannot predict or guide the process with any precision. On the bases of their argument the above writers
conclude their argument in that cause and effect are distant from each other in complex systems, and
therefore, impossible to trace the linkage between them.
We must now turn to examine how the characteristics of innovation, both the nature of the particular
innovation in-tended and the process by which that innovation is to be introduced, may affect the ease
and success with which the change takes place. Since the range of possible innovations is very great, and
these may range from small to large and sweeping changes, it is not possible here to consider the full
implications of particular innovations. However some, 'general considerations may be of value.
We must begin by reflecting upon what has been said earlier about the prevalence of unclear, confused
and sometimes conflicting aims and objectives in education. If an innovation is to be successful its
objectives must be clear, and where multiple objectives are aimed at these must be in harmony with each
other and there should be clear understanding of the relative priority of these objectives. A high degree
of clarity is necessary for the efficient designing of the innovation. It is also necessary that the objectives
be clear to those who are to carry out the innovation and highly desirable that they be clear to those who
are to be affected by the change. Clarity alone will not be sufficient of course. An innovation must not
only be understood by teachers and administrators and the clientele of the schools, but it must to a
crucial degree be acceptable to them and be supported by them. Finally, of course, the objectives must
be within the capacity of the school system to implement.
It has been argued above that such conditions, though logically necessary, are not always present and
that we cannot expect completely satisfactory statements of the goals we should be aiming at. Assuming,
however, that we have arrived at a clear, widely understood set of objectives for innovation, what other
pre-conditions are likely to facilitate success in introducing and maintaining the change envisaged?
There are first of all a number of factors which relate to the acceptability of the innovation. An
innovation which clearly offers advantages over current procedures and other alternatives is more likely
to win support than one which does not. We have already commented on the difficulties which often
exist in demonstrating the advantage of the new over the old and must note in addition that to be more
acceptable changes must offer significant and not merely marginal advantages. A further problem here
lies in the fact that we are discussing acceptability not simply to one group, for example the teachers, but
to other groups including the administrators of the school system, the decision-makers within the system
and the clientele of the system. What may be acceptable to one group may well not be acceptable to
another-for instance the development of in--service training by distance techniques may be acceptable to
teachers who might find it more welcome to pursue such training without having to leave their schools,
homes and families, but might be less acceptable to hard-pressed administrators whose responsibilities
might be enlarged to include distribution of materials, provision of facilities such as transport for
itinerant tutors, and other support services. It is possible that a particular innovation may be acceptable
to two or more groups but for different reasons, and so lead to tensions at the implementation stage
which may distort the innovation or lead to rejection by one group at a later stage - for instance an
extension of junior secondary education might be welcomed by parents who see wider opportunities for
access to higher education opening up for their children only for them to find that the teachers have
welcomed the change as a means of introducing a more practical work-oriented curriculum to a mature
group of pupils and not simply as a means of providing the conventional general education desired by
parents.
Such problems are more likely to arise where the nature of the innovation and its wider implications
have not been fully and clearly explained, and it may be concluded that a second factor conducive to

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successful innovation is the simplicity with which it may be explained. The introduction of a more
highly qualified class of teachers into the primary school system, for instance, is simple to explain and
its potential advantages may be readily 'understood. On the other hand, the introduction of an
environmental study approach to the teaching of science or geography, or activity and discovery-based
learning approaches more generally, are less easy to explain and the balance of advantage is less clear.
Thirdly, of course, the acceptability of a particular proposal to those who are to implement it will largely
depend upon the simplicity with which it may be implemented. We are not speaking here of ease of
operation only, and whether it will mean extra work for someone, important though this may be. We are
here thinking of complex changes which, for instance, may not mean that any given individuals or
groups will have to work very much harder, but may mean that many different individuals and groups
will be affected, and in various ways, with the con-sequence that the success of the innovation will
depend upon all of them playing their parts, at the right time, in the right place and to the full extent. An
innovation which has implications for a wide range of groups, each with its own interests to protect and
promote, may well be less acceptable than one which affects only a few.
The more complex the innovation, of course, the more difficult it is not only to explain and gain
acceptance for, but to implement, and we must recognize that many of the changes we wish to make are
surprisingly complex. To be effective, curriculum change requires not merely that new syllabuses be
produced, perhaps by a curriculum. development team, and distributed by the administration to the
schools, but often that new teaching materials have to be produced by a number of independent
individuals and teams, printed and published by perhaps a number of publishing houses, and again
distributed to schools by the administration. Examinations may need to be changed not merely in
content but perhaps also in more fundamental ways if the syllabuses are to be taught by the methods
thought appropriate to the aims, and this may pose further problems of administering examinations,
providing materials and facilities to examination centers, collecting and distributing to markers new
kinds of evidence for assessment. The need for training is likely to be extensive, in the first instance for
curriculum developers and textbook writers, then for serving teachers and examiners, and then for the
initial training of teachers and examiners - requiring possibly a further curriculum development
exercise in respect of this training. Finally changes in the organization of schools and in the
administrative and support structure may be necessary.
All of this represents considerable cost, both financial and in terms of effort required. Oddly enough,
in countries which are often extremely short of such resources, it -is rare to find an innovation
proposed which will reduce costs and demands upon available expertise. It seems an almost
invariable rule that an innovation should demand greater outlay in these respects than what it replaces.
In any case the very process of devising and introducing a change involves costs which may often be
in-tolerably heavy. The simple conclusion that the lower these costs, the more likely an innovation is
to be acceptable and feasible should not obscure the fact that it is often very difficult to estimate or to
calculate the costs of particular changes since we are not thinking simply of the new materials or the
new equipment and facilities which may be required but also of the costs of opportunities foregone,
of the time and effort required by serving officers who might otherwise have devoted their time and
effort to something else, possibly no less essential.
These characteristics have been summarized under the following headings. This are:
1) Relative advantage is the extent to which an innovation is seen to be better than the idea or
practice it supersets. The advantage may be in terms of cost reeducation, saving time or effort,
usually in education the concern is for improvement in pupils' learning
2) Compatibility - This is the extent to which a change is perceived by potential users as being
consistent with the existing values and past experiences and present needs. An idea that is not

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compatible with the significant characteristics of the user system is less likely to be accepted and
adapted. This may consequently demands the change agent to be aware of the educational
philosophy and ability of those involved.
3) Complexity - is defined as the degree to which an innovation is perceived as relatively difficult
to understand and use. Some innovations have clear meaning to the users and some have not.
The complexity of the innovation as perceived by the members of the social system is negatively
related to its rate of adoption.
4) Triability - i.e. the extent to which it can be experimented with on a limited basis. it is suggested
that innovations that can be tried out on a limited scale are likely to be accepted more readily,
since the try-out minimizes risk
5) Observability- the degree to which others can observe it in action or observe its results and ideas.
This refers to that the results of some ideas /changes are easily observed and communicated to
others while some innovations are difficult to describe. In summary observability is positively
related to the adoption of an innovation
2.3 The User System
The User System; where the 'action' is. This is the target of all the change agent's planning -the system
which is trialling and possibly adopting an innovation.
The readiness of the 'school culture' (the readiness of the community, the managerial group, the teachers
and students) is more essential than the product
The best of intentions are likely to be frustrated if too much attention is paid to the nature of a proposed
innovation, whilst too little attention is given to the nature of the innovator(s) and to the nature of the
social system in which they work.
Because 'centre-periphery' or 'top-down' strategies have tended to have little impact on innovations,
attention is now increasingly being paid to the user system's view of the innovation process and the
accompanying problems.
According to Bishop (1982)
Potential users of an innovation will be more predisposed to accepting it. If:
1. it is relevant to them. This depends on several other factors,
2. the innovation is seen to have some relative advantage over their existing practices, i.e. if it
compares favorably or better with other practices, activities, keeping in mind the question of
resources;
3. the innovation is feasible in their particular organizational context;
4. it is compatible with the practices, values, characteristics of the user system. Compatibility ensures
greater security and less risk to the user and makes the innovation more meaningful to him;
5. it is seen as posing little or no threat to the user group -to its identity, integrity, territory. Hence the
importance of dialogue and negotiations with interested groups. The innovation must be shown as
benign or tolerable, not anti. Hence, too, the importance of providing adequate information;
6. its benefits, material or non-material, attach to the innovation; e.g. a sense of intrinsic satisfaction in
the innovation, increased learning and knowledge, a gain in status and social worth, career
opportunities etc.
7. it is flexible and adaptable -if it can be re-interpreted, 'creatively' adapted, if it is able to exploit to
advantage any situations that arise, then the greater the likelihood that the innovation wilt persist.
Most studies of innovation refer to the readiness with which individuals revert back to their former
habits and practices. In the traditional role the teacher knew he was transmitting knowledge successfully
in an easily testable way -by examinations. He was in close contact with a class of children at regular
intervals in a secure, closed class-room. This was the way he had been trained; this was the way he had

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taught for years; and this was what parents expected of him 'no playing around' with education. The
innovative role, on the other hand, is not so secure; the new content is strange; the new and unfamiliar
techniques like team-teaching and integrated studies leave him uncertain, even vulnerable; the enquiry
methods are too time-consuming; the assessment of work is difficult. The pressures on teachers involved
in innovation, often with futures that are somewhat uncertain, to revert back to their old, secure,
traditional habits is strong.
Having launched an educational innovation and seen it safely into orbit, the change agent must then
ensure that it remains in orbit. The innovation must be persisting enough to become established,
institutionalized.
The failure of innovations
'To recognize the problems in advance is to decrease the likelihood of failure. Study of the literature of
innovations, both in developed and in developing countries, (Bishop, 1982) shows that they can be
characterized by these features:
(i) innovations usually fail;
(ii) barriers to innovation invariably emerge;
(iii) resistance to change seems universal;
(iv) change, if any, is usually transitory;
(v) willingness to change appears related to conditions in society;
(vi) change mayor may not be rational.
The sad fact about educational innovations, indeed, about any innovations, is that most of them fail.
2.4. The Time Dimension
Innovation is a dynamic, social process which occurs over a period of time during which it may be
modified as a result of that social process. That time can often be longer than imagined. Professor Mort
of Teachers' College, Columbia University", has estimated that there is a 50 year time lag between
recognition of a need or problem in education and .the invention of an innovation to meet the need. Then
there is a further elapse of 15 years before the innovation is adopted by 3 per cent of the schools. The
concept of the comprehensive school was suggested in Sweden in the 1880's. But is was not till the
1930's that the educational change was put into practice. (Bishop, 1982)
Time, however, is a commodity which Third World countries are desperately short of.
Even so, there is a danger in making haste too quickly. Maybe the introduction of some innovations
should be paced more realistically. Instead of insisting on or expecting great changes in the shortest"
possible time, there is merit in moving ahead a step at a time, building at a pace within the capabilities of
the user system. UNESCO came to this conclusion concerning its Experimental World Literacy
Programme:
Bolam analyses the time dimension in terms of three major stages
(i) The antecedent (prior) stage. At this stage the three innovation systems -change agent,
innovation and user -exist separately of each other though each will probably have some
relationship with the other. As Bolam points out, it is vital to have a clear understanding of
the situation and of the characteristics and peculiarities of the change agent, innovation and
user, before any innovation process begins.
(ii) The interactive stage. This is the time from the beginning of a project to its completion,
during which period the three systems interact with each other.
(iii) The consequent (after) stage: -when the innovation process is over, when the three systems
separate again and some assessment can be made of the interactive experience on all three
systems.

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During the interactive and consequent stages the user system will .respond to the innovation in a variety
of ways: it may reject the innovation for one or more reasons, it may resist it, it may adapt it (sometimes
to the dismay of the change agent) or it may accept it fully and the innovation becomes institutionalized
as a fully integrated part of the user system.

Activity 2.3

1. Explain why the three innovation systems (innovation, change agent and the
user) are said to exist separately during the antecedent stage.
2. Using one example of change /innovation/ from the school system in which
you are working, explain how the innovation (change) the user system and you,
as a change agent interacted during the interactive stage.
3. How did you influence and was influenced by the other two systems of the
innovation? Present specific incidents and behaviors observed in the multi
dimensional interaction.
4. If the three systems of the innovation exist separately at the antecedent and the
consequent stages of change don't you think this would the violate the idea that
everything is in a "constant process of change?" Arrgue
5. Discuss the links you observe lecturer Blam's three stages of the change process
and the six logical phases of innovation. Which of the phases fall into which of
the three stages?

Bolam's conceptual framework for innovation provides a way of thinking about the process of change,
and an indication of how to go about doing it. It distinguishes between four major factors: the change
agent the innovation, the user system and the process of innovation over time. These four factors are
presented (in Figure as a two dimensional conceptual framework.
Dimension 1: The three major Systems
Time 1: Before
antecedent stage The change The The user
agent Innovation

Dimension 2: The process of Innovation overtime

Time 2: During
the interactive The user
The change
stage agent

The
Innovation
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UNIT 2 THE PROCESS OF PLANNED CHANGE/INNOVATION

Time 3: After
The consequent The change The Innovation
stage agent The user
A conceptual framework for the study of Innovation (Bolam, 1975:274-75)
These three issues relate to the unfolding of the change process over time, the importance of student
outcomes, and the meaning individuals make of the change process.
The first is the way in which the change process unfolds. This is further explained in a different
arrangement by Miles as quoted in West (1997).As Miles (1986) and Fullan (1991) have demonstrated
the change process is not linear, but consists of a series of three stages that merge into each other.
Although these phases of ten coexist in practice, there are some advantages in describing them
separately; particularly in terms of what happens during them, and what behaviors within each phase
make for success. The process is generally considered to consist of three overlapping phases: initiation,
implementation, and institutionalization.
Although implementation has received the most attention historically, this has most probably been
disadvantageous to the process as a whole. Emphasizing initiation and implementation at the expense of
institutionalization leads to a short-term view of innovation. Consequently, it is probably more helpful to
think of the three phases as a series of overlapping circles rather than a straight line.
The initiation phase is about deciding to embark on innovation, an developing comment towards the
process. The key activities in the initiation phase are the decision to begin the innovation, and a review
of the school's current state as regards it. There are, however, a number of factors associated with
initiation that will influence whether the change gets started in the first place. [. . .] they are issues such
as the existence of and access to innovations, pressures from within and out of the school, availability of
resources and consultancy support, and the quality of the school's internal conditions and organization.
Fullan (1991: 50) describes them in detail and emphasizes that it is not simply the existence of these
factors but their combinations that are important.
Matthew Miles (1986) has made an analysis of the various stages of school improvement: here is a
summary of his list of factors that make for successful initiation:
 an innovation tied to a local agenda and high-profile local need;
 a clear, well-structured approach to change;
 an active advocate or champion who understands the innovation and supports it
 active initiation to start the innovation (top-down is all right under certain con-ditions);
 good-quality innovation.

Initiation Implementationn
Institutionalization

Implementation is, as we have said, the phase of the process which has received the most attention. It is
the phase of attempted use of the innovation. [. . .] The factors influencing implementation [include]
the characteristics of the change, the internal conditions of the school and the pressure and support

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from the outside. [. . .] It is during this phase that skills and understanding are being acquired, some
success is being achieved, and responsibility is delegated to working groups of teachers. It is often
helpful to regard implementation as being of two types: pre-implementation and implementation. Many
innovations founder at the pre-implementation stage because not enough initial support has been
generated.
The key activities occurring during implementation are the carrying out of action plans, the developing
and sustaining of commitment, the checking of progress and the overcoming of problems. The key
factors making for success at this stage, according to Miles (1986), are:
 clear responsibility for orchestration/coordination (head, coordinator, external con-sultant);
 shared control over implementation (top-down is not all right); good cross-hierarch-ical work
and relations; empowerment of both individuals and the school;
 a mix of pressure, and insistence on doing it right', and support; . adequate and sustained staff
development and in service support (an external or internal coordinator, or a combination that
builds personal and organizational capacity);
 rewards for teachers early in the process (empowerment, collegiality, meeting needs, classroom
help, load reduction, supply cover, expenses resources).
Institutionalization is the phase when innovation and change stop being regarded as something new and
become part of the school's usual way of doing things. Until recently it was assumed that this happened
automatically. This is despite the evidence that innovations associated with many centralized initiatives
tend to fade away after the initial wave of enthusiasm, or after a key actor leaves, or when the funding
ceases. The move from implementation to institutionalization, however, often involves the
transformation of a pilot project to a school-wide initiative, often without the advantage of the
previously available funding. It is change of a new order. In these cases there tends to be widespread use
of the change by staff, its impact is seen on classroom practice, and by that time the whole process is not
regarded as being unusual. [. . .] Key activities at this stage, according to Miles (1986), are:
 an emphasis on embedding the change within the school's structures, its organization and
resources;
 the elimination of competing or contradictory practices;
 strong and purposeful links to other change efforts, the curriculum and classroom teaching;
 widespread use in the school and local area;
 an adequate bank of local facilitators - advisory teachers for skills training.
The failure of many efforts towards change to progress beyond early implementation is partially
explained by the lack of realization on the part of those involved that the above activities are necessary.
They have also failed to understand that each of these phases has different characteristics that require
different strategies if success is to be achieved.
The second and related issue is the importance of process leading to outcomes. The logic of the
approach is as follows: we begin with some educational goal, which leads to some form of innovation.
The impact and outcomes of the innovation are dependent on the nature of the initiation decisions (both
within and outside the school), the factors affecting implementation, the implementation strategy and the
degree to which institutionalization is achieved; all of which are embedded in, and dependent on, the
culture of the school. The important point is that all of this effort should have some impact on student
learning. Unfortunately many school improvement efforts have neglected this 'bottom line' by under
emphasizing the 'end of the chain'.

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Despite the evident truth of this point, it is unfortunately one that has been implicitly neglected in many
educational change efforts. Michael Huberman (1992: 11) summarizes the issue nicely:
[We need] to draw on studies that can actually demonstrate the causal relation-ship
between adoption> implementation> enhanced technical capacity revised institutional
arrangements> measurable impacts on pupils in line with the 'thrust' of the innovation.
Without that causal chain, we shall have no 'social technology' of implementation. Nor
shall we be able to talk of 'school improvement' with a straight face. And by not
addressing the impact on pupils, we will have indulged in some magical thinking as
before: that adoption meant implementation . . . that implementation meant
institutionalization . . . that enhanced teacher capacity means enhanced pupil achievement
or development.
. . . if changes in organizational and instructional practices are not followed down to the
level of effects on pupils, we will have to admit more openly that we are essentially
investing in staff development rather than in the improvement of pupils' abilities.
The third issue relates to the meaning that individuals give to their involvement in the change process.
This perspective needs to underpin all the rational and political conceptions of change reviewed in this
chapter. Fullan (1991: 32) reminds us that real change, 'whether desired or not, represents a serious
personal and collective experience characterized by ambivalence and uncertainty' for the individual
involved. If the result of this engagement is to be empowerment and fulfillment, then such a judgement
can only be made with hindsight. There is no such certainty as one works through the process that
meaning will be achieved.
The existing internal conditions within the school will make success or failure more or less likely. The
reason we need organizational settings in schools which sup-port teachers and students in the process of
change is that the experience of change is individually threatening and disconcerting. These settings
should be organized around the realization that change is a process whereby individuals alter their ways
of thinking and doing. There are a number of implications that stem from this (Fullan 1985: 396):
 change takes place over time;
 change initially involves anxiety and uncertainty;
 technical and psychological support is crucial;
 the learning of new skills is incremental and developmental;
 organizational conditions within and in relation to the school make it more or less likely that
school improvement will occur;
 successful change involves pressure and support within a collaborative setting.

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UNIT 3- MODELS AND STRATEGIES OF INNOVATION IN EDUCATION

UNIT 3
MODELS AND STRATEGIES OF INNOVATION IN EDUCATION
CONTENTS
3.1. HAVELOCK’S MODEL OF CHANGE
3.2. BENNE’S AND CHIN’S MODEL OF CHANGE
3.3. MIXED MODEL AND STRATEGIES
Objectives
At the end of this unit you should be able to:
 Identify the assumptions and limitations of each of the change strategies
 Evaluate the merits of each the models and strategies.
 Appreciate the values in having alternative strategies of change.
 Select appropriate strategy/strategies for particular change situation in which you may be
involved.
INTRODUCTION
Change in organizations in addition to identifying the problem and finding the appropriate solution
requires relevant strategies for its implementation. In this unit you will be acquainted with the various
models and strategies of change. In doing so, you as change agents are expected to appreciate the merits
and limitations of each of these strategies and come up with a strategy that seem appropriate to your
localities.
What is strategy?
By strategy is meant all the available procedures and techniques used by individuals and groups at
different levels of the educational system to attain desired objectives. A strategy is a deliberate attempt
to engineer (persuade) innovation.
3.1. Havelock’s Model of Change
Havelock in his model has identified three strategies of change. These are:
1) The research development and diffusion model (the RD and D model),
This model assumes that there should be a natural sequence in the evolution and application of an
innovation. These sequences should include research, development and packaging before dissemination
takes place. It assumes that there has to be planning on a massive scale on a long time span. In addition
it assumes that there has to be a division and coordination of labor to accord with the rational sequence
and planning. It assumes that there is a more or less passive but rational consumer who will accept and
adopt the innovation. Finally the proponents of this point view are willing to accept the fact of high
initial development cost prior to any dissemination activity.
2) The social interaction model and
This model advocates the approach that places emphasis in the patterns of which innovation diffuse
through a social system. It assumes that the individual user or adopter belongs to a network of social
relations that his place in the network is a ground predictor on the rate of acceptance of new ideas. In
addition, informal personal contact is a vital part of the influence and adaptation practices. Group
membership and reference group identification are major predicators of individual adapters. Finally it
assumes that the rate of diffusion through a social system follows predictable pattern.
3) The problem solving model
This orientation rests on the primary assumption that innovation is part of a problem solving process
which goes on inside the user or user system. Problem solving is usually seen as a patterned sequence of
activities beginning with a need which is sensed and articulated by the client system. This need must be
translated into a problem statement and diagnosis. Ones the problem is formulated and stated the client

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user is able to conduct a meaningful search and retrieval of ideas and information which can be used in
formulation of the innovation. Finally, after a potential solution is identified the user needs to concern
himself with adapting the innovation, trying it out and evaluating its effectiveness. The focus of this
orientation is the user himself, his needs and what he does about satisfying his needs. However
Havelock later included one more model that is the linkage model which combines the aspects of the
three earlier models by using linkage procedures and agencies.
3.2. Benne’s And Chin’s Model Of Change
Benne and Chin identified three models of change. These are:
1. The empirical rational model,
2. normative re-educative model and
3. the power coercive strategy
The details of these strategies are presented below.
3.3. Mixed Model And Strategies
Amalgamating the categories of Havelock and of Chin and Benne Bishop, has come up with six
strategies of change (innovation):
1. Strategies based on systematic research-oriented and evaluation-controlled approaches, such as
Havelock's Research, Development and Diffusion (R, D and D) and to some extent Chin and
Benne's rational-empirical approach.
2. Strategies emphasizing communication and diffusion of innovations through various channels
and inter-personal networks, such as Havelock's Social Interaction perspective and to some
extent Chin and Benne's rational-empirical approach.
3. Strategies involving locally participative problem-solving and self-help, including those of Chin
and Benne's normative re-educative model.
4. Strategies which emphasize inside-outside (or user-change agent) co-operation and dialogue by
planned linkage.
5. Power-coercive strategies, based on power, authority, administrative and legalistic directives.
6. Open input strategies which emphasize openness to all ideas. These strategies are now
considered in some detail.
1. The Research, Development and Diffusion Model
This strategy is effective where innovations have to be introduced on a large, macro scale, where ideas
have to reach geographically dispersed and isolated users and where those who will be implementing the
changes (usually the teachers) are often lacking in knowledge and expertise. This is the situation in
many developing countries and hence the model has been used extensively in introducing innovations in
these countries.
The Research, Development and Diffusion approach is a highly organized, systematic and rational
approach to innovation, founded on the following logical sequence of activities:
1. Basic research (as in industry) by a central team which plans and develops the innovation;
2. Trials of the innovation in the field;
3. Planned mass dissemination or diffusion of the innovation, by conferences, workshops, courses, etc.;
4. Implementation of the innovation by the users.
Characteristic of the R, D and D approach is that a development agency at the centre which produces
packaged solutions for the users at the periphery (schools and teachers). Hence, this approach is also
known as the 'centre-periphery' or 'top-down' approach. ,

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One advantage of such a strategy is that the more talented and experienced teachers and experts are
more likely to be found at the 'centre' of an educational system, and this expertise can then be utilized
for the benefit of the whole system.
Among the disadvantages are:
(i) Users (e.g. teachers) are involved in the development process only to a limited extent; they
are the passive recipients of changes proposed for them by some distant agency.
(ii) Because of the high degree of centralization, local needs and variations are often neglected.
However, by involving users more closely in the development of the innovation they need not be left to
feel that they are dancers to a tune composed and played by people remote from their problems. When
others invent solutions we are less committed to implement them.
The introduction of the 'modular instruction' innovation by Indonesia mentioned a few pages earlier is an
example of the R, D and D approach.
2. The Social Interaction/Diffusion Model
Social interaction is the usual way by which ideas and practices are diffused through society -by
informal contacts between interested individuals and groups. This strategy usually takes the form of
convincing people of the value and usefulness of an innovation and then enabling them to see for
themselves the innovation in action. This is how 'extension agents', especially in agriculture, carry
technical knowledge to the consumer. This 'extension agent' approach is used in many developing
countries, for example in India with its village-level workers. The ACPO rural education project in
Colombia makes extensive use of the social interaction/diffusion strategy, using the network of local
parish organizations to promote its programmes through informal, personal contacts.
A great advantage of this strategy is that it is a 'natural' process. One disadvantage is that the process can
be unsystematic and unplanned (even though the original source of the innovation may be
research-based). Also, the process being informal, can be slow. But any unplanned approach can be
made more systematic by structuring and coordinating the contacts between groups and individuals
interested in the innovation. This can be done by courses and conferences, by visits to schools, by setting
up special agencies to stimulate diffusion.
3. Participative Problem-Solving Strategy
This strategy is essentially a user-centered one. People have within themselves most if not all the ideas,
resources and energy to bring about change. Innovators at the periphery set about solving their own
problems. The problem-solving process of innovation is carried out within the user or client system, be it
a school, a community or an individual. The user identifies a need, the need is translated into a problem
statement which is then diagnosed; this diagnosis leads to a search for a satisfactory solution; possible
solutions/innovations are considered and the best alternative selected; this optimum. Solution /
innovation is trialed and evaluated for its effectiveness; if satisfactory, the solution/innovation is adopted
and implemented. The problem-solving strategy is similar to the problem-solving systems analysis
process mentioned earlier and which may be represented as follows:
Need Diagnosis Search for solution Select the best alternative solution
Try out and evaluate the innovation Implement the innovation
Whereas in the R, 0 and 0 approach the initiative for innovation comes from the 'centre' or 'top', in the
participative problem-solving model the initiative comes from the 'periphery', from the user system. In
contrast to the 'top-down' approach, this is a 'bottom-up’ approach, grass roots innovations developing as
a result of local initiatives. Local initiative, local responsibility, collaboration and self-help, reliance on
local resources to the fullest extent, these are the driving forces behind innovation. The role of the
outsider is essentially consultative, providing ideas, guidance and perhaps temporary inputs of aid.

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The problem-solving approach offers Head teachers and teachers themselves the means to improve the
organizational health and self-renewing capacities of their own schools. Using what is termed
organization development, staff members themselves carry out the assessment, diagnosis and
transformation of their own schools and so help to enhance the creativity of the schools, that is, their
'capacity to adopt, adapt, generate or reject innovations'
4 . The Planned Linkage Strategy
This strategy combines aspects of the three earlier strategies by using linkage procedures and agencies
intermediate between the centers of educational change and the users. These agencies mediate and link
together all the parties involved in the innovation process.
These linkage agencies could be teachers' centers, regional resource centers, institutes of education, etc.
which provide linkage by giving support and advice, providing resources, running in-service courses,
seminars, workshops, visits, by providing support to trial schools after the main innovation development
team has withdrawn, by suggesting innovations tried and tested elsewhere to users with similar or
related problems. These agencies can also provide valuable feedback, thus helping to improve project
administration; materials etc., and also serve to strengthen the sense of collaboration between change
agent and user
5. Power - Coercive Strategy
These are strategies used by persons or groups who have power to enforce innovations, e.g. governments,
national or local education authorities, inspectors, headmasters, teachers, that is, people who have
political, legal, administrative and economic power and resources to impose innovation. Such action is
sometimes necessary, as for example, when it is necessary to co-ordinate effort, or when it is necessary
to overcome inertia, or just on the grounds of greater efficiency.
Whilst most countries use these strategies to bring about changes in the fundamental aims and structure
of their educational systems, many are now doubting the effectiveness of such 'top-down' approaches for
changing curriculum, methods of teaching, teachers' attitudes etc. One can take a horse to water but one
cannot make it drink. One must take account of the individuality of members of the user system; the
relationship between change agents and users must be characterized by respect and co-operation rather
than by coercion and compliance. To instruct the staff of a school to change to a new and unfamiliar
method of teaching often results only in a limited 'mechanical' or 'superficial' conformity with the
directive, only in compliance with the 'letter of the law'; at worst it can invite teachers to ignore the
directive altogether or even defy it. Planned change is more readily accepted when a policy of assent
rather than compliance is adopted. Power-coercive strategies have a propensity to stir up a divine
discontent.
If innovations are to be genuinely institutionalized at school and classroom level then much more
consideration has to be given to the needs and problems of the users -teachers and schools. There must
be more 'power equalization', the users must be allowed to participate more in the decision-making
relating to any innovation.
In passing, one might note that coercion can take many subtle forms, ranging from brainwashing and
manipulation to 'hidden persuaders' and payola. When persons in authority have the power to withhold
or withdraw incentives, this is a form of coercive sanction. When an inspector offers 'advice' to a young
probationer in such a way that the latter is left in no doubt that he is not free to ignore it, such
non-rejectable advice is coercion. In New Zealand a new design of school building was introduced to
'coerce' teachers into accepting a more 'open-plan' form of teaching.
Among the advantages of power strategies are:

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UNIT 3- MODELS AND STRATEGIES OF INNOVATION IN EDUCATION

(i) they are effective when there are time constraints; quick and dramatic results can be achieved
more quickly by such strategies;
(ii) they are perhaps the easiest and cheapest to apply, but are not necessarily the best in the long
run.
The disadvantages are that they can be less cost effective and less lasting, if based on coercion which
generates resistance and hostility.
With 'participative' approaches, change may be effected more slowly, but resistance will be less than an
'authoritarian' -'Here it is, use it' -approach. Strategies based on 'persuasion' are generally longer lasting.
6 . Open Input Strategy
Havelock, in a more recent study, identifies yet another strategy of innovation, which he calls the open
input strategy. It is a very wide open, flexible, pragmatic and even opportunistic approach to innovation.
The underlying philosophy seems to be 'let's try anything and everything, being as open and pragmatic
as possible, using power and the law where need be, and informal influence and persuasion where they
can be used'. The model is an 'all strategies' approach. However, as Havelock and Huberman point out,
while flexibility may be the best way to counteract the mire of bureaucracy, more anchoring is needed if
an innovation is to have solid and lasting accomplishments.
In sum, rarely are the strategies mentioned used in their pure form. Often the distinction between the
various strategies of innovation is not quite as clear-cut as indicated; they often merge into one another.
Often several different strategies are used effectively at the same time. What strategy or strategies are
used depends on the varying circumstances. Often 'control' strategies (like power-coercive) are
combined with 'influence' strategies to 'sweeten the pill', to gain the I"C assent of users. Rather than
sanctions, incentives in the way of pay increases, promotion, enhanced status, are offered to the users.
At a 'pilot' or 'trial' stage of an innovation the change agent will not be able to include everyone. If these
people are not to feel 'left out' he must develop suitable strategies to somehow give them a feeling of
participation. Developing countries often don't have the time to await detailed research findings before
mass implementation of an innovation. They resort to action research and 'rolling reform' as the
innovation proceeds.
Havelock and Huberman indicate how mixed strategies can be used most effectively. It is important for
innovators to pursue a planned strategy which takes full account of what is known about the innovation
process. This includes being open and flexible, being oriented towards the user's problem-solving
process and needs, making judicious use of power where it is necessary and reasonable to do so, and
taking full advantage of research on the diffusion of innovations in social systems. The optimum
strategy takes account of all these elements and orchestrates them, retaining a continuing awareness of
what is happening in the user system, making an effort to maintain two-way communication and, above
all, remaining sensitive to the people the project is trying to help.
Whatever strategy a change agent uses he should make use of all the resources available to him e.g. the
spoken word, print, radio and television for communication; micro-teaching and other techniques for
training; observation, evaluative research etc. for feedback. It is these that often decide the fate of an
innovation (Bishop, 1982).
Writing about managing tin turbulent times, Ousten (1997) raised key issues for educational managers.
Study each of them and respond based on you context
- What is your understanding of the organization you work in? Do you understand it as a rational
organization where actions and outcomes are predictable?
- What is your understanding of the external context? Is it rapidly changing in unpredictable ways,
of is it relatively stable?

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UNIT 3- MODELS AND STRATEGIES OF INNOVATION IN EDUCATION

- Do rational models fit your understanding of your school? Which of the models of change does
your experience of being a manager in your particular school support?
- What is your attitude to risk and control? Are you comfortable with devolving management your
more junior colleagues- and to ‘trying things out’ – or do you feel that professional responsibility
demands tighter control?
- What is your role in the clarification of values underpinning the school? Should managers decide
values, or negotiate them with others?
It should be noted that ‘managing change’ has, in the past, been seen as some-thing special, which
occurs intermittently against a background of stability. Theorists of post-modernity ( for example
Harvey, 199)) argue that this is no longer be made using rational framework to plan, for implement,
‘progress’
It is argued that the complexity of local and national organizations, and their dependence on rapidly
changing international financial circumstances, make long-term rational planning and control impossible.
A countries economy is inextricably linked with the economies of other parts of the world so that
decisions about public expenditure are governed by factors outside national control. Post-modernists
would argue that the rational interpretation of organizations, where actions and responses follow
understood and predictable patters, and where stability is its natural state, is no longer tenable. Rapid
change is a regular part everyone’s lives, including teachers, and occurs in response to external pressures
and expectations, in addition to teachers’ own discussions to improve the quality of teaching and
learning offered to their students
Change in education has major differences from change in other kinds of organization. Most changes in
education in some countries (England Wates) in recent years have been imposed through direct
government action, or indirect demands resulting from education acts. The interacting pressures of
centrally imposed initiatives, have placed schools in a very different position to most commercial
organizations. While they too experience pressures from the rapidly changing external environment, in
the main, they have choices over how, what, and whether, to change some aspect of their practice while
schools have far fewer choices. In reading about change written from non educational perspectives these
differences must be kept in mind.
In their discussion about organizational change, Wallace and McMahon (1994) see turbulence as
referring to both internal changes within organization, and external changes in demands from their
environments. As they point out schools will have areas of turbulence and stability co-resisting at the
same time, but the balance may be more towards one than the other at different times. Lewin (1951),
using systems theory, argued that organizational change could only occur in conditions of instability –
he referred to stable organizations as being ‘frozen’< and that they had to be ‘unfrozen before change
could occur. But a ‘turbulent’ internal and external environment suggests not merely pressure for change,
but rapidly changing pressures with different levels of intensity and different areas o focus. There is also
the implication that turbulence provokes unpredictable behaviour, and may lead to a lack of control or
direction, which in its turn, may damage the organization’s processes and outcomes.
Two key features in most rational analyses of change are whether the change is imposed, or chosen by
school personnel, and whether the extent of the changes sought can be implemented directly, or require
more widespread changes before the particular change can be introduced. Cubamn (1988) distinguished
between first and second order changes: first order change is about doing what we already do, but doing
it differently, Second order, more complex, change demands changes in the organization first. Turbulent
change might be defined as more second order changes than the organization can readily absorb.

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Imposed change is often made more acceptable by developing or modifying what is required. Many
schools ‘domesticated’ the National Curriculum in Britain through the process of introducing it: teachers
took ownership of the changes during the implementation process. Indeed, one could argue that second
order changes may make first order changes more psychologically acceptable.
It is important in any discussion of imposed change to consider who is imposing on whom. Senior
management teams can choose to change, while at the same time imposing changes on their more junior
colleagues. Whether teachers perceive that they have choice or not may depend on their role within the
organization, and its internal management
The outcome of the second issue concerning the potentially damaging effects of turbulence will depend
on how the change is managed, on the expertise and previous experience of those leading and
implementing the change.
Models of Managing Change
The models to be reviewed here are presented in order starting with those which assume a rational
understanding of organizational dynamics, and linear and predictable relationships between management
action and its outcomes.
Over the last ten years, writers on the management of change have progressed from assumption of both
rationality and linearity to models which assume neither.
Alternative approaches to change in educational organization reviewed here are presented in foru broad
categories as shown in Figure. The first group includes approaches which argue that change can be
understood, and that there are predictable links between teachers’ decisions and actions, and outcome.
The second group stresses the importance of the meaning which participants develop to understand
change and the third uses the notions of ‘bounded rationality’ and ‘satisficing’ (March and Simon, 1958)
where decisions are made within a limited area to be ‘good enough’ rather than ideal. The fourth group
of theorists in the main reject rationality and linearity because of the complexity of organization and
unpredictability of the links between action and outcomes. It should be noted that these groups of
theories did not emerge in this time sequence: in the main the earliest theories to be discussed here are
those in the middle groups. These were then rejected for the first group of rational and linear models,
which are now being challenged by the fourth group writers who favour non-rational and non-linear
models. This parallels of developments in theories about leadership. As rational models are replaced by
non-rational ones, personal and collective values take a higher profile. If one holds to scientific models
of management, they key question is which management action are most likely to lead to the desired
outcome? Concern about values may be a minor issue. But once one moves to an understanding of
organization as complex and non-linear then values move to centre stage. If these are not made explicit,
taken-for-granted values – and conflicts – will be powerful but lead to outcomes which no one desires.
Rational models of Group 1
organizations assumed a: school development planning (Hargreaves and Hpkins, 1991)
b: planned change (Everaid and Morris, 1996)
Linear relationships c: strategic planning (Fidler, 1997)
between action and flexible planning (Wallace and McMahor, 1994)
outcome Group 2
E: the meaning of change (Fullan with Stiegelbauer, 1991)
Group 3
Less- and non-rational f: incremental planning (Lindbolom, 1956)
models assumed g: Evolutionary planning (Louis and Miles, 1990)
Group 4

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UNIT 3- MODELS AND STRATEGIES OF INNOVATION IN EDUCATION

Non-linear relationships h: garbage can model (March and Olsen, 1976)

between action and j: ‘change forces’ (Fullan 1993)
outcome k: chaos theory (Stacey, 1992; Maxcy, 1995)
m: managing as a performing art (Vaill, 1991)
Figure: Alternative approaches to change source Ousten (1997)
It will be argued that relatively limited changes in a non-turbulent environment are most appropriately
managed using the approaches set out in Group 1 while highly complex changes in a turbulent
environment may be most appropriately managed using those set out in Group 4. Approaches set out in
Groups 2 and 3 are seen as intermediate, and appropriate for intermediate sets of changes in
environments. As we move from (a) to (m) we move from assumptions of linearity and rationality, to
assumptions of complexity, non-linearity and non-rationality. The move from model (a) to (m) could
also be seen as a move from prescriptive models of change (what ought to be done) to descriptive
models (what is done) although all the models in Group 4 us description as a starting point for
suggestions for action. The theorist included in Figure are chosen as widely read, and thought provoking,
examples of each approach, but others could have been included in their pace.
School Development planning
After the introduction of local management of schools the concept of school development planning was
introduced. Schools were encouraged, and later required, to prepare school development plans to guide
their management. This is a rational and linear model of managing change, where most of the issues are
seen to be readily grasped and where the correct action is assumed to lead directly to a predictable
outcome.
Strategic Planning
Two major concerns have been raised about development planning as an approach to managing change.
Fidler (1997) has argued that development plans take insufficient account of the charging pressures from
the external environment, and of future likely change external to the school. This leads him to argue for
strategic rather than development planning: he argues that the main difference between the two
approaches is at the stage of analysis which is undertaken in preparation for writing the plan. This
analysis should include an examination of relevant factors outside the school and consideration of the
school and its future – often called ‘environmental scanning’ and ‘scenario writing’.
Flexible Planning
Second, the traditional approach to development planning has been questioned by Wallace and
McMahon (1994) who argue that they very rapid rate of change in schools leads successful managers to
adopt a flexible approach to planning where plans are changed frequently in response to changing
external events. Both strategic planning and flexible planning are seen as essentially rational, and
assume linear, if compels, links between management action and outcome. However, as Fider (1997)_
has pointed out, flexible planning is inevitably reactive, and may be slower than is needed in a fast
changing external world. School managers may be constantly trying to ‘catch-up’ with change, writing
flexible plans for the past.
Personal Perspectives
Fullan with Stiegelbauer (1991) from the fully rational model by stressing the importance of participants
own creation of meaning in the implementation of change. Different participants may develop different
meanings for the same change programme, leading them to act in different, and to the outside observer,
unpredictable ways. When the purpose of an innovation is not clear to all, participants may develop their
personal – and to them rational- “false ‘clarity which will differ from person to person. This notion
echoes that of Greenfield (Greenfirld and Ribbins, 1993) who argued that organizations could only be

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UNIT 3- MODELS AND STRATEGIES OF INNOVATION IN EDUCATION

understood subjectively, and that the organization’ did not exist beyond its social construction. Much of
Fullan with Stiegelbauer’s discussion is based on change that has been chosen. It is important to bear
this in mind when considering their work as a model of change in English and Welsh schools: it is
possible that there may be less ‘false clarity’ among teachers here when government-led initiatives are
so widely publicized and discussed.
Fullan with Stiegelbaurer (1991) proposed that change has four stages: initiation, implementation,
continuation and outcomes. These are not linked in a simple, one-way, sequence, but assumes that there
may be feed forward and feedback between each of the phases, for example implementation will affect
continuation, and continuation will also affect implementation. This is potentially a very complex model
of change, with each of these four phases interacting with the others. They argue that ‘change is a
process, not an event’, and that it cannot be assumed that initiation and implementation will lead quite
un problematically to the desired outcomes. Like Wallace and McMahon (1994) they see the
participants in educational change constantly assessing implementation and making adjustments as
needed.
Incremental and Evolutionary Planning
The next group of change management theories can be seen in the context of the nation that schools and
loosely coupled systems’ (Weick, 1976). Teachers are seen as working relatively independently of each
other in their own classrooms, having little direct impact on other teachers’ practices. Teachers are not
constantly supervised as other workers are, and diversity has often been seen as a positive outcomes of
teachers’ professionalism and relative autonomy.
Two theories are presented as being typical of those in the middle ground between rationality and
non-rationality, but both assume that there is a linear link between action and outcome, at least in the
short-term. Lindblom’s (1959) incremental planning model has similarities to Wallace and McMahon’s
(1994( model of flexible planning. Lindblom argued that planning decisions were generally made this
might be interpreted as a disparaging description, it can be argued that incremental approaches to
organizational change are more likely to be successful in a complex environment: decisions are made
rationally as those which are most likely to contribute to achieving longer-term objectives. But he whole
chain of actions to achieve these is not planned in advance.
Evolutionary planning for change (Louis and Miles, 1990) has similarities with incremental
planning. ?this approach argues for the importance of developing shared aims and values, but that
individuals will each, in their own short-term decision external and internal changes through the
collective responsiveness of individual decision makers.
Non-rational, Non-linear Models
Moving on to explore the models of educational change included in Group 4, these do not assume
rational organizational models, or that there are linear and predictable relationships between
management action and outcome. It is striking that Fullan’s two books on educational change are so
different in their approach (Fullan with Stiegelbauer, 1991 and Fullan, 1993). As he says in the preface
to the latter book:
We are going to end up debunking myths, exposing half truths, and juxtaposing things
that do not normally go together. I will be calling into question vision and strategic
planning, site based management, strong leadership, accountability and assessment
schemes, collegiality and consensus and other favorites of the day. (Fullan, 1993, [Link])
This is a truly radical agenda with post-modern overtones, but one that is echoed by all the writers in the
category. This agenda is both intellectually exciting but sometimes difficult to grasp: trying to think
coherently bout non-rationality and non-linearity is very challenging and often feels paradoxical. How

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Heading: MANAGEMENT OF CHANGE AND INNOVATION IN EDUCATION
UNIT 3- MODELS AND STRATEGIES OF INNOVATION IN EDUCATION

do we ‘manage the unknowable’ (Stacey, 1992)? But before exploring these ideas in more depth we will
start by discussing the ‘garbage-can’ model of March and Olsen (1976). This is a descriptive model of
how decisions are made in complex educational organizations, where decisions are seen as resulting
from the idiosyncratic and illogical interactions in a “garbage-can” between four variables…
problems,… solutions… participants… and choice opportunities’ (Wallace and McMahon, 12994, page
23). Wallavce and McMahon question how such organizations survive, but it may be that the
garbage-can approach enables evolutionary planning to take place. Provided that there is some
agreement about the aims and purposes of the organization, the apparently uncoordinated actions of
individuals may lead to appropriate action.
Each of the writers in Group 4 is concerned with the facilitation and use of patterns which emerge within
the unpredictability they see in complex organizations. They assume that there are no simple linear links
between causes and effects: that actions may have very varying, and unpredictable, outcomes because of
complex chains of organizational processes. Theorists who take a rational approach would try to
understand these by hypothesizing complex contingencies- if action ‘’ happens in context ‘b’ then ‘c’
will result and this will ultimately, through a complex chain of actions, contexts and outcomes, lead to
outcome ‘g’. The theorists in group 4 deny that this level of predictability can ever be achieved. All
come to similar conclusions: that modern organizations are too complex to explain in this way and argue
that the most effective management model is the learning organization’ (Senge, 1990). In the learning
organization decisions are taken at all levels: team work and diversity is encouraged and valued;
conflicts and mistakes are used as part of the organizational learning process. But these are set within a
culture of explicit and shared value. Fullan (1993) sees that new role of the head teacher not as a strong
leader but as a leader of the collective learning who articulates the school’s premature vision and
planning (an) blind’ (p.21). He contrasts this to the strategic planning approach and summarized
Beckhard and pritchard’s (1992) views of leaders ‘creating and setting the vision, communicating the
vision, building commitment to the vision, and organizing people and what they do so that they are
aligned to the vision’ (p.29). There is a clear conflict between these approaches.
In recent years “chaos theory’ (Gleick, 1987;Maxcy, 1995) hs been a powerful influence on the
development of non-linear approaches to the conceptualization of organizations. Chaos theory was
developed to explain he regular but unpredictable nature of many natural phenomena, and the way in
which recognizable ‘bounded’ patterns emerge in such complex, and apparently random system
Fullan (1993) acknowledge the influence of Stacey’s work (1992) on ‘managing the unknowable’ on his
changed thinking about the nature of change in education. Stacey dismisses long-term visions and vision
of a future state must be a dangerous illusion.
… effective management focuses on ever-changing agendas of strategic issues. These agendas consists
of multiple challenges, stretching aspirations and ambiguous issues the challenge, aspirations and issues
all arise out of ill-structured and conflicting changes occurring in the here and now but having long-term
widespread consequences. Such a vibrant agenda of issues means that the organization does not hitch its
future to any one development alone. From all this, it is only with hindsight that we can detect a ‘vision’
pr describe a plan. (p.23).
He goes on to argue that ‘shared cultures block an organizations ability to handle live strategic issues
agendas’ and that what is needed is ‘spontaneous, self organizing learning groups of managers, tackling
conflict, engaging in dialogue and publicly testing assertions that are vital to the handling of strategic
issues’ (p.24). He sees strategy as emerging from the learning which takes place in the circumstances,
and through micro political interaction. ‘Continuing success flows from non equilibrium, creative

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UNIT 3- MODELS AND STRATEGIES OF INNOVATION IN EDUCATION

interaction with the environment, not adaptive equilibrium that simply comes from building on existing
strengths’ (p.25)
Choas theory also acted as the starting point for Gutnter (1997), who argues against what she calls the
‘quick-fix ring binder’ approach to education management with solutions to management problems
available off-the-shelf. Using chaos theory as a context she argues for the empowerment that will come
from professional reflection and reflexivity. This echoes Stacey’s emphasis on group learning, and on
the empowerment of staff in the learning organization.
In conclusion, we have reviewed the very different approaches to managing organizations in changing
circumstances. It stated with the now ‘traditional’ approach in schools to school development planning,
and moved away from rational and linear models of organizations to he heady world of chaos theory and
‘managing by metaphor’. It has tried to show that these different approaches do not merely reflect
fickleness on he part of the writers but can these groups of models do we use when face with a practical
management problem and is it possible to combine the various models into one super-model that will
provide guidance in all circumstances? At the beginning of this chapter it was argued that we moved
from Group 1 to Group 4 as the organization being managed was conceptualized as more complex, and
less rational. This is an important distinction. It is possible to write a traditional school development plan
to manage change over the coming academic year provided that we see the school as a rational
organization in a relatively stable environment, and the outcomes of management action a predictable.
The extent to which this is a worthwhile model with depends on whether these assumptions are justified
and also on the level of detail in the plan. A very detailed process-based plan (how are things to be done)
would be more vulnerable to lack of rationality, linearity, stability and predictability than a much
broader brush statement of aims and purposes.
It would be argued that the manger would move from Group 1 approaches, to those in Group 4.
according to the complexity of the organizational dynamics relations to he particular innovations. King
(1997), using Demigng’s (1992) ideas, has argued that highly complex organizations ca be made more
manageable’ by very short-term cycles of evaluation, action and review/ He has demonstrated that
frequent use of the plan-do-study-act cycle to understand the processes of complex systems allows us
to intervene to ameliorate the damaging impact of chaos without removing its positive, creative aspects.
This is rather similar to Fullan’s notion of ready, fire, aim’ (p.31) where the doing (firing) creates
information from with aims can be developed.

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Heading: MANAGEMENT OF CHANGE AND INNOVATION IN EDUCATION
UNIT 4- RESISTANCE TO CHANGE

UNIT 4
RESISTANCE TO CHANGE
4.1 CAUSES OF RESISTANCE TO CHANGE
4.2. MECHANISMS OF REDUCING RESISTANCE TO CHANGE
Objectives
At the end of this unit you should be able to:
 Explain the causes of resistance to change
 Identify the mechanisms of reducing resistance to change suitable for different contexts
 Evaluate the mechanisms of reducing resistance to change by exemplifying different contexts in
which resistance could be manifested.
 Select appropriate mechanism for reducing resistances to change for a particular situation in
which you may be involved.
4.1. Causes of Resistance to Change
Why do people resist to change?
Pressures on school organizations to change are presently accruing and demand some response from
members. But many of the problems associated with change concern the forces resisting it- that is the
forces for maintaining the status quo or equilibrium. Two major issues concern the resistance to change:
the causes of resistance and ways of reducing resistance
People working in organizations develop their established ways of interpersonal relationships, attitudes,
norms and values. They also develop their abilities to make sense of their work environment and to
predict the outcome of their efforts and behavior. They exist and function in a state of their own
contrived equilibrium. When a change disrupts their established task and social relationships they tend
to resist it.
The effects of resistance may be overt or covert. Overt resistance may take the form of employees
deliberately failing to do the things for successful change or simply being unenthusiastic about the
change. Covert resistance is implicit i.e. hidden. The absence of overt resistance does not mean that
resistance is not present, as resistance may be hidden from direct observation. Covert resistance can be
more detrimental to change than open resistance because it is harder to identify and eliminate.
Lumenburg and Orastein, (1991) dwell on the causes of resistance to change and come up with nine
common causes. These include interference with need fulfillment, fear of the unknown, threats to power
and influence, knowledge and skill obsolescence, organizational structure, lack of incentive, lack of
understanding and difference of opinion. A brief description of each one of these is in order:
Interference with Need Fulfillment:- Changes that interfere with a person’s economic, social esteem, or
other needs are likely to meet with resistance. People usually resist changes that could lower their
income or job status, such as termination or a demotion. Besides the fulfillment of economic and esteem
needs, people work for social reasons. The social relationships that develop in the organization are often
more important to its members than is commonly realized. For example, even such seemingly minor
changes relocating employees within the same building or school district may affect social-status
relationships and result in resistance.
1. Fear of the Unknown:- People like stability. They may have invested a great deal of time and effort
in the current system. They have established a normal routine in performing their jobs. They have
learned what their ranges of duties are and what their supervisor’s expectations are for performing
these duties. They have some idea of the routine problems that may surface in the performance of
their jobs. That is, they have learned how to perform their jobs successfully, how to get good

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UNIT 4- RESISTANCE TO CHANGE

“predominance. ratings from their supervisors, how to interact ,with their work group, and so on. Put
another way, the present system has a high degree of certainty.
Changes in established work routines or job duties create some potential unknowns. For example,
employees may fear that they will not be able to perform up to their previous standards.
They may have to learn a new job. They may have to learn to adjust to a new supervisor’s expectations.
They may have to adjust to a new work group. They may have to make new friends. When a change
occurs, the normal routine is disrupted, and the employee must begin to find new and different ways to
function within the environment.
2. Threats to Power and Influence:- Resistance can also occur because the proposed changes may
reduce one’s power and influence in the organization. One source of power in organizations is
the control of something that other people need, such as information or resources. Individuals or
groups who have established a power position in an organization will resist changes that are felt
to reduce their power and influence. For example a woreda education officer whose district is
threatened with consolidation with another, district will resist the merger in order to maintain his
current position.
3. Knowledge and Skill Obsolescence:- Somewhat related to threats to power and influence is
knowledge and skill obsolescence. While the former usually applies to management, the latter
can apply to any member of the organizations hierarchy. Employees will resist organizational
changes that make their knowledge and skills obsolete. For example, consider the school
bookkeeper who has mastered a complex accounting system over a long period of time. The
Education office announces the implementation of a new computerized accounting system that is
reputed to be easier and more efficient. The bookkeeper is threatened by a change to a new
computerized system and will likely resist the change because his identity is the mastery of the
old and more complex accounting system.
4. Organizational Structure:- Like all modem organizations, schools have many of the
characteristics of an ideal bureaucracy -a hierarchy of authority, a division of labor and
specialization, rules and regulations, impersonality in interpersonal relationships, and a career
orientation. In fact, the very meaning of organization implies that some degree of structure must
be given to groups so that they can fulfill the organizations goals. However, this legitimate need
for structure can be dysfunctional to the organization and serve as a major resistance to change.
For example, schools typically have narrowly defined roles; clearly spelled out lines of authority,
responsibility, and accountability; and limited flows of information from the top to the bottom of
the hierarchy.
An emphasis on the hierarchy of authority causes employees to feed back only positive information to
superiors concerning their jobs. The avoidance of negative feedback by subordinates hampers school
administrators from identifying subordinates’ concerns and needed changes in the organization. The
taller the organizational structure is, the more numerous the levels through which a message must travel.
This increases the probability any new idea will be filtered as it travels upward through the hierarchy
because it lets the status quo in the school or school district.
6. Limited Resources:- Change requires resources: capital and people with the appropriate skills and
time. A school district may have identified a number of innovations that could improve the effectiveness
of the district operation. However, the district may have to abandon the desired changes because of
inadequate resource. We are certain that you can identify a number of local school district innovations,
as well as those initiated by the federal and state governments, that have been deferred or completely
abandoned due to resource limitations.

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UNIT 4- RESISTANCE TO CHANGE

7. The lack of incentive:- Change can be a difficult and frustrating experience for the individuals or
groups involved. Although the administrator may be personally convinced of the benefits which will
accrue if a proposed change is adopted, he can seldom guarantee those benefits or other incentive
(monitory or otherwise) to persuade others to adapt the innovation. As a result, he is dependent upon his
own ability to Influence others to adopt a proposed change for which there may be high personal costs in
terms of time and frustration, and no immediate gain.
8. Lack of understanding- People may resist a proposed change because they don’t possess an adequate
or accurate understanding of it. Their deficiency may be caused by a failure on their part to pay close
attention tat the time that the proposed change was explained, or, on the other hand, information about
the change may have been poorly or inaccurately communicated. In any respect, a lack of understanding
of a proposed change can act as a significant deterrent to its successful implementation.
9. A difference of opinion:- A proposed change may be resisted because of an honest difference of
opinion about whether it is needed, or whether it will accomplish all that its proponents claim. The
difference in opinion may be based on conflicting philosophies and values of education in regard to
teaching and learning, or it may result from variant assessments of how much improvement would
actually occur if the proposed change were implemented.
4.2. Mechanisms of Reducing Resistance to Change
Forces may originate in the internal or external environment of the organization or in the behavior of the
change agent. Educational administrators must play an active role in initiating change and in attempting
to reduce resistance to change. Educational administrators can think of the current condition in an
organization as an equilibrium that is the result of driving forces and resisting forces working against
each other. Change agents must assess the change potential and resistance and attempt to change the
balance of forces so that there will be movement toward a desired condition. There are three ways of
doing this: increasing the driving forces, reducing the resisting forces, or considering new driving forces.
Lewin points out that increasing one set of forces without decreasing the other set of forces will increase
tension and conflict in the organization. While increasing driving forces is sometimes effective, it is
usually better to reduce the resisting forces because increasing driving forces often tends to be offset by
increased resistance. Put another way, when we push people, they are; likely to push back. The figure
below illustrates the two sets of forces pressures for change and resistance to change. It also illustrates
force-field analysis that shows both the pressures for change and resistance to change within a school
setting. This is the type of situation that educational administrators face and must work with on a daily
basis when attempting to effect change.
The figure shows, change results when an imbalance occurs between the ratio of driving forces and
resisting forces. Such an imbalance alters the existing condition-hopefully in the direction planned by
the administrator into a new and desired condition. Once the new, desired condition is reached, the
opposing forces are again brought into equilibrium. An imbalance may occur through a change in the
velocity of any force, a change in the direction of a force, or the introduction of a new force.

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Heading: MANAGEMENT OF CHANGE AND INNOVATION IN EDUCATION
UNIT 4- RESISTANCE TO CHANGE

Pressure for change Current Condition Desired Condition

Resistance to change

Government Intervention Interference with Need

Society's Value Change Fulfillment
Fear of the Unknown
Technology and Knowledge Threats to Power and
Explosion Influence
Knowledge and Skill
Administrative process and Obsolescence
Fulfillment of Organizational Structure
Limited Resources
Employees' Need Collective Bargaining
Agreements

Driving Force Equilibrium Resistance Force

Figure: Pressures for Change and Resistance to change.

Moreover, change involves a sequence of organizational processes that occurs over time. Lewin
suggests this process typically requires three steps: unfreezing; moving and refreezing.
1. Unfreezing- this step usually means reducing the forces acting to keep the organization in its current
condition. Unfreezing might be accomplished by introducing new information that points out
inadequacies in the current state or by decreasing the strength of current values, attitudes, and
behaviors. Crises often stimulate unfreezing. Examples of crises are significant increases in the
student dropout rate, dramatic enrollment declines, shifts in population within a school district, a
sudden increase in teacher or middle-management turnover, a costly lawsuit, and an unexpected
teacher strike. Unfreezing may occur without crises as well. Climate surveys, financial data, and
enrolment projections can be used to determine problem areas in a school district and initial change
to alleviate problems before crises erupt.
2. Moving once the organization is unfrozen it can be changed. This step usually involves the
development of new values, attitude and behaviors through internalization, identification, or change
in structure. Some changes may be minor and involve a few members-such as changes in recruitment
and selection procedures-and others may be major, involving many participants. Ex-members of the
latter include a new evaluation system, restructuring of jobs and duties performed by employees, or
restructuring the school district, which necessitates relocating faculty to different school sites with
the system
3. Refreezing. The final step in the change process involves stabilizing the change at quasi-stationary
equilibrium. Changes in organizational culture, changes in group norms, and changes in
organizational policy or modifications in organizational structure often accomplish this.
School administrators can use six specific methods to reduce resistance to change: Participation,
communication, support, rewards, planning and coercion.
(i) Participation: One of the best methods for reducing resistance to change is to involve those who
will be affected by the change to .participate in planning, design, and implementation. These are at
least three explanations for the effect of participation in reducing resistance to change:

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Heading: MANAGEMENT OF CHANGE AND INNOVATION IN EDUCATION
UNIT 4- RESISTANCE TO CHANGE

As those affected by the change plan, design, and implement it, new ideas and information can be
generated. The increased information is likely to result in a more effective change;
1) participation builds ownership for the change, thus leading to a commitment to see the change
successfully implemented; and
2) by providing information about the nature and consequences of the change, anxiety about the
unknown is reduced, and rumors are stifled.
(ii) Communication. Another method for reducing resistance to change involves communicating and
explaining to employees the nature of and need for the change. In explaining the need,
administrators are advised to explain the effects the change will have on employees. This too will
lessen employees fear of the unknown. Employees who are informed about the logic behind
administrative decisions are more likely, to support new ideas.
(iii) Support - Effective implementation of a change requires support from top-Level administrators such
as the educational officers and his cabinet. Support from the educational officers usually means
that administrators lower in the organizations hierarchy, such as supervisors, will be committed to
the change. It is particularly important for supervisors to manifest supportive and considerate
leadership behaviors when change is being implemented. This type of leader behavior includes
listening to subordinates’ ideas, being approachable, and using employee ideas that have merit.
Supportive leaders go out of their way to make the work environment more pleasant and enjoyable.
For example, difficult changes may require training to acquire new skills necessary to implement
the change. Administrators need to provide such training. In short, when procedures are
established to implement changes smoothly, less resistance is likely to be encountered.
(iv). Rewards. When change is imminent, most people say, ‘What’s in it for me?” Subordinates are less
likely to resist changes that will benefit them directly! For example, during collective bargaining
between the board of education and the teachers’ union, certain concessions can be given to
teachers in exchange for support of a new program desired by management. Such concessions may
include salary increases, bonuses, “or more union representation in decision making. Also use
standard rewards such as recognition, increased responsibility, praise, and status symbols. Thus,
building in rewards may help reduce subordinates’ resistance to a change.
(v) Planning. Prospective change should be well planned in advance. Change inevitably new
expectations and fear of the unknown. The proposed change may require now performance levels.
Therefore, performance level needs to be given careful consideration by administrators when planning a
change. Performance levels that are set too low can negatively affect performance. On the contrary,
performance levels that are set too high can result in frustration and low performance Moreover,
introducing change incrementally can lessen the impact of subordinates and allow them time to adjust to
new expectations and conditions.
(vi) Coercion. When other methods have failed, coercion can be used as a last resort. changes require
immediate implementation. And top-level administrators may have considerable power. Such instances
lend themselves more readily to administrators using coercion to gain compliance to changes.
Subordinates can be threatened with job loss, decreased promotional opportunities, no salary increases
or a job transfer to achieve compliance with a change. There are, however, negative effects of using
coercion, including frustration, fear, revenge, and alienation.

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