Change LeadershipA Guide for School Leaders

A resource for principals and school leaders who wish to improve the implementation of programs and initiatives.

Revised 2/1/2018 1

Minnesota Department of EducationDivision of School Support

1500 Highway 36 WestRoseville, MN 55113-4266

mde.schoolsupport@state.mn.us

Revised February 2018

Table of Content

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A. Purpose and Use of This Guide............................................................................................................................4

B. Overview.............................................................................................................................................................4

C. What a Change Leader Does................................................................................................................................6

Eight Elements of Action for a Change Leader.............................................................................................7

1. Understand the Nature of the Change....................................................................................................7

2. Make the Case and Create Urgency......................................................................................................10

3. Begin with a Vision for Change and Communicate it............................................................................11

4. Create Coherence.................................................................................................................................14

5. Understand How Change Affects Others..............................................................................................16

6. Spread Success.....................................................................................................................................18

a. Change Champions..................................................................................................................18

b. Short-term Wins......................................................................................................................19

c. Resistance and Roadblocks......................................................................................................19

7. Incorporate Change into the School Culture.........................................................................................21

8. Focus on Personal Leadership...............................................................................................................22

D. What a Change Manager Does.........................................................................................................................24

Three Elements of Action as a Change Manager.......................................................................................24

1. Engage Stakeholders and Build Strong Coalitions................................................................................24

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2. Design and Implement a Plan...............................................................................................................26

a. Desired Results and Alignment.................................................................................................26

b. Evidence of Success – How will we define, describe and measure indicators of success?.......26

c. Implementation Science and Implementation Frameworks.....................................................27

d. Selection, Training, Coaching and Support...............................................................................28

e. Timeline....................................................................................................................................28

3. Communicate Effectively Throughout the Change Process..................................................................30

E. Conclusion.........................................................................................................................................................31

Appendix A.............................................................................................................................................................32

Alignment with the Principal Performance Measures in the Minnesota State Model for Principal Evaluation..................................................................................................................................................32

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”There is nothing permanent except change.”—Heraclitus

A. Purpose and Use of This Guide

Principals: Using this Guide

This guide is conceived as a resource for principals, and other school leaders, who have identified change leadership as a developmental area for their practice based on evaluation feedback or the challenges they have diagnosed at their school. It includes summaries of important concepts and frameworks in change leadership such as adaptive leadership and second-order change vs. technical, first-order change; the principal’s role in ensuring coherence among all the initiatives within the school; and motivating a team to buy-in to change by focusing on communicating the “why,” or the vision, of the change. Most importantly, after the summary of each of these frameworks, the guide includes references to source material such as websites, books and articles available online, so that school leaders can explore important concepts in change leadership through the guide and, when finding one that resonates, access more in-depth resources as they plan for action. Principals who wish to align their professional practice goals, in regards to change leadership, with Minnesota’s Principal Performance Standards should see Appendix A.

“There is nothing more difficult to take in hand, more perilous to conduct, or more uncertain in its success, than to take the lead in the introduction

of a new order of things." — Niccolo Machiavelli

B. Overview

Why Change Leadership/Management is Crucial for School Leaders

It is a truism that change is the only constant, and principals who successfully lead their schools will inevitably lead them through periods of change. It is the principal’s job to inspire and support change so that the school can move from where it is to where it needs to be to ensure the best outcomes for all its students, strengthen the professional practice of faculty and staff, and improve the school culture for all stakeholders. Change is always challenging, even where it is necessary, and principals play a crucial role in guiding schools through the process. Principals do this by serving as both a leader of change (vision-developer and people motivator) and a manager of change (implementation planner and monitor).

Change leadership requires true, visible ownership for outcomes from the highest levels. Principals leading change must understand the change dynamics within their particular school context and work directly with teams throughout the school to manage the change process.

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While principals have a foundational role to play, they cannot bring about meaningful change by themselves. In any schoolwide change effort, there are a number of stakeholders who will be impacted, including teachers, students, family and community members, as well as school partners and district leaders and teams. Change leadership recognizes that for new systems to be successful, the stakeholders involved in implementation must understand and believe in them. As change is planned for and carried out, it is inevitable that stakeholders will have fundamental questions and concerns. If these questions about impact on personal practice and organization purpose and function are not adequately addressed, they can hamper successful implementation.

Effective change leadership acknowledges and responds to stakeholder concerns as an integral means to achieving the intended purpose of the new approach: changed practice and improved student outcomes.

Experience has shown that simply implementing a new framework or process in a complex organization doesn’t lead to substantive, sustainable change. Most key stakeholders in a school tasked with implementing a new approach have almost certainly experienced several previous waves of change with varying results; this has real implications for how they will perceive this latest effort. In order to see the benefit of any change effort, the individuals carrying out the change must be both engaged and supported. See “For Further Reading/ Additional Resources” for Kotter’s book, Leading Change.

Based on research about what distinguishes successful change efforts from the 70% of change initiatives that fail, change leadership expert John Kotter has constructed a Framework to achieve impactful change. Since Kotter’s work has a strong corporate focus, his framework has been adapted for school leaders in this guide.

Change Leader and Change Manager

For years the term change management has defined the leadership role involved in implementing change in an organization. The term change leadership emerged and has been used often as a synonym for change management. However, a number of change experts are making the distinction. John Kotter, professor emeritus at Harvard Business School, clearly lays out the differences between leadership and management. He emphasizes that neither is better than the other, nor is one a replacement for the other. Kotter (1999) writes, “Rather, leadership and management are two distinctive and complementary systems of action. Each has its own function and characteristic activities. Both are necessary for success . . . .” (p. 51). Peter Drucker, management consultant, educator, and author, also sees the two distinct roles: management is “doing things right and leadership is doing the right things.”

While some in the field of change leadership view change management and leadership as either or, this resource treats them as two complementary roles, as stated by Kotter. Evidence suggests that both are vital to an organization and interdependent. By understanding the difference between the two, a school principal becomes the champion for change with a dual role as Leader and Manager.

Because the two roles are distinctive, this guide is organized by these two elements: first, the change leader and, second, the change manager. An emphasis is placed on the change leadership because so many leaders have been well trained in the skills necessary for strong management but have not received the important leadership training. This can lead to organizations being over managed and under led.

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The Principal as the Champion for Change

As a Change Leader a Principal’s Role includes at least the following actions:

1. Understand the Nature of the Change2. Make the Case and Create Urgency 3. Begin with a Vision for Change and

Communicate it4. Create Coherence 5. Understand How Change Affects Others6. Spread Success 7. Incorporate Change into the School Culture8. Focus on Personal Leadership

As a Change Manager a Principal’s Role includes at least the following actions:

1. Engage stakeholders and build strong coalitions

2. Design and Implement a Plan3. Communicate Effectively Throughout the

Change Process

“Successful change requires both management and leadership . . . more change failures are the result of faulty leadership rather than poor management.”

Randy Pennington

C. What a Change Leader Does

John Kotter has written several books about the leader’s role in directing effective change within organizations. Leaders who create impactful, lasting change within their organizations understand the vision for their organization and identify foundational barriers to achieving that vision. They are prepared to deeply engage others in the change process, creating a sense of urgency across the organization as a platform for change and then building a broad coalition ready to move practice and beliefs for meaningful, sustainable change. Leaders not only set change in motion, but also follow up to ensure that new initiatives and priorities are deeply embedded in the organization’s culture, that individual practice is meaningfully changing, and that outcomes are achieved.

Change leaders are flexible in their role, seizing opportunities, responding to stakeholders, and allowing their actions to be informed by context. Being a responsive change leader is a foundational part of a principal’s role, so that the structured, process-oriented action steps of his or her role as change manager can move forward smoothly and have the intended impact.

For Further Reading / Additional Resources:

For an in-depth look at an organizational leader’s role in bringing about transformative results, read John Kotter’s book Leading Change (http://amzn.to/1qF4gag).

Change Management vs. Change Leadership -- What's the Difference? by John Kotter (https://www.forbes.com/sites/johnkotter/2011/07/12/change-management-vs-change-leadership-whats-the-difference/#17bed1ab4cc6)

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“Indeed, the single most common source of leadership failure we’ve been able to identify … is that people, especially those in positions of authority,

treat adaptive challenges like technical problems.” – Heifetz and Linskey

Eight Elements of Action for a Change Leader

1. Understand the Nature of the ChangeOne of the first elements of action in leading effective and lasting change is to make sure that the effort is aiming for the right outcomes and is addressing the root causes of the challenges that have been identified. Often times, change efforts are too shallow or narrow to be successful, and beginning without the whole picture can lead to unnecessary resistance as the process moves forward. Change leaders must make sure they, and their team, have begun with a thorough and honest exploration of the task at hand.

A. Technical and Adaptive Challenges, and First- or Second-Order Change

Several models of change leadership address this first step of building a complete picture of the need and defining a comprehensive response that captures the change required in a school community. Leading researcher and thinker in change management Ronald Heifetz has defined two types of challenges, technical and adaptive, depending on the depth of problem-solving and learning required. Robert Marzano--speaker, trainer, and educational researcher--has applied research on the type of change response required for different challenges to schools and the education sector. Principals can use these definitions and the guidance below to define their change efforts together with their teams:

Technical and First-Order Change/Adaptive Challenges and Second Order Change

Table 1. Technical Problems require First-Order Change

Technical Problems First-Order Change

Technical problems include issues for which we have the know-how and the solutions to institute a “fix” (e.g., Triple bypass surgery for a person with heart disease).

They require straightforward, repeatable and transferable solutions and can be addressed through the leadership and expertise of an individual or small group.

First-order change is called for when an existing strategy needs to be adjusted, effective practices need to be spread, or improvements should be accelerated. First-order change rarely includes changing perspectives, mindsets, or beliefs. It’s non-transformational, new learning is not required and can be instituted top-down.

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Table 2. Adaptive Challenges require Second-Order Change

Adaptive Challenges Second-Order Change

Adaptive challenges force a response outside of the current know-how or expertise (e.g., How to ensure lifestyle changes in a heart patient to sustain health restored in surgery?).

They cannot be addressed through current structures, organizational designs, or stories about a community.

Second-order change is called for when there are fundamental gaps between the current and the desired state and involves doing something significantly or fundamentally different from what has been done before. It requires changing beliefs, mindsets, and perspectives and new learning.

Second-order schoolwide changes require deep investment by the leader and broad engagement for an all-school transformation to be successful.

It’s important to note that not every change is adaptive and sometimes principals are called to lead their teams through solving technical challenges to bring about first-order change. Perhaps the schedule needs to be adjusted to increase instructional time, and there is a model from another of the district’s schools that could be implemented. However, oftentimes adaptive challenges exist right below the surface of needed technical changes. For example, teachers may resist changes to the schedule that impact the flexibility of time use within the classroom. This failure to see the deeper context for change is often what causes “quick fixes” or best practices from elsewhere to fall flat.

How can leaders know if they are facing an adaptive challenge? There are several key “symptoms” of adaptive challenges:

Recurrent crisis: Oftentimes, when a crisis comes up it is a sign of long-standing, “bundled” technical problems that haven’t been addressed, resulting in an adaptive challenge to solve for underlying barriers that prevent these systems from being fixed.

Persistent conflict: When a community such as a school has persistent conflict, leaders should probe to diagnose what the conflict is really about: what are the real stakes, loyalties, or values at play? Sometimes, this is referred to as getting “on the balcony” to observe the patterns and “big picture” issues that are arising.

Need for new learning: Any challenge that requires new learning by the leadership and the community–about themselves, about the problem, or about multi-layered strategies for solutions–is, by definition, an adaptive challenge.

When faced with both the initial need for change and also the ongoing barriers to that change, principals must look at the “music underneath the words” to capture a correct diagnosis of the adaptive challenges they are leading their school community through and work hard to engage the group in finding the answers – not by dictating solutions, but by asking the right questions and leading the team in finding those answers together over time.

“Just because everything is different doesn't mean anything has changed.”

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—Irene Peter

B. Externally-imposed Change vs. Change Driven by School Leadership

There are two major triggers for change in a school environment: internally-driven and externally-imposed change. On the one hand, internally-driven change is a deliberately-chosen pathway within the school community, as the principal and other school leaders see a significant disconnect between the school’s vision and mission on the one hand and its current state on the other. In order for the school to move to where it needs to be, change has to happen. In these circumstances, the principal’s major role is as a leader and manager of the change process. Even when change is the desired state, it can still be difficult and it must be carefully considered and supported. But, in these circumstances, principals are bolstered by the imperative for change and a great deal of autonomy within the school community to make change happen. There is still risk, however, that the principal and other early adopters will move without the rest of the school community, or that change will not be supported or sustained, leaving the school far from the ultimate goals and even facing a setback after a failed effort.

Alternatively, change can be externally-imposed when it happens to a school either because of district or state mandates (a new curricula, instructional mandate, or testing process, for example) or because of other external factors, such as an unforeseen turnover in staff or a significant change in the school population. In these cases, the principal’s role as leader and manager of change is just as crucial. There is an added challenge for the principal in providing coherence for the rest of the school community. For example, while a new teacher evaluation system may be mandated district-wide, principals have incredible leeway within their own buildings to help teachers see the new process as aligned with school goals for improving instruction and as a resource for building their individual practice. Principals focused on coherence look for the places of alignment between external changes and the school’s specific mission and priorities. They place external change within the school context. The role of coherence in the change process is discussed further in the Create Coherence section (page 14).

Whether change is internal to a school’s strategic planning and direction, or occurs because of external forces, it is important to recognize that the principal both leads and experiences change at the same time. Because of this, leaders will be most successful if they take time to understand the implications for themselves as well as those for the team. During change, it is more important than ever to practice self-reflective leadership, for the leader’s sake as well as the team’s. The principal modeling transparency as he or she experience change will help the team manage their own responses.

Understand the Nature of the Change—Summary and Reflections:

Meaningful change takes place in the adaptive domain, where there aren’t easy or known answers. Whether the change is internally-driven or externally-imposed, determine whether it is first- or second-

order change, and build the leadership strategy and implementation plan accordingly. The whole community must be part of owning the challenge and seeking the solutions. Questions for Reflection:

o How well have you articulated the rationale for change? Does your leadership team share that understanding? How about other champions within the school? If the change is externally-imposed, can you still make the case for it?

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o Does the change match the characteristics of adaptive or technical change? If the change appears to be a “simple’ technical change, have you and your leadership team explored the potential challenge to underlying beliefs, values, and “ways of doing” well enough to understand where resistance may come in, and where new understanding and beliefs might be required?

For Further Reading / Additional Resources:

A short video of Ronald Heifetz speaking about adaptive and technical challenges at the University of Minnesota’s Center for Leadership (https://www.youtube.com/watch?v=UwWylIUIvmo&noredirect=1).

Ronald Heifetz has written a number of books that are helpful for principals exploring their role in leading change: The Practice of Adaptive Leadership: Tools and Tactics for Changing Your Organization and the World by

Ronald A. Heifetz Leadership on the Line: Staying Alive through the Dangers of Leading by Ronald Heifetz and Martin

Linsky Leadership Without Easy Answers by Ronald Heifetz

Marzano, Robert J.; Zaffron, Steve et al. “A New Paradigm for Educational Change” Education, Winter 1995”. A summary of the article (which can be challenging because of its academic bent) is also available (https://www.questia.com/read/1G1-18163706/a-new-paradigm-for-educational-change).

For more information on first and second order change, see Marzano, Waters, & McNulty’s School Leadership that Works.

2. Make the Case and Create Urgency

Principals who are effective school leaders are always helping the school community return to its foundational vision and mission in service of student outcomes and pushing toward this desired state by identifying gaps in the current state and addressing them, together with faculty, students, and other partners. When change is imperative, principals must make the case for the importance of the change by highlighting these gaps and the resulting challenges in school outcomes.

Building a shared understanding of where the school is and where it needs to go is a crucial role for the principal, and it often starts out with the leadership team and then expands from there to other stakeholders. But a shared understanding is not enough to make change happen: there also must be a sense of urgency to address the identified gaps. In order for change to be a shared imperative, and for resulting efforts to be meaningful and sustained, stakeholders across the school must believe deeply that these gaps must be addressed deliberately, systematically, and immediately.

John Kotter has several actions for leaders to consider regarding urgency:

• Identify potential threats, issues, and problems to show what could happen in the future [use school data when possible].

• Examine opportunities that could be exploited.• Begin honest discussions, and give convincing reasons to get the staff talking and thinking.• Seek support from stakeholders beyond the staff to strengthen the argument.

“If you change the way you look at things, the things you look at change.”—Wayne Dyer

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Make the Case and Create Urgency—Summary and Reflections:

The first task as a principal leading change is to make the case for change: address the “why” for instituting new practices, resources, or frameworks.

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Whether the change is internally-driven or externally-imposed, determine whether it is a first- or second-order change, and build a leadership strategy – and implementation plan – accordingly.

For meaningful, lasting second-order change, a leader must also create a sense of urgency that is sufficient to justify transformational, disruptive change.

Questions for Reflection:o Do you understand the rationale for change? Does your leadership team share that

understanding? How about other champions within the school? If the change is externally-imposed, can you still make the case for it?

o Does the change match the characteristics of first- or second-order change? What are the implications of this for your leadership and planning?

o Why is this change important and urgent? Can you share the rationale for change of this urgency and magnitude? How deeply is this understanding shared?

o How can you frame the change for your school community? What are the right questions to share with them, especially where there aren’t easy answers?

o Have you set up the right structures to allow the school community to participate in answering these questions?

For Further Reading / Additional Resources:

On the National Implementation Research Network’s Active Implementation Hub, there is an interview with NIRN Associate Director Melissa Van Dyke about creating readiness for change. (http://implementation.fpg.unc.edu/resources/video-vignette-12-what-research-says-about-readiness)

Dr. Deborah Brennan provides a PowerPoint, “Creating a Sense of Urgency & Building a Powerful Guiding Coalition,” that describes what is meant by a sense of urgency and its role in improving student achievement. (http://www.tcdss.net/uploads/resources/docs/5._and_6._Creating_a_Sense_of_Urgency_and_Building_a_Guiding_Coalition.pdf)

In “Sustaining a Sense of Urgency,” Janel Keating looks at the question: How can we keep a districtwide commitment to continuous improvement alive and well over the long haul—especially after experiencing a period of initial success? (http://www.allthingsplc.info/blog/view/233/sustaining-a-sense-of-urgency)

“Balanced Approach” in NAESP’s Principal Magazine discusses how a school leader can create a smooth path while leveraging urgency in change initiatives. (https://www.naesp.org/principal-septemberoctober-2014-managing-and-communicating-change/balanced-approach)

“The only thing worse than being blind is having sight but no vision” -- Helen Keller

3. Begin with a Vision for Change and Communicate it

John Kotter (1996) writes, “Without an appropriate vision, a transformation effort can easily dissolve into a list of confusing, incompatible, and time consuming projects that go in the wrong direction or nowhere at all” (p. 7). One way to define a change vision is as a sensible and appealing message of what the district, school, or department will look like after the specific changes have occurred. In addition, a vision will define who is

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involved, what they wish to accomplish, and why the initiative is necessary or important. Such a statement encourages people to work and strive for the realization of the goals.

All too often, leaders introduce a new initiative, priority, or system by talking about what the effort looks like: the logistical details of who, what, when, and where. Or, they may talk about the how of the effort: timelines, resources, teams. Often, they miss sharing the vision for the change – the why – and this means making the case and creating urgency.

In a widely-shared TED talk “How Great Leaders Inspire Action”, author Simon Sinek explores how leaders need to start with the why. This TED talk can be a useful resource for making sure the “why” is addressed with your team; it can also be a useful starting point for an initial urgency-creating session with the team.

An essential step is an agreement on a vision of success that includes adaptive outcomes. This is critical for a number of reasons. A shared commitment across the leadership team supports alignment in the difficult decisions required to design and implement a new system in a complex environment – it keeps everyone pulling in the same direction. This commitment upfront is a prerequisite for ensuring that the project has the resources and authority from leadership that are required for success. This shared vision also serves as a hedge against two of the biggest pitfalls leading to incomplete or unsuccessful change attempts: (1) lack of focus on the dynamics of change, leading to a compliance-oriented adoption of new processes and (2) lack of resources or authority to successfully challenge old practices and build the commitment and capacity for a new way of working.

The vision statement must be more than a motto; it should be a guiding statement that is measurable. Once a team has written a vision statement, it is important to identify each of the vision’s objectives so that each can be independently measured. If an objective cannot be measured, the vision statement might need to be revised. After the team has created the vision, they need to examine the current data to provide a baseline to measure growth and to inform them on what data they will need to collect along the way to measure progress.

It is essential that the vision be communicated, not just at the beginning of the initiative but throughout the process. Below is an adaptation of Kotter and Cohen’s (2002) broad principles for effective communication of the change vision:

1. Develop a compelling storya. Provide context for the changeb. Focus on why, why now, what and howc. Develop high-level message that captures the essence of the vision

2. Keep it simple, keep it honesta. Use short statements and avoid jargon that may exclude some stakeholdersb. Make sure to address concerns in an open and honest mannerc. Be as transparent as possible about the reasons for decisions

3. Use metaphor and analoguesa. Use images to depict the future state of the schoolb. Use an analogy to explain the different phases in the process of change

4. Repeat, repeat, repeata. Use every opportunity to link day-to-day activities and decision with the visionb. Continue to reinforce the message throughout the entire change processc. Ensure the messages are consistently communicated regardless of medium, audience or time

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5. Use many different forums to spread the messagea. Make it a habit to refer to elements of the vision in every communication, formal and informalb. Have all levels of the school seek ways to repeat and reinforce the key messages

6. Make it multidirectionala. The vision will live through the interactions with people. Encourage as many of the staff as

possible to talk about the visionb. Give staff real opportunities for input and feedback

7. Build linkages to initiativesa. Explain how all the change initiatives contribute to the achievement of the visionb. Make clear links to things that are already happening in the organization

8. Align leadership actions to communicationsa. Ensure the leadership actions and decisions are consistent with the new directionsb. Explicitly address all inconsistenciesc. Shape and reinforce existing compatible behaviorsd. Have the team and champions model the expected behaviors

9. Integrate communication initiativesa. Build a common set of key messages that can be integrated into all communicationsb. Practice these key messages, keep them brief and significant

Begin with a Vision for Change and Communicate it—Summary and Reflections:

An essential component of a successful change strategy is a clear, compelling vision. A shared vision helps ensure that all stakeholders are focused on the same goals and that the resources

and authority necessary have been considered in the plan. Focus first on the Why? In communicating the change vision, leaders must be sure that they are visible, open and listening to the

stakeholders. Questions for Reflection:

o What exactly is the school’s vision?o How do I connect the school’s vision to the change vision?o What is my role in achieving that vision?o How do I show my passion and enthusiasm for the vision and the school? o Are there any obstacles in my way to prevent me from communicating this vision? If so, how can

I deal with those obstacles?

For Further Reading / Additional Resources:

Simon Sinek’s TED Talk “How Great Leaders Inspire Action” (http://www.ted.com/talks/simon_sinek_how_great_leaders_inspire_action). It summarizes findings included in his book by the same name. (http://www.amazon.com/dp/1596597607/?tag=mh0b-20&hvadid=4960791591&hvqmt=b&hvbmt=bb&hvdev=c&ref=pd_sl_3qygv4pc0o_b)

Whether a teacher is implementing a new instructional method, or a leadership team is spearheading a school improvement campaign, the starting point for any change is a clear vision. “Vision, Leadership and Change” focuses on vision, its definition, and how it is demonstrated in educators. Further, it provides a process for the collaborative development of a shared vision resulting in a vision statement. (http://www.sedl.org/change/issues/issues23.html)

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In this short video clip, John Kotter explains how to create a powerful vision. (https://www.forbes.com/sites/johnkotter/2011/06/07/how-to-create-a-powerful-vision-for-change/#6b13c29151fc)

How do you see “Vision”? Check out “Vision: It’s a Verb!” and see it as more than a noun. (http://smartbrief.com/original/2018/01/vision-its-verb?utm_source=brief)

“6 Principles for Communicating a Powerful Change Vision” lays out six important consideration for working with a change vision. (https://www.inc.com/brent-gleeson/6-principles-for-communicating-a-powerful-change-vision.html)

In chapter 1,“Vision as a Compass,” of their book, the authors encourage leaders to start with a personal leadership vision. (http://www.ascd.org/publications/books/103019/chapters/Vision-as-the-Compass.aspx)

“It is not the most intellectual of the species that survives; it is not the strongest that survives; but the species that survives is the one that is able best to adapt and

adjust to the changing environment in which it finds itself.” -- Leon C. Megginson

4. Create Coherence

Michael Fullan (2001), author and reformer, in Leading in a Culture of Change writes, “In schools, for example, the main problem is not the absence of innovations but the presence of too many disconnected, episodic, piecemeal, superficially adorned projects. Rather than contributing to substantial improvements, adopting improvement programs may also add to the endless cycle of initiatives that seem to sap the strength and spirit of schools and their communities” (p. 109). Principals can enable change within their school by placing new initiatives and priorities within the broader context of the school’s priorities and plans, helping to avoid the problems Fullan describes.

Seeking the contextual alignment Fullan describes is particularly important to do when change is externally-driven and “happening to” a school community. As discussed in an earlier section on internal and external change, oftentimes, change comes to a school in the form of a district mandate: through the introduction of new evaluation systems, new standards, or a new instructional schema. Change can also come from other external forces, such as changes in the school community or various partnerships. These external changes can be particularly challenging because they carry the risk of taking away a sense of agency: the school community – including the principal – experience the changes as unpredictable and outside of their control. This makes it easy to fall into ignoring or even subverting change.

Another threat to coherence is the perception among the team that a school’s priorities and initiatives are disconnected and misaligned. Principals always have a role in putting all of a school’s efforts in the context of the school’s vision and mission and helping stakeholders see the connections among priorities and within the school’s goals.

This is one area where principals can make a significant difference by leading through example and taking ownership for any change, including those that are externally imposed, and incorporating it into the school’s context and priorities. The team will follow the principal’s lead as he or she demonstrates the integration of new systems, resources, and directives into the plans for the school.

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Here are some crucial coherence reflection questions for leaders and teams when the change is internal:

How are our new initiatives:o … connected to our school vision and mission? How do they help us better serve students?o … aligned with our school goals?o … aligned to each other? Are any working at cross-purposes? Or duplicative?

Are we focusing on the most critical changes for this year?

And, when change comes from the outside: How does this change connect with our school’s vision and mission? How does it connect with what we

set out to do for students? How does this change align with our school goals and strategic priorities? Where is it misaligned? How can we use this change to further our school goals and priorities? How can we minimize the

elements that are misaligned? Do our school goals and priorities need to be adjusted in light of this change?

At times, principals do need to push back on externally-imposed change, but more often they should see these moments as opportunities to incorporate change into the school’s “big picture” for students.

Besides assuring that new initiatives are aligned to the school’s vision and other programs, Fullan sees coherence making as gaining an understanding of the initiative and assimilating it into the beliefs and knowledge base of the teachers/implementers. This involves providing staff and other stakeholders with the opportunity to offer input and make suggestions, and providing them with time to mentally incorporate the intended initiatives within their system of beliefs (Rosenblatt, 2004).

Create Coherence—Summary and Reflections:

Change is not effective when it is perceived as “happening to” a community because it is externally imposed.

Change is also ineffective when it is perceived as random or purposeless, or when there are too many different, disconnected changes happening at once.

Principals can combat these risks by focusing on creating coherence among change efforts within the school.

Principals have an opportunity to lead by example in these cases, by seizing agency and demonstrating ownership of the circumstances of change.

Stakeholders need the chance to understand the change and how it fits into their worlds.

For Further Reading / Additional Resources:

Michael Fullan’s book Coherence is a book for principals that provides an overview and action steps for addressing this challenge (http://www.amazon.com/Coherence-Drivers-Schools-Districts-Systems/dp/148336495X). This link is to a short video where Fullan explains the coherence framework. (https://www.youtube.com/watch?v=B60UGs90RW8)

”Leadership, then, requires keeping people in the game over time through a sustained period of disequilibrium.” – R. Heifitz

Change Leadership—A Guide for School Leaders 16

5. Understand How Change Affects Others

Stakeholders such as teachers, students, school board, family members and other school partners both react to and are central players in any change effort, so principals must engage deeply with these groups (see figure 1). Strategies for principals leading change include seeking substantive input in the design phase, providing opportunities for deep engagement and training in the rollout phase, and ensuring ongoing support through implementation. All stakeholders benefit from an implementation process that is perceived as deliberate, supported, and aligned with both broad goals and reality on the ground.

Figure 1.

Ken Blanchard, a leadership and change management expert, outlined a framework for understanding the common experience of all individuals undergoing change. It can be a helpful starting point for principals supporting change initiatives in understanding the typical responses to change in themselves and others. More information can be found in his article “The Seven Dynamics of Change.”

People will feel awkward, ill-at-ease and self-conscious. People initially focus on what they have to give up. People will feel alone even if everyone else is going through the same change. People can handle only so much change. People are at different levels of readiness for change. People will be concerned that they don’t have enough resources. If you take the pressure off, people will revert to their old behavior. (Blanchard, 1992)

As helpful as these typical reactions can be to understanding responses to change, it is also useful to see how the responses of an individual or community move over time as change initiatives are implemented. Researchers Ann Salerno and Lillie Brock (2008) have shown that individuals experiencing change frequently move through predictable phases in their response to that change, beginning with perceptions of loss and doubt to increasing familiarity – but also discomfort – with the change. If leaders and other champions maintain momentum and engagement in the change, individuals move into discovery and understanding, where the change begins to “make sense.” The final stage, integration, culminates in a shared ownership of the change, with members of

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the community broadening the application of their new insights and skills beyond the original charge – transformational change.

Salerno and Brock’s research also shows that principals can take concrete steps to support individuals through each of these phases:

Table 3. Supporting the Change Cycle

Change Cycle Stage

How Principals Can Support this Stage

1. Loss Listen and respond to questions and fears about the change and provide support so that those impacted feel safe.

2. Doubt Communicate the rationale and detailed information about how change will happen so that individuals are informed participants in the change and have a sense of control.

3. Discomfort Remain engaged with the team. Acknowledge discomfort and focus on motivating individuals to take some small steps toward the change. Identify and highlight early successes.

4. Discovery Make team members active partners in identifying what is – and what isn’t – working as the change is fully implemented, making adjustments and spreading best practices.

5. Understanding Focus on making meaning out of the change so that the team can identify what they have learned from both the change initiative and their experience in the change process.

6. Integration Support the team in taking full ownership for the change; can early adopters support those team members who still need to reach this final stage? Help the team find new ways to apply their learning and insights within the school: how far can this new approach take us?

(Salerno, 2008)

"Change is hard because people overestimate the value of what they have—and underestimate the value of what they may gain by giving that up."

— James Belasco and Ralph Stayer

Understand How Change Affect Others—Summary and Reflections:

Change is an emotional process – for leaders, teams, and all groups and individuals impacted Know the typical responses to change and how to recognize them, and plan to address them. Principals needs to build time and space in their schedules to “walk through” change with the team –

this is not a distraction from other aspects of change leadership – it is crucial element of it. Questions for Reflection:

o Think back to a time when you experienced deep, consequential change. How do you respond to change? What challenges does this response create? How can you recognize and manage that reaction going forward?

o What is the history of change in your school? What changes have worked? What change efforts have failed, and why?

o What stories does your school community tell themselves about change at the school? And what are the implications for your latest change effort?

Change Leadership—A Guide for School Leaders 18

o How can you create the time and space in your daily calendar throughout this change to lead your team and community through it?

For Further Reading/ Additional Resources:

Ken Blanchard’s article on the Seven Dynamics of Change can be a good conversation starter with a team as principals have a conversation about self-awareness during change or as the principal prepares other leaders in the building for supporting the teams through change. (http://www.sellingpower.com/content/article/?a=3745/the-seven-dynamics-of-change)

Ann Salerno and Lillie Brock’s Change Cycle is captured in their 2008 book The Change Cycle: How People Can Survive and Thrive in Organizational Change. Berrett- Koehler Publishers (https://changecycle.com/products/)

John Fisher’s Personal Transition Curve provides another model of the change stages people experience. (https://www.csu.edu.au/__data/assets/pdf_file/0006/949533/fisher-transition-curve-2012.pdf)

John Kotter’s book Our Iceberg is Melting (2nd Ed. 2016) embeds important principles about how individuals experience change in an accessible fable. This book is a good resource not only for principals but also for teacher groups and others actively experiencing change within a school. (http://www.amazon.com/Our-Iceberg-Melting-Succeeding-Conditions/dp/0399563911)

School leader George Couros, who serves as a Division Principal of Innovative Teaching and Learning in Alberta, Canada, shares his thoughts on innovation and managing change on his blog, including highlighting key strategies for communicating change and engaging staff. A key point (from the 1st link) is “Don’t focus on ‘change’ as much as you focus on ‘growth.’”

“3 Questions Crucial to Creating the Conditions for Change,” The Principal of Change (http://georgecouros.ca/blog/archives/5286)

6. Spread Success

Achieving breakthrough performance in any area of an organization is a noteworthy accomplishment. But a more significant and often more perplexing challenge remains: how to spread the success to other stakeholders. A key factor in closing the gap between the best known practice and common practice is the ability of school leadership to rapidly spread innovations and new ideas to others.

Ask each team what it’s done so far. Gathering numbers and stories to go along with these successes will help bring them to life. Below are three areas that need to be examined to help spread success.

a. Change Champions

Inevitably, once a change initiative is moving forward, there will be pockets where robust adoption is happening and places where there will be resistance and success will be lacking. One of the most crucial leadership actions a principal must make in leading change is identifying change champions , or change agents, to carry important transformational work forward with the principal. Principals should identify those staff and other stakeholders who are enthusiastic about innovation, who embrace the vision, and who have a high level of credibility and respect with peers. The champions should be given the opportunities to then lead by example.

A change champion: Assists in instituting a change

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Advocates for and promotes the change from within, and is instrumental in implementation of the change

Believes in the change, is driven by the vision, and is energized by the passion for change Is a key communicator of the change and work to deescalate conflict when necessary Problem solves to remove barriers of change while at the same time creating supports for the change Promotes new ideas for change, supporting the vision and motivating others to share in this

b. Short-term Wins

When managing a change process in a school, a great deal of the principal’s and team’s attention will be aimed at looking for pockets of change and improvement within the building and figuring out how to spread those successes: short–term wins. “Celebrating” short-term victories in education is very important, since celebration is one of the few positives teachers experience. Set short-term targets and celebrate the short-term wins while articulating how they are part of the long-term goals. John Kotter warns that change projects can fail because victory is declared too early. Leaders need to communicate that quick wins are examples of what can be achieved on the road to long-term change. Short-term wins:

• Can demonstrate the viability of the vision guiding the change • Can show that the change effort is actually worth the time and resources that have been invested• Should be celebrated along with the emphasis of the long-term goals

Make sure that the inquiries into successes in implementation run deeper than “what works?” to “what made this work?” When the team finds effective practices in support of the change, the change leader approaches the spread and scale of these changes carefully so that it is understood what specific conditions and context made a practice work in one classroom, and what will make it work across the school.

c. Resistance and Roadblocks

Regardless of the merit or the necessity of the change, leaders will encounter roadblocks and resistance. On the pathway to change, problems arise and some individuals will not be ready to move ahead, even with the work of the champions and the indicators of success (See Evidence of Success on page 26) along the way. Principals must address these problems if the change is to be implemented successfully.

First, keep in mind that change is non-linear, meaning that it’s messy. People often don’t do what leadership might have predicted they would do, or what leadership thinks they should do. Second, accept the idea that it is normal for people to resist change.

Often leaders will see resistors as only a negative, while these skeptical individuals can play a positive role in change. Resistance can initiate insightful and well-intended debates, disagreements or criticisms of change. Such opposition is not necessarily negative resistance; it may produce better understanding as well as additional options and solutions. Grant Wiggins (2014) sees two types of resistors: the skeptic and the cynic. The skeptic is usually an older, conservative teacher, who has seen too many initiatives come and go while doing the best to maintain standards.

On the other hand, the cynic, is an “idea- and hope-killer” – finding ways to blame others, taking no responsibility for programs and systems in need of a change. The skeptic should be brought into the change initiative work, because if a skeptic cannot be convinced, the leadership is probably not making a solid case for

Change Leadership—A Guide for School Leaders 20

the work. As the skeptics begin to accept the change, the cynics will have less of an opportunity and power to influence the staff.

“We are more likely to learn something from people who disagree with us than we are from people who agree.” – Michael Fullan

There is an important balance to strike when implementing change in determining when to move forward. If principals stay too long in a consensus-building phase, making the case for change and gathering champions, they risk missing the moment and delaying inevitable and important change too long. At the same time, the principal can’t move forward without the team and the “buy-in” that’s required for successful change. There is a balance to strike between building toward change and jumping in to try something new. Often, the momentum built when a new strategy is tried can be an important early building block for success.

Spread Success—Summary and Reflections:

The change champion believes in the innovation or program, is driven by the vision, and is energized by the passion for change.

Share successes, recognize educator’s efforts, and keep the momentum going towards the lager goals. Skeptics can be a positive in the change process, since they will ask the tough questions that may have

not been thought out. Change is not linear; be prepared deal with the problems that arise during the change process. Four of the most common reasons for resisting change are: a) a desire not to lose something of value, b)

a misunderstanding the change and its implications, c) a belief that a change is not right for the organization, and a low personal tolerance for handling change.

Questions for Reflection:o Who are my people in the building and the community who support innovation, and can

champion this specific change?o How do I ensure that the short-term wins are not confused with the achievement of long-term

goals, affecting the energy of this initiative?o Who might be my resistors? What might they see as potential problems with this change?

For Further Reading / Additional Resources:

“The Roles of Champions within the Change Process,” authored by four medical professionals, does a nice job of outlining the concept of change champions. (http://639969719114303356.weebly.com/index.html)

A resource from Learning Forward “4 key strategies help educators overcome resistance to change”, provides tools to help implement a smooth change. (https://learningforward.org/docs/tools-for-learning-schools/tools1-11.pdf)

Grant Wiggins approaches the topic of resistance staff in his article, “Change and challenge: tips on moving forward in the face of resistance” . (https://grantwiggins.wordpress.com/2014/01/21/change-and-challenge-tips-on-moving-forward-in-the-face-of-resistance/).

Napoleon’s Thirds takes Napoleon’s belief regarding three types of attitudes in an army and applies them to the concept of change by identifying three types of individuals in an institution undergoing change: the early adopters, the resisters, and the group that will “wait and see” how change is going.

“What a Photograph of a Tree Can Teach Leaders about Change” uses a metaphor for leaders to better understand how change affects others. (http://blogs.edweek.org/edweek/leadership_360/2017/08/what_a_photograph_of_a_tree_can_teach_leaders_about_change.html)

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In the article “How to Keep Munity from Sinking Your Change Effort,” Lee Jung offers five steps for leaders to get staff to commit to change. (http://www.ascd.org/publications/educational-leadership/jun17/vol74/num09/How-to-Keep-Mutiny-from-Sinking-Your-Change-Effort.aspx)

7. Incorporate Change into the School Culture

“Every organization has a culture, a history and underlying set of unwritten expectations that shape everything about the school. A school culture influences the ways people think, feel, and act. Being able to understand and shape the culture is key to a school’s success in promoting staff and student learning” (Peterson, 2002). For significant and lasting change to take place in schools, the culture needs to be examined (values, assumptions, and ways of thinking, styles of administration, paradigms and approaches). Studies support the idea that leaders must build a professional culture of change if they hope to implement ideas, strategies and programs to improve our schools. Douglas Reeves (2006), founder of the Center for Performance Assessment, writes, “Meaningful school improvement begins with cultural change—and cultural change begins with the school leader.” Understanding the school culture is a critical factor in any change and change endeavor; it can help us to utilize "a broader framework for understanding difficult problems and complex relationships within the school" (Stolp, 1994).

While changing professional culture is very challenging, Reeves (2006) believes that cultural change is not only possible but also crucial, especially in any organization, including schools, where the stakeholders use the word culture as “a rhetorical talisman to block leadership initiatives, stifle innovation, and maintain the status quo.” The recent education standards movement taught us that policy change without cultural change can be an exercise in futility and frustration.

Researcher Schweiker-Marra (1995) identified 12 particular qualities or norms of a positive school culture that facilitated change. The first six involve teacher knowledge and qualities:

1. Collegiality2. Experimentation3. High expectations

4. Trust and confidence5. Tangible support6. Referring to a knowledge base

The remaining six norms demonstrate effective teacher interaction with each other and their principals:

7. Appreciation and recognition8. Caring and humor9. Involvement in decision-making,10. Traditions11. Honest, open communication

12. Protection of what’s important (in this case, educational needs of students are paramount and are the guiding influence in the culture of the school)

Positive norms, such as these, need to be part of the culture. Professor Kent Peterson (2002), from the University of Wisconsin-Madison, believes that principals can shape a positive professional culture through three processes. First leaders read the culture, understanding its historical source as well as examining current norms and values. Second, leaders assess the culture, pinpointing which elements of the culture support the school’s mission, and which hinder achieving valued ends. Third, leaders actively shape the culture by reinforcing positive aspects and working to change negative aspects of the culture. See “For Further Reading/ Additional Resources” to find Peterson’s full article.

Change Leadership—A Guide for School Leaders 22

Incorporate Change into the School Culture—Summary and Reflections:

For significant change to happen and grow, the culture of the school must be examined and shaped. A positive school culture that contains elements such as collegiality, trust, and support can facilitate

change. Questions for Reflection:

o What is the present professional culture of the school?o What components are positive and should be reinforced?o What are the negative components that need to be changed?o What are positive aspects I need to build or add to reshape the culture?

For Further Reading / Additional Resources:

In an article from Educational Leadership, Douglas Reeves discusses four essentials for leaders to making cultural change happen (https://static1.squarespace.com/static/56a6ae1c22482e2f99869834/t/597fdfbbf5e231e59a6b9558/1501552572097/Leading%2Bto%2BChange%2B-%2BHow%2BDo%2BYou%2BChange%2BSchool%2BCulture_.pdf).

Kent Peterson’s article—“Positive or Negative?”—on creating a professional culture can be found at this link (https://www.nesacenter.org/uploaded/conferences/FLC/2014/handouts/Kent_Peterson/KP_JSD_Pos_Neg_Cult_copy.pdf).

Arkansas’ “A Tool Kit for Quality Professional Development” contains a wide variety of information and tools on school culture in Chapter 7 . (https://www.ocde.us/HealthyMinds/Documents/Resource%20Page/Collaborative%20Cultures%20Toolkit.pdf)

Lauren Vance, former principal at Kings Collegiate Charter School, spent time during summer orientation discussing the school's mission in a structured way. Because frustration often comes from the gap between expectation and reality, she created a document "What It Means to Be a Kings Collegiate Staff Member" to close this gap.

In the short article “Organizational Culture Is like an Iceberg,” the author likens an organization’s culture to an iceberg. (https://www.torbenrick.eu/blog/culture/organizational-culture-is-like-an-iceberg/)

In “School Culture, School Climate: They Are Not the Same Thing,” the author discusses how school leaders who want to address morale in their buildings must know the distinction between culture and climate. (https://www.naesp.org/sites/default/files/resources/2/Principal/2008/M-Ap56.pdf)

"Change is the law of life and those who look only to the past or present are certain to miss the future."—John F. Kennedy

8. Focus on Personal Leadership

While most of this guide focuses on the role of the principal in leading others, it is important to note that when change comes to a school, it impacts the principal as well. To lead others effectively, a principal will need to be aware of his or her own responses to change and maintain focus and resilience. Rather than seeing this as a distraction or a risk, it is an opportunity to model transparent, empathetic leadership for the school community. Teachers, students, and others will be watching leadership to see their reactions to change and to gauge their long-term commitment to new directions for the school.

Strategies for managing your own pathway through change include:

Change Leadership—A Guide for School Leaders 23

Creating space for personal reflection in your leadership practice, recognizing your own reactions to change and growth areas for learning through new experiences.

Looking for yourself in the change cycle stages (page 17): where are you? And how is this affecting your interactions with your team?

Reflecting on the principal actions listed below. Are you demonstrating these leadership actions that are so crucial for guiding your school through change? What are two to three concrete strategies you can work on to build your practice in these areas?

Demonstrating transparency with your leadership team and with your school community more broadly, as appropriate in service of strong relationships. How are you experiencing change? How are you maintaining your focus and experiencing growth through these changes?

Leadership Actions for Change

New Leaders, a national leadership development organization, looked at principals and schools that achieved significant, sustained gains. Their research revealed that principals who led successful change efforts focused on the following leadership actions:

Build trusting relationships with adults and students. Consider how words, actions and decisions will be understood by all stakeholders. Be highly visible and inspirational, communicating the vision and mission of the school relentlessly. Identify successful practice and celebrate it, building toward additional action.

Focus on Personal Leadership—Summary and Reflections:

To lead effectively and by example, principals must manage their own pathway through change. Questions for Reflection:

o How are you experiencing changes within your school community?o What strategies are you using to manage your experience of change? o How are you sharing this with your team?

For Further Reading / Additional Resources:

A 2015 Washington Post article highlights efforts within KIPP schools in DC to make the professional load of principals sustainable, even during periods of intense work and change. It includes personal practices for principals to sustain themselves in the work (https://www.washingtonpost.com/local/education/how-the-hardest-working-principals-avoid-burning-themselves-out/2015/02/22/34cee4b8-b889-11e4-9423-f3d0a1ec335c_story.html).

“Six characteristics of Highly Effective Change Leaders” details six attributes leaders should cultivate within themselves to be strong leaders of change. (http://innovationexcellence.com/blog/2010/08/20/six-characteristics-of-highly-effective-change-leaders/)

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Personal accounts of leading in crucial moments, including through change, can be found in the book Leading from Within. The book also includes selected inspiring readings from these leaders. There are a number of other resources in this vein (http://www.amazon.com/Leading-Within-Poetry-Sustains-Courage/dp/0787988693/ref=sr_1_1?ie=UTF8&qid=1449850778&sr=8-1&keywords=leading+from+within).

If leaders are to direct the attention of their staff toward innovation, they must first learn to focus their own attention in three broad ways: on themselves, on others, and on the wider world. Read more in “The Focused Leader.” (https://hbr.org/2013/12/the-focused-leader)

Practices to support personal resilience through change include making time for journaling, exercise, and connecting to personal support systems and communities.

“Change is not something we do to others, but is something we experience ourselves.”- George Couros

D. What a Change Manager Does

While the first section of this guide speaks to the principal’s role as leader of change in what can be a messy, unpredictable, people-intensive and emotional process, principals also have a role as managers of change, building a clear and transparent timeline and process for leading a school community through change. The structure creates a defined and sustainable space – what Ronald Heifitz calls a “container” – for the messiness of the change process. Principals, together with other leaders within the school, can ensure that change is effective and sustainable by walking themselves and their team through each step of the change process.

Managing Change: How Do I Set Up a Process for Managing Change?

There are several different models for establishing a change management process that are equally effective and provide a strong backbone for planning implementation in a way that is effective for the school community. Principals can manage change efforts in the building by laying out a process with a timeline, team, and long-term objectives that take a large, transformative opportunity and break it down into manageable, actionable steps.

As a Change Manager a Principal’s Role includes at least the following actions:

1. Engage stakeholders and build strong coalitions2. Design and Implement a Plan3. Communicate Effectively Throughout the Change Process

“Change Is Hard In the Beginning, Messy In the Middle, Glorious In the End” -- Robin Sharma

The change management process assists leaders to define and complete a series of tasks in an initiative. To become a skilled manager, a leader needs to attend to the three elements below.

Three Elements of Action as a Change Manager1. Engage Stakeholders and Build Strong Coalitions

Bringing about change in schools requires a team for leadership with clear roles defined. It includes engagement from the principal and a role for the instructional leadership team and others.

Change Leadership—A Guide for School Leaders 25

To be successful the coalition must be able to:

Commit to one another Hold each other accountable for honoring agreements Understand and carry out their roles and responsibilities Continually monitor and adjust

The team will need a plan for engaging stakeholders that defines who these stakeholders are by asking who will be impacted by the change. This plan should align to the implementation timeline and should include moments to engage these groups, as appropriate:

For input as change is being planned and rolled out. For communication about the effort: both its goals and, as it moves forward, its progress. For support through sharing information and providing training, as appropriate for the audience.

Foster a team culture where everyone is working toward the goal. This begins by emphasizing stakeholder engagement in the planning and the design of an initiative. This includes stakeholders from the larger community, including parents and community entities. Important work happens in the development, the conversations, and the shared understanding built through co-creation of key tools and processes, or in planning for their implementation. This approach fosters true shared ownership of outcomes and it is a critical component of successful change. It involves careful work to understand the non-negotiables for the design and implementation of a new system while taking into account the full range of specific interests and needs among stakeholders. Change is more successful when processes maximize effective and appropriate input while being clear and transparent about how input will be used and what’s off the table.

Engage Stakeholders and Build Strong Coalitions—Summary and Reflections:

As the lead managers of change in the building, principals must work with the leadership team and others to establish a plan and a process for change initiatives.

Questions for Reflection:o What is your team attempting to do, and what effort are you putting toward this change? Is it

the right effort? Is it enough?o Are you and your team effectively following through on the plans for implementation you

developed? What can you learn from areas of resistance or ineffectiveness? Do you need to change course?

o Have you identified the stakeholders that will be impacted by this change? Does your plan include clear places to engage them for input, communicate decisions and progress to them, and support them in the change through information-sharing, training, and other strategies as appropriate?

For Further Reading/ Additional Resources:

Building a successful team is about more than finding a group of people with the right mix of professional skills. “How to Build a Successful Team” offers insights that can help you lay the groundwork for a highly productive team that can communicate, cooperate and innovate in an atmosphere of mutual trust and respect. (https://www.nytimes.com/guides/business/manage-a-successful-team?WT.mc_id=SmartBriefs-Newsletter&WT.mc_ev=click&ad-keywords=smartbriefsnl)

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“Leadership: An Imperative for Successful Change” answers the questions: Who are the people who supply the leadership, and what do they do in this vital leadership role? (http://www.sedl.org/change/issues/issues12/)

Kotter International’s eBook 8 Steps to Accelerate Change , published in 2015, provides a quick, actionable overview of the principles in this change model (http://www.hpc.go.th/director/data/reform/Kotter8steps.pdf).

Jody Spiro, Director of Education at the Wallace Foundation, has published a comprehensive Leading Change Handbook on the Wallace Foundation website (http://www.wallacefoundation.org/knowledge-center/school-leadership/district-policy-and-practice/Documents/leading-change-handbook.pdf).

The Massachusetts State Department of Education has published a data team toolkit. In particular, principals may find the process outlined on pp. 2-12 helpful, and the Managing Change and Understanding Concerns Protocol (1.9.1) is a useful resource for engaging stakeholders. (http://www.doe.mass.edu/accountability/toolkit/district-data-toolkit.pdf)

“It is no doubt clear by now why there can never be a recipe or cookbook for change, nor a step-by-step process.”

--Michael Fullan

2. Design and Implement a Plana. Desired Results and Alignment

To implement is “to fulfill; perform; carry out: to put into effect according to or by means of a definite plan or procedure” (dictionary.com, 2015). One part of this plan is to design with the end in mind and place change within the context, as outlined in a previous section called Create Coherence (page 14). Leaders need to think through the adoption and introduction of new system-wide initiatives within their specific school context: What are we aiming to accomplish with this change? Why is it critically important to our vision, mission and goals? What is our purpose? How can the district’s priorities and rationale be explained to stakeholders? How does this process, policy, or direction align with other school priorities and how can it enhance existing school goals and strategies? How will we know what we implemented and to what quality? It is the principal’s job to bring coherence to any change by placing it within the school’s particular vision and plan.

b. Evidence of Success – How will we define, describe and measure indicators of success?

Desired results are documented with evidence provided by observation, survey results, interviews, and other forms of data, with a focus on student outcome data only after it is determined that a practice has been implemented as intended. Such evidence can provide leaders with “indicators of success.” A “multiple measures” approach requires team engagement. The practitioners on the ground – in classrooms, at team meetings, in one-on-one meetings and engaging with students – will be the ones with the insight to see what makes a particular effort effective, and what will be required to spread it and sustain it.

For schools to measure what adults are implementing in order to develop effective supports for implementation, innovations need to be “teachable, learnable, doable, and assessable.” One way to do this is by using a practice profile, which addresses three main criteria: 1) it clarifies the research and purpose of the innovation, 2) it lists the core components (essential functions or main ingredients) that must be present for the innovation to work, and 3) it describes the actionable behaviors of the core components to foster consistency in practice. Practice

Change Leadership—A Guide for School Leaders 27

profiles inform training and coaching plans and clarify what adult behaviors need to be measured. Fidelity assessments are necessary to show how to measure the behaviors. A school team uses the data collected on how much and how well the innovation was done to decide what supports are needed and what obstacles must be eliminated. One type of support might be to retrain on a specific core component with which most staff seem to struggle. For a protocol and template for practice profiles, see “For Further Reading/ Additional Resources.”

c. Implementation Science and Implementation Frameworks

Over the past few decades the science related to developing and identifying evidence-based programs and practices (EBPs) has improved significantly. However, the science related to implementing these programs, with fidelity, in actual settings, has lagged. Implementation science bridges this gap between research and practice by supporting teams to ensure that evidence based practices, validated in the “laboratory,” are implemented as intended to produce similar outcomes in the “real world.” Linked Implementation Teams are in place so that the responsibility is shared, and teams at each level support the work of teams that are one level closer to the evidence-based practice being implemented for the benefit of students. The National Implementation Research Network (NIRN) developed a set of frameworks (see figure 2)to help bridge this gap and help schools increase their capacity to measure what adults are implementing and make adjustments to supports. The frameworks direct the right work by the right teams at the right time.

Figure 2

The NIRN created the Active Implementation Hub website to provide organizations with information and resources regarding implementation science and the frameworks. No matter how sound the change or innovation is, it cannot be successful without well-planned and executed implementation.

An important focus in implementation must be on fidelity of implementation in the change efforts. When schools focus on fidelity of implementation, they ensure that the core elements of a successful program or a promising practice are maintained while responding to specific contexts that may require flexibility in implementation. Also, measuring fidelity helps us distinguish between a problem with implementation and a problem with the program or practice.

Fidelity as an implementation driver dovetails well with models of continuous improvement through a focus on effective implementation already in place in many Minnesota schools. Here are critical data to review when looking at a specific initiative for change:

EFFORT: What have we done to accomplish this change? What is the scope, frequency, or duration of the intervention? (Examples here include the number of teachers involved, the number of instructional hours impacted, etc.)

FIDELITY: How well did we implement our plan? Were there elements that had to be changed? Or should have been changed and were not? We can look at fidelity in three ways:

Change Leadership—A Guide for School Leaders 28

o CONTEXT: What did we determine were the prerequisites – “nuts and bolts” – of this effort in terms of resources and conditions for success? Were those met, and were they sufficient for success?

o CONTENT: For instructional interventions, it is important to examine the subject matter, curriculum implications, and standards alignment. Content will have different considerations for interventions related to school culture or professional development strategies.

o COMPETENCE: The quality of how the intervention was implemented within context and content.

OUTCOMES: What are the student outcomes as a result of the intervention and changes in teacher strategy?

Once leadership determines that an effective practice is implemented as intended using fidelity assessments, it can see if the practice is correlated with the desired outcomes.

d. Selection, Training, Coaching and Support

For the plan to be successful, leadership must think beyond design of tools and processes into support for effective implementation. First consider the selection of staff. Staff who are recruited and hired with the skills and knowledge needed to be most successful at implementing innovations generally need less support. Of course, there is always a need for some level of development of skills for any new hire and for any existing staff presented with new ideas. This support often includes providing training with best practices in adult learning. Effective training and support ensure that the implementers understand the rationale for the change, have the skills for successful implementation, and share ownership for outcomes. Principals should design the roles of the leadership team and key implementers carefully, asking not only what they will be responsible for but also what must “come off of their plate” in order to focus on high-impact adoption of new practice. Principals and other early adopters, such as the change champions, should continue to be engaged in implementation support, following up to ensure that new practices are being effectively employed and all team members are on track to the desired outcomes. This is most effectively done by ensuring that coaching is provided. Coaching is regular, embedded professional development that helps the practitioners to move from training to the actually sustained adaption of the new practice.

e. Timeline

Part of an effective plan includes a well-developed and communicated timeline. When will this change effort begin? By when should it be complete? And what are the important milestones along the way? Consider how this change timeline will work with other initiatives and key district dates, as a plan for its launch and completion are made. While a timeline is important, keep in mind that change is messy. Plan on space for the messiness of change leadership including time to pause, listen, and revise direction as needed and address the change leadership elements highlighted in the first section of this guide.According to Implementation Science, effective change happens in stages. The Implementation Stages offer guidance on activities to complete before moving to the next stage. This way staff, plans, structures and tools are ready for the work. Resistance to change is often a sign that the work has moved too quickly. View more details on the Stages of Implementation.

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“It takes about three years to achieve successful change in student performance in an elementary school. Depending on size, it takes about six years to do so in a secondary school.”

-Michael -Fullan

Design and Implement a Plan—Summary and Reflections:

A successful plan will include:o Desired results and alignment with district and school vision and missiono Evidence of success and methods and tools to assess progress o Implementation plans o Training and Supporto Timelines

Use an existing process model to make sure the plan includes all the important steps for success. When in the middle of a change initiative, pay close attention to implementation efforts and outcomes

to determine what is working, what isn’t, and how to spread success. Questions for Reflection:

o How will you measure success at the end of this initiative? Along the way? Have you set up the right systems to capture the information you’ll need to determine success and capture learning?

o Do you and your team have a clear timeline for implementing this change? Have you defined important milestones along the way?

o Do you have a clearly defined team for leading the implementation of this change? What is your role as principal? What is the role of the school instructional leadership team? Are there other key players?

For Further Reading/ Additional Resources:

“Staff Development and Change Process: Cut from the Same Cloth” suggests thinking about staff development as the process of change and about strategies that enhance the success of the staff development/change effort (http://www.sedl.org/change/issues/issues42.html).

Principals can find the resources for implementation at the National Implementation Research Institute’s (NIRN) Active Implementation Hub (http://implementation.fpg.unc.edu/) helpful.

In “What We Need in Education is More Integrity (and Less Fidelity) of Implementation,” Paul LeMahieu cautions the reader about focusing too much on fidelity and losing focus of local contexts that can affect implementation (https://www.carnegiefoundation.org/blog/what-we-need-in-education-is-more-integrity-and-less-fidelity-of-implementation/)

In “Measuring the Success of Change Management” Andrews discusses measuring success during a change initiative. (https://www.linkedin.com/pulse/measuring-success-change-management-collin-andrews-mba/)

The Practice Profile Tool for Teams is a protocol for developing a Practice Profile related to the team practices. The Practice Profile Template is a companion document.

According to “Realizing School Improvement through Understanding the Change Process,” two important questions, each focused on a dimension of the change process, can inform implementation activities so that school improvement can be realized: What exactly is the innovation to be introduced? What happens to the individuals who will implement the innovation into their work settings and practices? (http://www.sedl.org/change/issues/issues11.html)

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“The single biggest problem in communication is the illusion that it has taken place.” --George Bernard Shaw

3. Communicate Effectively Throughout the Change Process

Prioritizing a coordinated communication effort through all stages of the change is an essential piece of change management. Communication should include clear and common messages, and follow-up on input provided by stakeholders. Key components of this communication include:

Messaging that is appropriate to specific stakeholder audiences Consistency in messaging reflecting the shared language of the community Connections to broader school strategies, priorities, and expectations for outcomes Communication that serves as a feedback loop, with avenues for both pushing information out and also

hearing back from key constituencies

Kotter specifies that good communication in the change process is a discussion, not a meeting, signage or an intranet site. Talk with people, not at them. Susan Heathfield (2017), a management and organization development consultant, sets out four things that must happen to have effective communication between the sender and the receiver:

1. The individual sending the message must present the message clearly and in detail, and radiate integrity and authenticity.

2. The person receiving the message must decide to listen, ask questions for clarity, and trust the sender of the message.

3. The delivery method chosen must suit the circumstances and the needs of both the sender and the receiver.

4. The content of the message has to resonate and connect, on some level, with the already-held beliefs of the receiver. It must contain the information that the employee wants to hear. It must answer the employee's most cherished and cared about questions.

To check to see if the communication is effective, leaders will need to use assessment tools. These tools will enable leadership to determine when they haven't communicated successfully, or when the message is being misconstrued. Leadership can then rectify and refine the message. See Are We There Yet? (“For Further Reading/Additional Resources”) for steps in evaluating communication. Remember, communication is not an event, rather change communication must be treated as a process if the change is to succeed.

Communicate Effectively Throughout the Change Process—Summary and Reflections:

When a change initiative fails, it is often due to a lack of good communication from leadership. Communication isn’t just about what a leader says or writes – it’s also about how employees listen and

engage. Questions for Reflection:

o Do I have a vehicle for two-way communication? Am I listening?o Is my communication clear, continual, and consistent?

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For Further Reading/ Additional Resources:

Here are several resources with good tips regarding communication in the change process: “How to communicate effectively within the change process” (http://www.reliableplant.com/Read/23535/communicate-effectively-change-process), “Ten Commandments for Communicating Change Effectively” (http://www.quickbase.com/blog/ten-commandments-for-communicating-change-effectively), and “Communication in Change Management” (https://www.thebalance.com/communication-in-change-management-1917805).

“Are We There Yet? A Communications Evaluation Guide” provides a process for evaluating communication. (https://www.luminafoundation.org/files/resources/arewethereyet.pdf)

To set up organizational change efforts for success, the authors provide 6 tips in “Six Faulty Assumptions about Organizational Change Communications.” (http://changeleadersnetwork.com/free-resources/six-faulty-assumptions-about-change-communications)

E. Conclusion

Change is a complicated, long-term and non-linear process. Because change is not an event, the process becomes as important as the product. For deep and enduring change to happen, people’s attitudes, values and beliefs, and hence the culture of the organization need to be altered. Change, then, is destabilizing, often threatening for individuals and groups involved, and therefore often involves conflict. There is no recipe with a list of ingredients and simple steps, no detailed blueprint for schools to follow for success.

All educators must play key roles in effecting change in our schools, but the burden is even greater for leaders. Principals must respond to change positively and guide the teams and the staff on the journey. Change in schools is dynamic and the principal must take school staff on challenging journeys that they often would not take on their own.

Leading and managing change effectively is challenging. This resource has provided some insight to why change often does not work out as planned and, more importantly, it has provided an understanding of how the process can be made easier and lasting. The guide does not provide a magic formula. Instead it is hoped that by understanding the nature of change and how people react to it, school leaders can Lead and Manage change more effectively.

“Today, our very survival depends on our ability to stay awake, to adjust to new ideas, to remain vigilant and to face the challenge of change.”

–Martin Luther KingFor Further Reading/ Additional Resources:

In “3 ideas to help drive change in your company”, Jennifer Miller argues that change might not be as difficult as we think. She discusses three factors she believes might help sort out change management. (http://smartbrief.com/original/2017/10/3-ideas-help-drive-change-your-company?utm_source=brief)

The “Change Management Leadership Guide” provides a framework of the concepts and theories of change management along with tips and tools for a successful change initiative. (http://www.ryerson.ca/content/dam/hr/manager-resources/docs/change-management-leadership-guide.pdf)

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Appendix A

Alignment with the Principal Performance Measures in the Minnesota State Model for Principal Evaluation

The principal’s role in leading and managing change is infused in all elements of the principal performance measures because it is a key component of moving a school community toward improved outcomes in any domain. They include stronger instruction; improved staff practices; a more cohesive, inclusive school culture for students, staff, and family members; and better systems and resource management. Leading a school community makes it inevitable that a principal will be leading change – often across multiple dimensions at once!

In particular, change leadership and management is called out within Performance Measure #4: “[A principal] demonstrates ethical personal leadership through relationship building, effective communication, and self-reflection.” These three elements of principal action – relationships, communication, and personal reflection – are the building blocks of effective change leadership. Indicator 4C speaks specifically to the principal’s role and priorities in the change process. The indicator defines the principal as both the leader (“manages” change and “employs problem-solving strategies”) and also as one of the individuals impacted (“adapts to change). Successful principals understand both elements of their experience of change: driving and responding to it.

Alignment to the MN Principal Measures:

Performance Measure 4: Demonstrates ethical personal leadership through relationship building, effective communication, and self-reflection.

Indicator 4C: Constructively manages and adapts to change and employs problem-solving strategies with the ultimate goal of improving student achievement.

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Fullan, M. (2001). Leading in a Culture of Change. San Francisco: John Wiley and Sons, Inc.

Heathfield, S. (2017, June 1). Communication in Change Management . Retrieved from The Balance: https://www.thebalance.com/communication-in-change-management-1917805

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