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This is to certify that the
thesis entitled
The Development of a Theoretical Model for Diffusing the
Tri-Ethnic Curriculum Project
presented by
Christine Davidson, S.S.J.
has been accepted towards fulfillment
of the requirements for
Ph.D. iegcehi Curriculum
(Bug; \g . LKCLW
Major professor
Date May 21, 1971
0-7639
W‘um‘ .
t
42.4 («BARE
{Viki} gan State
University
ABSTRACT
THE DEVELOPMENT OF A THEORETICAL MODEL FOR DIFFUSING
THE TRI-ETHNIC CURRICULUM PROJECT
By
Christine Davidson S.S.J.
The major purpose of this study was to develop a theoretical model
for the diffusion and subsequent implementation of the Tri-Ethnic Curric—
ulum Project. The first phase is a program of teacher "awareness of
role" in the Tri—Ethnic Experiences: Black American; American Indian;
and Spanish—speaking American. The model could have implications in
determining the procedures for program development, the decision making
Process, and administrative functions as the Tri—Ethnic Curriculum
Project moves through a second and then third phase.
The diffusion model was produced through the logical derivation
Of a set of research implications for educational innovations to which
Several elements from sociology and psychology are interrelated. An
inter—disciplinary approach was used, applying social science findings
to persons, groups, organizations and school systems in the process of
curriculum develOpment and the diffusion of innovations in education.
A model was constructed using three phases which were extracted
from common elements found in the literature and which appeared appro—
priate for the development of a theoretical diffusion model. They
include antecedent activities, adaptation activities, and follow—through
activities.
The diffusion process was developed by synthesizing factors
related to three perspectives: the Social—interaction Model; the
Christine Davidson S.S.J.
Research DevelOpment, and Diffusion Model; and the Problem-Solving
Model.
The curriculum model, implementation mechanism, and the rec0mmen-
dations from which these were synthesized were directed to the superine
tendents of parochial schools in the five dioceses of Michigan who are
ultimately responsible for improved curriculum in the five diocesan
school systems.
THE DEVELOPMENT OF A THEORETICAL MODEL
FOR DIFFUSING THE TRI-ETHNIC CURRICULUM PROJECT
By
Christine Davidsonf6757d; ‘
A THESIS
Submitted to
Michigan State University
in partial fulfillment of the requirements
for the degree of
DOCTOR OF PHILOSOPHY
Department of Education
1971
I 470332
ACKNOWLEDGMENTS
Special gratitude is due Dr. Dale Alam who has been not only an
academic advisor, but a real friend, as well. It has been a privilege
to share his beliefs about education and his committment to bettering
it at every level.
Dr. Daniel Jacobson has been a close friend and co-worker through-
out the Tri—Ethnic Curriculum Project. I am deeply grateful to him
for his untiring efforts to serve as consultant for the Tri—Ethnic
Studies, a member of my committee, and as a close and dear friend.
Special thanks are given to Dr. Louise Sause and Dr. Charles
Blackman for their encouragement and help as members of my committee.
Recognition of a "beyond the call of duty" committment is in place
for Carol Eames who typed this dissertation and for Sister Verenice who
provided me with encouragement and time throughout my entire doctoral
program.
TABLE OF CONTENTS
Page
LIST OF TABLES . . . . . . . . . . . . . . . . . . . . . . . . . v
PREFACE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 'vi
Chapter
I.INTRODUCTION...................... 1
Organization and Development of the Tri-Ethnic
Curriculum Project (TECP). . . . . . . . . 1
Design and Purpose of the Study. 2
Basic Assumptions. . . . . . . . . . . . . . 3
Limitations of the Study . . . . . . . . . . . . . . . . 3
Definition of Terms. . . . . . . . . . . . . . . . . . . 4
Background Research. . . . . . . . . . . . . . . 5
Organization of the Study . . . . . . . . . . . . 8
II. FROM RESEARCH TO PRACTICE. . . . . . . . . . . . . . . . 12
Introduction . . . . . . . . . . . . . . . . . . . . 12
Research Utilization: The Process of Internal
Linkage. . . . . . . . . . . . . . . . . . 1L
The Intra—Psychic Aspect . . . . . . . . . . . . . . 18
The Interpersonal Aspect . . . . . . . . . . . . . . 22
Organizational Linkage . . . . . . . . . . . . . . . L8
Temporary Systems. . . . . . . . . . . . . . . . . . 60
Toward Permanent Systems . . . . . . . . . . . . . . 63
III. MODELS OF DIFFUSION. . . . . . . . . . . . . . . . . . . 72
Introduction . . . . . . . . . . . . . . 72
The Social—Interaction Perspective . . . . . . . 77
The Research, DevelOpment, Diffusion Perspective . . . . 93
The Problem—Solving Perspective. . . . . . . . . . . . 109
IV. DEVELOPMENT OF A THEORETICAL MODEL FOR THE DIFFUSION
AND IMPLEMENTATION OF THE TRI-ETHNIC CURRICULUM
PROJECT. . . . . . . . . . . . 122
Summary of Implications from Research. . . . . . . . . . 122
Diffusion Phases of the Model. . . . . . . . . . . . . . 125
The Model and Its Implications . . . . . . . . . . . . . 126
Conclusions of the Study . . . . . . . . . . . . . . . . 127
Suggestions for Future Research. . . . . . . . . . . . . 127
Chapter
APPENDICES
1 Historical Study of the Tri—Ethnic Curriculum
Project .
2 Summary of the Recommendations for the Tri—Ethnic
Curriculum Project Derived from Implications
throughout the Review of Literature and Research.
BIBLIOGRAPHY .
iv
Page
129
163
172
Table
10
ll
12
13
11+
15
16
17
18
19
20
LIST OF TABLES
A Comparison of the Diffusion Research Traditions . . .
Summary of the Distinction Between Compliance,
Identification and Internalization. . . . . . . .
The Social System Which Serves the User: Four
Levels of Analysis. . . . . . . . . . . . . . . . . .
Models of Change Within Which Linkage Takes Place . .
Systems Approach to Change. . . . . . . . . .
Model for Educational Diffusion: Research from
Past Researchers. . . . . . . . .
A New Model for Change in Education .
Model for Change in Educational SOCial Systems.
Stages Typically Included Within Three Schools of
Research. .
Social—Interaction Change Model .
Involvement of the Individual at the Stages of
the Adoption Process. . . . .
The Individual Adoption Curve . . . . . . . . . . . . . . .
Research, Development and Diffusion Change Models .
A Typology of Change.
Research, Development and Dissemination Perspective .
Problem—Solver Perspective. . . .
Research Utilization Problem—Solver Model . . . . . . .
Participants in Curricular Change—Cultural Context.
Problem—Solver Change Models.
The Theoretical Model for Diffusing the Tri-Ethnic
Curriculum Project. .
Page
19
39
A2
7A
7A
75
76
78
79
81
83
91.
99
101.
109
111,
116
ll?
128
PREFACE
The teacher in—service phase of the Tri—Ethnic Curriculum Project
was designed to create awareness and to stimulate reaction to a national
problem: the forces in our society which feed upon the fears of man
and which put man against man because of ethnic and/or racial background.
The second intent was to provide stimulus that might lead to a felt need
within teachers to better understand the role of the teacher in the Tri-
Ethnic Experience:
1) DeveIOp an awareness and understanding of the Tri—Ethnic
History and Cultures.
2) Knowledge of the Black community, Spanish—speaking com—
munity, and American Indian community with regard to mores,
organization of community, the family, etc.
3) Develop an insight into the needs of people of ethnic
groups, e.i., their most pressing concerns and how they
may best achieve them.
A) Self—awareness, the teacher looking into himself in an
attempt to define his role and what he brings to the
overall objectives of the Tri—Ethnic Experience.
The theoretical model developed in this study for diffusing
Phase I of the Tri-Ethnic Curriculum Project was derived from a syn-
thesis of models presented from three perspectives: social-interaction;
research, development and dissemination; and problem—solving.
A study of organizational roles; people and groups of people;
systems for teacher education and interaction; and the diffusion pro-
cess provided implications from which recommendations were derived
for determining the roles and functions of those initiating and
receiving the awareness and reaction program.
vi
Phase II and III of TECP will follow should Phase I bring about
a felt need to assess the problem at the local levels, and interest
eliciting concern, diagnosis, alternatives and decisions toward the
development of educational programs specifically designed to further
the Tri—Ethnic Experience. The theoretical diffusion model assumes
the continuum of Phases I, II and III, although there is no assurance
that all or any of the local school systems will move through the
complete process.
CHAPTER I
ORGANIZATION AND DEVELOPMENT OF THE TRI-ETHNIC CURRICULUM PROJECT
The five bishops of Michigan recently agreed to fund the Tri-Ethnic
Curriculum Project for the selection and organization of curriculum
materials and the initiation of instructional programs in the three
principal minority groups' histories and cultures (Black, Spanish-
speaking American and American-Indian) under the general coordination
of the five diocesan superintendents. The Tri-Ethnic Curriculum
Project (TECP) will likely alternate summer planning with academic
year program development for a three year period.
Organization and Development
TECP began its work in June, 1970. The full-time staff consisted
of a director for the project, curriculum Specialists of history and
the humanities, and a librarian. Consultants and resource people were
enlisted from diocesan education staffs, from the Lansing Public schools,
from Michigan State University, from the University of Michigan, Madonna
and Aquinas Colleges, and from elementary and secondary schools over
the state. This team included members of the tri-ethnic groups as well
as anglo educators.
Their specific goals for the summer of 1970 included the following:
1) To promote action programs in the Catholic schools in
Michigan with special emphasis on teacher awareness
and motivation in tri-ethnic histories and cultures
2
2) To identify and classify available written and visual
materials as well as human resources for continuing
teacher education
3) To develop annotated bibliographical material identified
according to instructional levels and subject matter
A) To disseminate research and annotated bibliographies to
superintendents, diocesan curriculum staffs, principals
and teachers
5) To research diffusion processes involving administrators
and teachers in meaningful interaction that might
facilitate the implementation of action programs
This group completed a guide (150 pages) containing a complete
description of the Tri-Ethnic Curriculum Project. There are annotated
guides and suggested strategies for implementing a program of aware-
ness for teachers and available materials in the Tri-Ethnic experience
for administrators, teachers and students.
Design and Purpose of the Study
This study was designed as a synthesis investigation. The major
purpose was to develop a model which would provide a theoretical
structure for the subsequent diffusion and adOption of the Tri-Ethnic
Curriculum Project.
The model could have implications in determining the procedures
for program develOpment, in—service programs, the decision making
process and administrative functions for the implementation of the
Tri-Ethnic Curriculum Project.
The following procedures were pursued in constructing the model:
a comprehensive review of literature and research was made on the
utilization and dissemination of knowledge and the diffusion of change;
an interdisciplinary approach was used applying social science findings
to persons, groups, organizations and school systems; studies of
diffusion and adoption models from different research traditions were
3
compiled evolving a theory based on them; a theoretical model was
developed.
The following issues were investigated relative to the reviews of
research studies and professional literature:
1)
2)
3)
What is the relevance of previous research dealing
with the diffusion and adoption of innovations for
the Tri-Ethnic Curriculum Project?
What are the findings of diffusion research regarding
the organizational functions which need to be develOped
within the school system for initiating and diffusing
change? What are the implications of these findings
for the Tri-Ethnic Curriculum Project?
What are the findings of diffusion research focusing
on the internal functioning of the school system in
the process of change? What are the implications of
these findings for the Tri-Ethnic Curriculum Project?
Basic Assumptions
1)
2)
3)
The research studies and professional literature
provide a valid picture of the special properties
and processes of educational change.
Certain elements, characteristic of the knowledge
utilization and diffusion—adoption process, are
applicable to the diffusion and adoption of the
Tri-Ethnic Curriculum Project.
Diffusion and adoption of innovations in schools
or school systems should not be equated with chance,
but with development.
Limitations to the Study
This study was limited to the observations and reviews that the
writer was able to make. It was further limited to the isolation of
issues which could be used in building a model for a specific project,
namely, the Tri-Ethnic Curriculum Project.
The researcher's background of involvement in the Tri-Ethnic
Curriculum Project was a limitation in that complete objectivity may
have been lacking. This may have influenced the choice and
l,
interpretation of research and literature on the subject of diffusion
processes from which the theoretical model was constructed and
defended.
The exploratory nature of the study represented a limitation as
far as the specificity of results are concerned.
Definition of Terms
Diffusion: the process of transmitting a message from a source
system, be it a person or aggregate of persons, through a second
system, which acts first as a receiver then as a source, to a third
and to later systems.l
Dissemination: a similar process having three more ingredients:
1) the system within which the transmission takes place is well defined;
2) the transmission is a deliberate effort on the part of the source
component; 3) the description and control of the transmission process
within the system is more or less complete and precise.2
Process: the inter-action in which staff members experience
relations between and among themselves which allow for reciprocal
influences of one upon the other, behavioral outcomes in the classroom,
and growth in educational philosophy.
Organization or institution: a system with the following
attributes:
l) A number of offices have specified functions
2) The offices are structured along hierarchial lines
3) Within each office are specific positions which have
specific roles in terms of the functions and products
of the system
A) Rewards and punishments are regulated according to
established rules which usually specify the required
competence of the occupant of the position
5
5) Operational communication and interaction, except in
infrequent, deliberately arranged occasions, takes
place along the lines of hierarchial structure.3
Change: measurable alteration or difference in the school system
or a sub—system, such as administrators, teachers, pupils or parents.
Change orientation: an individual's degree of general predis-
position to change.
Curriculum: the result of interaction of a complex of factors,
including the physical environment and the desires, beliefs, knowledge,
attitudes and skills of the persons served by and serving the schools,
namely, the learners, community, adults, and educators.h
Background Research
Although scholars in several research traditions have studied
diffusion, Rogers tells us that there has been little "diffusion" among
these traditions. For example, medical sociologists, rural sociologists,
anthropologists and educators are mostly unaware of each other's findings.
"Every research area", he says, "reaches the point where greater returns
are available from a synthesis of the findings already available than
from investing resources and efforts in additional research."5
The diffusion research tradition is exemplified by studies in the
fields of rural sociology, education, medical sociology and communi-
cation. In the rural sociology tradition, central attention has been
directed toward the diffusion of agricultural innovations such as hybrid
seed corn (Ryan, Lionberger, Rogers).6 In the medical sociology tradi-
tion, the diffusion of new drugs has been the focus of attention (Katz,
Menzel, Winick).7 In education, Columbia University's Teachers College
conducted an extensive research program under the leadership of Paul
Mort to study the adaptability of schools to change and innovation.
6
In fact, Carlson tells us that the history of diffusion research in
education has been tied to this one man.8
The most significant integrative effort to date in the general
area of dissemination and utilization has been the work of Everett M.
Rogers and his associates at The Ohio State University and currently
at Michigan State University. He has undertaken a comprehensive review
of the literature and has employed an interdisciplinary comparative
approach, compiling studies from several different research traditions.
Finally, he has attempted to integrate these findings and evolve a
theory based on them.9
Rogers summarized graphically six major research traditions on
the diffusion of innovations:10
TABLE I.
A COMPARISON OF THE DIFFUSION RESEARCH TRADITIONS
Main
Method of Main Major
Main Data—Gath- Unit Types
Disciplines ering and of of
Tradition Represented Analysis Analysis Findings
1. Anthropology Anthropology Participant Societies How idea dif-
observer or tribes fuses from
combines one society
with des- to another;
criptive consequences
analysis of innovation
2. Early Sociology Data from Mainly S-shaped
sociology secondary commun— adopter dis-
sources, ities, tribution;
and a type but also correlates of
of statis- individ- innovative-
tical anal- uals ness
ysis
Tradition
3. Rural
sociology
h. Education
5. Industrial
6. Medical
sociology
Main
Disciplines
Represented
Sociology
Education
Industrial
economists;
Industrial
historians;
Industrial
engineers
Sociology;
Public
Health
7
Table l (cont'd.)
Main
Method of
Data-Gath-
ering and
Analysis
Personal
interviews
and statis—
tical
analysis
Mailed
question-
naires and
statistical
analysis
Case studies
and statis—
tical analy-
sis
Personal
interviews
and statis-
tical analy—
sis
Main
Unit
of
Analysis
Individ-
ual farm—
ers
School
systems
Indus—
trial
Individ-
uals
Major
Types
of
Findings
Correlates of
innovative-
ness; charac-
teristics of
ideas related
to their rate
of adoption;
source of in—
formation at
adoption
process
stages;
S—shaped
adopter dis-
tribution
Correlates of
innovative-
ness; S-shaped
adopter distri-
bution
Correlates of
innovative-
ness
Opinion leader-
ship in diffusion;
correlates of
innovativeness
Bennis, Benne and Chin studied change broadly enough to include
intersystem linkage problems and influence processes as major aspects.
Their volume gives valuable leads into the social-psychological and
*A research tradition is a series of research studies on a
similar topic in which successive studies are influenced by preceding
investigations.
(Rogers)
8
sociological literature pertaining to utilization that are not found
in Rogers.11
Miles has also compiled a reference volume. A number of studies
are included which define innovation broadly enough to encompass
organizational change. Of special note is Miles'12 discussion of
"temporary systems" in which he includes such phenomena as conferences,
collaborative action-research projects, and other mechanisms used for
dissemination and utilization purposes in diffusing change.
A third set of papers has been produced as a part of the Coopera-
tive Project for Educational DevelOpment edited by Watson.13 These
papers provide a broad theoretical background on the problems of know—
ledge dissemination and utilization in general, with specific emphasis
on education. Taken together, they range across nearly every area
which is relevant to educational change: properties of schools as
social systems, crucial issues in organizational develOpment, strategies
for working on problems of change in school systems, and change agents.
They are authored by some of the known scholars in the field; Benne,
Lippitt, Miles, Havelock, Thelen, Jung and Watson.
In 1969, Ronald Havelock et al., presented a report to the United
States Office of Education. It provided a framework for understanding
the processes of innovation, dissemination and utilization. He viewed
dissemination and utilization as a transfer of messages by various media
lb.
between resource systems and users.
Organization of the Stugy
This chapter has presented the problem, described the purpose and
design of the study. The basic assumptions and limitations of the
study were also presented. The study was premised on the relevance
9
of the findings of research and literature for the development of a
theoretical model for diffusing the Tri-Ethnic Curriculum Project.
Chapter II formulates the findings of research, focusing on the
internal and external processes critical to knowledge dissemination
and utilization and the implications of these findings for the
diffusion and adoption of the Tri-Ethnic Curriculum Project. Chapter
III describes the characteristics of diffusion models. On the basis
of the issues researched, and from the implications derived in Chapter
III, a theoretical model was synthesized for the diffusion of the Tri-
Ethnic Curriculum Project. A summary of the recommendations is pre-
sented in Chapter IV, along with the theoretical model.
FOOTNOTES
1Nan Lin, et al., The Diffusion of an Innovation in Three
Michigan High Schools: Institution Building through Changg, (Michigan
State University, Department of Communication, 1966), p. 12.
21bid, p. 79.
3Ibid, pp. 78-79.
AAlice Miel, Chan in the Curriculum: A Social Process, (New
York, D. Appleton—Century Co. Inc., 19L , p.
5Everett Rogers, The Diffusion of Innovations, (New York, The
Free Press, 1969), p. 6.
6Ryan, Bryce, and Neal Cross, "The Diffusion of Hybrid Seed Corn
in Two Iowa Communities", Rural Sociology, Vol. 8, l9u3, pp. 15-2L.
Herbert F. Lionberger, "The Diffusion of Farm and Home Information
as an Area of Sociological Research", Rural Sociology, Vol. 17, 1952,
pp. lBZ-lAO.
Everett Rogers, Diffusion of Innovations, (New York, The Free
Press, 1962), pp. 33-35.
7Elihu Katz and Herbert Menzel, "On the Flow of Scientific
Information in the Medical Profession", Mimeographed Report, Columbia
University Bureau of Applied Social Research, l95h.
Charles Winick, "The Diffusion of an Innovation Among Physicians
in a Large City", ociometgy, Vol. 2A, 1961, pp. 38u-396.
8Richard O. Carlson, "Summary and Critique of Educational
Diffusion Research", presented at the National Conference on the
Diffusion of Educational Ideas, printed in Rgsearch Implications for
Educational Diffusion, Michigan Department of Education, 1968, p. 16.
9Everett Roger, ibid.
10
ll
loIbid, pp. 55—56.
llWarren Bennis, Kenneth Benns, Robert Chin, The Plannin of
Change, (New York, Holt—Rinehart and Winston, 1966).
12Mathew Miles, ed., Innovation in Education, (New York, Teachers
College Press, Columbia University, 19 A .
13Goodwin Watson, ed., Change in School Systems, COOperative
Project for Educational DeveIOpment, NTL Institute for Applied
Behavioral Science, Washington, D.C., 1967.
lhRonald Havelock, et al, Planning for Innovation through
Dissemination and Utilization of Knowled dge, Final Report to United
States department of Health, Education, and Welfare, United States
Office of Education, 1969.
CHAPTER II
FROM RESEARCH TO PRACTICE
Introduction
The main purpose of this chapter is to synthesize available
research findings and theories on the diffusion of innovations. The
most common orientation taken by those doing diffusion research on
educational innovation consists of elements connected to what is called
communication theory. In 1968, Carlson stated that no theory of
diffusion had guided research on educational innovations, nor had one
been developed from such research. There was, at that time, no real
agreement on concepts involved in adOption behavior and there was no
adequate synthesis of concepts into a general theory.1
A Collaborative Enterprise
The utilization process has been broken down by some researchers
into two major categories. The first of these are called interperSOnal
and group membership issues, which deal essentially with the permeability
problem, the problem of how individuals share their knowled~e. The
second aspect could be called technical issues. These deal with the
content of the message itself, the manner in which it is prepared and
transmitted, and the medium through which it is transmitted.
Lippitt summarizes several key challenges of change which can be
coped with by the framework of retrieving, processing, and using
external and internal knowledge resources:
12
13
1) "Closing the gap betweengproblem—pain and diagnostic
SOphistication: Every educational practitioner with
some type of "problem itch" needs to illuminate and
articulate the problem by using methods of self-search
and/or self-inquiry and methods of scanning the
experiences of others and getting feedback from others.
2) Closing the gap between gpod intentions and effective
output: Basic research and evaluation research tell
us that the processes of linkage between intention
and action are complex and frequently non-actualized.
The issues of effective commitment, skill security,
and social support must be recognized and coped with.
This requires a process of retrieved internal knowledge
of the self and external knowledge gram research on
decision making and action taking."
These two gaps have been problems of individual change. Lippitt
cites other gaps which are "inter—individual and inter-group." One
is that between the students and those adults who work directly with
them -— teachers, counselors, and others. Another gap is between the
direct workers and those in the school system who are responsible for
supporting, supervising, guiding their performance - principals,
consultants, supervisors and the like. A third gap is between the
active educational team and the policy team of sanctioners, planners,
opportunity providers - the superintendent, school board, community
resource leader, parents and so on. All three of these collaborative
contexts must be the focus of continuous external and internal knowledge
retrieval and utilization.3
Benne further states that planned educational change which is to
be successful will require the collaboration of practitioners with
social scientists and with engineering methodologists.h
Among seven factors included by Havelock in the diffusion and
utilization process is "linkage". He defines linkage as the "number,
variety, and mutuality of Resource System - User System contacts,
degree of inter-relatedness and collaborative relationships."5
11.
Lippitt raises some pertinent questions in looking at a total
socialization program of the society:
1) Development of dialogue about socialization objectives.
"There is a critical need to involve our social and
educational philosophers, religious leaders, and
humanists in the concrete analysis of the basic goals
and instrumental objectives of the socialization
process —- not general philosophical analysis, but
disciplined dialogue with the scientists and practi-
tioners to inquire into and clarify the varied goal
orientations needed as basic guidelines for the
performance of all socialization agents.
2) Co-ordination of the socialization community noting
the "chaotic medley of socialization vested interests
which impinge on the life Space of the socializee".
In the pluralistic community and society, there is
no room for the "socialization czar", but critical
need for voluntary sharing of values and the
development of program collaboration.
3) In—service education for parents and family units.
v
A Comprehensive school improvement programs: "The
school receives far too little collaborative help
from other segments of the community and far too
much criticism of failure . . . at the same time,
the school is typically very backward in utilizing
the resources of social research and theory to
improve its functioning as a sub-system of community
and as an organization."
5
v
The involvement of all segments of the socialization
community: "To involve the socializees to the
greatest extent possible in setting goals, providing
feedback about their response to their socialization
experiences, and taking initiative in innovating
growth and development experiences for themselves."
6
v
Mobilization and development of university resources:
"There is a great need for basic research to increase
the range and validity of the diagnostic insights
required by those who should lead the engineering
of improved socialized practice."
Research Utilization: The Process of Internal Linkage
In the typical research utilization process, there are linkages
having to do with connection between the production of a piece of
knowledge (new data, theory, practice, method) and its adoption and
l5
utilization by relevant users. One part of the linking process takes
place pipplp the knowledge consumption unit - a person or group or
organization.
An action-research team headed by Ronald Lippitt has worked in
collaboration with several school systems representing a large and
varied sample of elementary and secondary classroom teachers. They
discovered that the innovation and spread of high quality teaching
practices is a different process from the spread of new develOpments
in agriculture, medicine and industry. In these other fields, which
apply new biological and physical research knowledge, the invention is
usually a new physical product, e.g., machine, seed, drug, insecticide.
Its utilization is primarily a process of objective evaluation and
distribution for use. But in an applied social science field, such
as education, the new invention is usually a pattern of human behavior,
e.g., a new way of behaving toward a group of young learners. Adoption
of the social practice or invention must be compatible with the values,
attitudes and behavioral skills of the potential adopter. If not,
changes in these complex intra-personal belief systems and behavior
patterns are required.6
Since the adopter (Student, teacher, administrator) is also a
member of and accountable to, an intricate social system, interpersonal
and social relations would well be taken into account in innovation
and diffusion processes.
Verticle and Horizontal Linkage
Research has been focusing on two basically different types of
bridging processes linking teachers to new resources and supporting
their improvement efforts. They might be thought of as verticle and
16
horizontal linkages. Lippitt identifies the two processes:
"One form of verticle linking connects the teacher to
the knowledge and methods of the behavioral sciences
in order to enable him to conduct a personal research
and development process in his classroom. . . . Another
example of verticle linking is the common process by
which scientific or administrative suggestions are
passed on to teachers by administrators and supervisors."
7
He then defines horizontal linking:
"By horizontal linking we mean connecting the teacher
to other teachers who are interested in sharing or
adopting relevant teaching innovations. In addition
to the critical role of the scientist or professional
consultant, the interpersonal conditions or relation-
ships in the school building make a great difference
in this diffusion process."
Benne further develops the idea of internal collaboration for change:
"The engineering of change and the meeting of pressures
on a group or organization must be collaborative. This
norm prescribes two general kinds of collaboration. In
the first place, it emphasizes the need for collaboration
across lines of divergent action interests in a given
situation requiring change. Individuals and groups must
be helped to see that the task is to discover and construct
a common interest out of the conflicting interests which
they bring to the interpretation of the situation and to
the direction of changes in it."
"The second kind of collaboration required is across
lines of 'theory' and 'practice'. A planned change in
a school situation must be one which is based on the
best available knowledge of relevant relationships and
structures, of social forces and fagtors promoting and
impeding various possible changes."
Pellegrin lists ten sources of educational innovation: 1) the
classroom teacher; 2) the administrator (principal and/or superintendent);
3) the school board; A) the lay public; 5) the state department of
education; 6) education faculties in colleges and universities; 7) pro-
fessional associations; 8) the United States Office of Education;
9) textbook publishers; lO) scientists, technical specialists, and
other experts. Only the first two can be considered as internal. He
1?
emphasizes the crucial nature of the teacher and the administrator in
the diffusion process and adoption of change.10
Implications from Preceding Research
The implication of the preceding research is that most system
innovations come about through diffusion in some way and that there is,
therefore, need for transmission processes, for improved diffusion
programs.
Studies show that since educational changes are very complex,
there are some basic factors in setting diffusion programs:
1. The involvement of a collaborative team within
the changing institution
2. A degree of division of labor, co—ordination, and
collaboration throughout the social system
3. Collaborative interaction making solutions more
relevant, valid and effective
The social system is made up of inter-locking positions and
interacting roles. Among the positions in the school system are those
of parent, board member, superintendent, principal, teacher, and pupil.
Each position requires role-performance in relation to what persons
in other roles expect and do as well as building relationships of trust
and mutual perceptions within the social system.
Recommendations for tgngri-Etppic Curriculpp Project (TECP):
2.01 Collaborative involvement of all members of the social system:
superintendent, diocesan curriculum staff, local administrators, building
curriculum co-ordinators, teachers, students, school boards and parents.
2.02 Determination of process and roles for disseminating the Tri-Ethnic
Curriculum Project throughout the system:
18
1) Utilizing a team approach to the knowledge flow
and linkage process
2) Taking cognizance of the tasks for which collaboration
efforts amke a contribution
2.03 Recognition of a need and planning for a functioning system of
knowledge linking on the part of administration:
1) An institution which includes and supports roles
of various linkers
2) Need to recruit candidates to serve in these roles
3) The need to train recruits to fill these roles
2.0L Appointment and training of a socialization agent to accept and
support the development of personalized initiative and identity.
The Intra-Psychic ASpect
An analysis of the utilization of educational innovations leads
to an examination of the internal processes within the person which
determine whether there will be adoption reflecting a process described
by Kelman as "compliance" or more solidly based processes of "identifi-
cation" and "internalization".11
Lippitt found growing evidence that cognitive knowledge, intention
and plan do not predict action or success.12
In a study of school classroom behavior, Morse, et al. found no
correlation between teachers' statements of philosophy of teaching and
their intentions, and what was their actual observed classroom
behavior.13
Kelman charts three different processes of change which he labels
compliance, identification, and internalization.14
19
TABLE 2.
SUMMARY OF THE DISTINCTIONS BETWEEN THE THREE PROCESSES
Compliance
Identification
Internalization
ANTECEDENTS:
l. Baals for
the impor~
tance or the
induction
Source of
power of the
influencing
agent
Manner of
achieving
pre—potency
of the
induced
response
CONSEQUENTS:
1. Conditions
of perform-
ance of
induced
response
Conditions
of change
and extinc-
tion of
induced re-
sponse
Type of be-
havior
system in
which in-
duced reSponse
is embedded
Concern with so—
cial effect of
behavior
Means-control
Limitation of
choice behavior
Surveillance by
influencing
agent
Changed percep-
tion of condi-
tions for social
rewards
‘External de—
mands of a spe-
cific setting
Concern with so-
cial anchorage
of behavior
Attractiveness
Delineation of
role require-
ments
Salience of
relationship
to agent
Changed percep-
tion of condi—
tions for satis-
fying self—
defining
relationships
Expectations de—
fining a spe-
cific role
Concern with
value congruence
of behavior
Credibility
Reorganization of
means—ends frame-
work
Relevance of
values to issue
Changed percep-
tions of conditions
for value maximi—
zation
Person's value-
system
20
In compliance, the agent of change posses means of control or
surveillance. The actor adopts the induced behavior because he expects
to gain specific rewards or approval and avoid specific punishment or
disapproval by conforming. The response of the actor does not become
part of his framework of values. As soon as the foreign worker leaves,
the initiated innovations are likely to be abandoned.
In identification, the agent of change is an attractive figure. The
actor accepts influence because he wants to establish or maintain a
satisfying, self-defining relationship to the agent. The actor believes
in the response which he adopts, but their specific content is more or
less irrelevant. The new response is accepted as a value, but it is
isolated from other values held by the actor.
In internalization, the agent of change is credible rather than
just attractive. The actor's cognitive field is reorganized. The
actor sees the nature and utility of the new behavior and perceives
its relevance to issues. The new is not only valued; it is also integrated
with other values. Havelock proposes that the "congruence-internalization
process represents the most direct knowledge utilization strategy; to
the extent that information is congruent with his beliefs, a person
will accept it". On the other hand, he later states that, "while
individuals most readily internalize information which is congruent
with their beliefs, they might also be willing to listen to, and
possibly be influenced by, information which is incongruent with their
beliefs".15
In a study conducted by Havelock and Benne, they identified fourteen
issues with respect to value orientation which are likely to create
conflicts among potential senders and receivers in the utilization
process. Among those issues identified were general vs unique;
21
orientation to past, present, or future; unitary vs pluralistic; man
vs nature; elegance vs practicality; handwork vs brainwork; autonomy
vs dependence; and value-cherishing vs value rejecting.l6
They illustrate the operation of some of these different value
orientations by comparing and contrasting the orientations of a health
practitioner with those of a basic researcher in a health related
discipline:
"The value orientation of the knowledge builder coaches
him to choose activities which will maximize knowledge
production. The individual cases which he studies
are viewed and evaluated from a 'general' rather than
a "unique" perspective, as instances which will confirm
or not confirm some generalization which he is seeking
to test as a candidate for knowledge status. His
value orientation tends further to be 'unitary' rather
than 'pluralistic' —- he assumes that there are lawful
relationships which will reduce the apparent plurality
of qualitatively perceived objects and events. His
time orientation tends to be toward the future - he
emphasizes the need for time to perform all the research
operations necessary to support confident statements
about the subject matter he is studying. He tends
to delay practical decisions in the interest of
'accuracy' and 'truth'."
"On the other hand, the practitioner tends to Operate
with a 'unique' rather than a 'general' orientation to
his cases and clients. His primary objective is to help
improve the particular case, to abolish the difficulties
or symptoms that initially brought him into a relationship
with it, whether the difficulty was one of pain, distress,
inefficiency, ignorance, or uneconomic operation. The
practitioner sees knowledge and technology as important,
but his criteria for judging primary importance are
derived from difficulties in the case situations he
is committed to help, not in terms of their fruitfulness
in generating more knowledge. His world of cases tends
to be pluralistically organized rather than seen and
evaluated in a unitary perspective. His time perspective
is oriented to the present and the immediate future -
rewards that matter tend to come as immediate payoff
rather than as some hoped-for long—range and ideal
solution of types or classes of difficulty for all
clients and cases."
22
The Inter-personal Aspect
Osgood, Merton, and Kelman all see change as a function not only
of intra—psychic forces, but also of inter-personal relations. The
credibility which the person holds in any community, the kinds of
inter-personal relations he is capable of establishing, are crucial
factors in effecting change.18
Adequate collaborative strategies for planned change call for
knowledge from the various social sciences. Skills in creating those
social.psychological conditions which will support a problem-solving
approach in various phases of change must be available.
One outstanding means used today for bringing about acceptance
of new ideas is the establishment of what is called an "in-group",
i.e., a group in which the members feel belongingness. "Under these
circumstances," Lewin says, "the individual accepts the new system of
values and beliefs by accepting belongingness to a group."19
Lippitt is involved in a project disseminating action research
methodology to school building teams. The tentative conclusions from
this research include two generalizations.
One is that entering into commitment to action seems feasible to
the person to the degree that he feels he is part of a team whose
members develop (I) trust in each other, and (2) joint commitment to
action and to support of each other. THE SECOND generalization is
that the adOpting unit most needs outside support at the point of
greatest risk taking. Entry into the change effort role in the initial
tryout situation is the greatest point of risk; it is not in a pre-
service summer institute, but at the time of the first class session,
when first trying to get colleagues involved, or when first trying to
23
practice what he has learned. A crucial research focus, then, is to
discover what types of support for adoption effort are needed for what
types of innovations in what types of social contexts. For example, if
the innovation will disrupt or threaten students or colleagues, more
support will be needed; this is also true if the adoption requires a
high degree of behavioral change of the adopter.20
Allport formulates this point as a general principle of teaching
people when he says, "It is an axiom that people cannot be taught who
feel that they are at the same time being attacked."21
This statement is reinforced by Lewin:
"Re-education influences conduct only when the new system
of values and beliefs dominates the individual's perception.
The acceptance of the new system is linked with the acceptance
of a specific group, a particular role, a definite source
of authority as new points of reference. It is basic for
re-education that this linkage between acceptance of new
facts or values and acceptance of certain groups or roles
is very intimate and that the second is frequently a
prerequisite of the first. . . . This linkage is a main
factor behind resistance to re-education, but can also
be made a powerful means for successful re-education."
Social influence has been the concern for experimental social
psychology almost since its beginnings. Kelman lists three general
research traditions which can be distinguished in this area: (1) the
study of social influences on judgments; (2) the study of social
influences arising from small group inter-action; (3) the study of
social influences arising from persuasive communications. He states
that, in recent years, there has been a considerable convergence between
these three traditions, going hand in hand with an increased interest
in developing general principles of social influence and socially
induced behavior change}3
The element of group cohesiveness is intricately interwoven with
group processes. Lin found in his investigation that the teacher's
21.
degree of change orientation was positively related to his perception
of how cohesive he thought the school faculty to be.2h
He quotes Back, "The individual who perceives himself to be in a
cohesive situation will direct his behavior to maintaining that
25
cohesiveness and eliminating differences."
Lin also cites studies by Festinger and Thibout which indicated
that the greater the perception of cohesiveness within the group and
the greater the pressure to change, the greater will be the actual
change in the individual toward the group norm.26
At any level of school system activity there are repeated encounters
between peOple which involve learned skills of relating. Four areas of
such interpersonal skills are suggested here as illustrations by Jung:
A. "Communicating. This involves sensitivity in
listening and expressing on a feeling level as
well as a cognitive level.
B. Identifying and coping with barriers to inter-
action. This would include barriers in self and
in others such as inappropriate expectations or
inaccurate perceptions. It would also include
barriers in the system such as norms hindering
the deveIOpment of mutual trust or scheduling
which tends to isolate individuals or groups.
C. Developing interdependence. This would involve
relating in such a way as to expose individual
needs and resources to one another and promoting
individual initiative in applying a reality—
testing orientation towards using the best avail-
able resources to meet apprOpriate needs.
D. Helping others and being helped. This area
illustrates how the other skill areas can
interact and combine to support temporary and
alternating roles - in this case, the roles
of helper and helpee. Skill in promoting inter—
dependence should make it more acceptable and
feasible to move in and out of helper and helpee
roles to best utilize the resources of different
individuals relative to concerns that arise.
25
This would include a need for skills in identifying
potential barriers to the helper-helpee interaction.
It would also include communication skills of
clearly presenting the nature of the help needed
and of responding with equal glarity regarding the
nature of the help offered."2
Lin's study dealt with change orientation which he found to be
related
to both innovation awareness and innovation internalization.
This general concept was further investigated as a measure of the extent
to which a teacher was willing to accept educational change. Change
orientation was found to be related to age, dogmatism, and a number of
institutional variables.28
Based on these findings he recommended that emphasis be placed
on the social—structural aspects of the institution in order to lessen
potential resistance to change.
To
between
1)
2)
3)
a)
5)
He
atmosphere among teachers in a school."
accomplish this goal, Lin suggested that the relationship
the principal and teachers be improved as much as possible by:
Having the principal openly demonstrate his interest
in and support of change
Having the principal frequently discuss teaching
performance with individual teachers
Enhancing the principal's image as a credible source
of information (measured in terms of competence,
trustworthiness, and dynamism)
Encouraging a friendly and understanding relationship
between the principal and the teachers, and
Providing teachers with the opportunity to participate
meaningfully in school decisions which may affect
2
them.
further recommended "that effort be made to promote a cohesive
29
Implications from Preceding Research:
Viewing intrapersonal and group membership as a whole, certain
26
broad implications seem to appear:
1)
2)
3)
I.)
5)
6)
Effective linkage requires that the giver and receiver
both have a sense of security or trust in themselves
Beyond that and building on that, they must have a
sense of trust in each other
The adoption of a social practice must be compatible
with the values, attitudes and behavioral skills of
the potential adopter - if not, change in these
complex intra—personal belief systems and behavioral
patterns is required for meaningful change
Changes in behavior, attitudes and values are often
mediated by interpersonal relations and are of
varying depth and performance
The patterns of interaction which take place within
the structures of the system play a meaningful role
in forming the attitudes of participants
There is a correlation between the team support and
"belongingness" of the individual to the group, its
cohesiveness and the teachers' degree of change
orientation
Recommendations for TECP
2.05 Enhancement of the principal's image as a credible source of
information (measured in terms of competence, trustworthiness and
dynamism) through:
1)
2)
Training for administrators providing knowledge of
relevant relationships and structures, of social
forces and factors promoting and impeding various
possible changes
Wholehearted support and concern from top officials
of the system (general superintendents, deputy
superintendents, curriculum consultants)
2.06 On going provision of opportunities for teachers to participate
meaningfully in school decisions which may affect them.
2.07 Collaboration of administrators joining with teachers in diag-
nostic efforts leading them to agree on the basic problem and to feel
its importance.
27
2.08 Emphasis on the social-structural aspects of local staff and
faculty in each case, i.e., between administration and teachers and
between teachers themselves.
2.09 Provision of an opportunity for large group presentation ini-
tiating awareness and interest; also, allowing for initial catharsis
and reaction.
2.10 A training program for small group facilitators; include skills
in identifying potential barriers to total system interaction.
2.11 Small group interaction sessions held to promote recognition of
the importance of self-esteem, self-identity maintenance, group
identity maintenance, and group acceptance.
2.12 Provision of face-to-face transmission of Tri~Ethnic Program
through varied and sufficient small group sessions and feedback
opportunity.
Resistance, a Positive Factor
A critical variable among the internal conditions for knowledge
utilization is that of acceptance of internal resistance as a legiti-
mate problem—solving issue. The potential adopter needs to accept that
resistance with himself is a natural, understandable and acceptable
thing, as he considers any new potential materials or behavior patterns.
Watson defines resistance as "all the forces which contribute to
stability in personality." He views resistance from a broad and
inclusive perspective: "the tendencies to achieve, to preserve, to
return to equilibrium." These he sees as most salutary rather than
obstructions to innovation.30
"During the life of a typical innovation or change enterprise
perceived resistance moves through a cycle", he explains. "In the
28
early stage, when only a few pioneer thinkers take this reform seri-
ously, resistance appears massive and undifferentiated. In the second
stage, when the movement for change has begun to grow, the forces pro
and con become identifiable. The Opposition can be defined by its
position in the social system, and its power can be appraised. Direct
conflict and a showdown mark the third stage, as resistance becomes
mobilized to crush the proposal."31
At this point, survival is often seen by the change seekers in
building up power to overcome the enemy. Actually, Lewin's force-
field analysis indicates that the easier and more stable victory can
be won by lowering the potency of the opposing forces.32
The fourth stage, set forth by Watson, finds the supporters of
change in power. He makes it imperative, at this time, that there be
care in dealing, not only with the overt Opponents, but with the still
dissonant elements within the majority who appear to have adopted the
innovation. In a fifth stage, the adversaries are as few, and as
alienated as were the advocates in the first stage.33
Lewin has directed attention to reducing resistance if meaningful
change is to be accomplished. "The more usual strategies of increasing
pressures by persuasion and discussion raise tensions within the system.
If the opposite strategy (that of neutralizing or transforming resis—
tance) be adopted, the forces of change already present in the 'system—
in—situation' will suffice to produce movement." The example that he
gives has to do with administrators who try by exhortation to get
teache s to pay more attention to individual differences among pupils.
Analyzing the factors which now prevent such attention (large classes,
single textbooks, standard tests) and removing these pressures release
29
a natural tendency for teachers to adapt to the different individual
pupils.3h
Lippitt found that most of the significant new research and
development inputs in education represent confrontations with existing
values and attitudes held by potential adopters. They challenge the
satisfactions with current process, and the skills mastered as practi-
tioners. "Therefore, new knowledge needs to be introduced through
interaction with trusted resource persons, and in a climate of non—
threatening support. Examining the skills required for taking outreach
initiative and learning how to support exploration on a "not-playing-
for-keeps" basis are crucial areas for research."35
He suggests that some of the new developmental efforts at providing
teachers and administrators with micro—experiences of what it might
be like if they were to adept (but without committing themselves)
deserve close examination.36
In a program of work, conducting regional research utilization
workshops, Lippitt discovered a great deal of resistance to deriving
action implications from data. "When we began to add some human
relations sensitivity training sessions as part of the design, we
began to find some breakthroughs in facing the problem of resistance
to scientists; changes in the rejection of the relevance of the
research done elsewhere; lowered resistance to sharing of problems and
sharing of needs for help; and an increase in readiness to perceive
their own behavior as a part of the problem." So, he asserts, a
critical area for research is not only to discover the most effective
ways for working on the substantive task of using new ideas, but also
7
to inquire into the personal and group interrelationship processes.3
30
Goodwin summarizes some concise principals on sources of resis-
tance within people and within institutions. He points out that these
are not absolute laws but are based on generalizations which are
usually true and likely to be pertinent:
A. "Who brings the change?
1. Resistance will be less if administrators, teachers,
board members, and community leaders feel that the
project is their own -— not one devised and operated
by outsiders.
2. Resistance will be less if the project clearly has
wholehearted support from top officials of the
system.
B. What kind of change?
3. Resistance will be less if participants see the
change as reducing rather than increasing their
present burdens.
4. Resistance will be less if the project accords
with values and ideals which have long been
acknowledged by participants.
5. Resistance will be less if the program offers the
kind of new experience which interests partici-
pants.
6. Resistance will be less if participants feel that
their autonomy and their security is not threatened.
C. Procedures in instituting change
7. Resistance will be less if participants have
joined in diagnostic efforts leading them to
agree on the basic problem and to feel its
importance.
8. Resistance will be less if the project is adopted
by consensual group decision.
9. Resistance will be reduced if proponents are able
to empathize with opponents, to recognize valid
objections, and to take steps to relieve unnecessary
fears.
10. Resistance will be reduced if it is recognized
that innovations are likely to be misunderstood and
31
misinterpreted, and if provision is made for
feedback of perceptions of the project and for
further clarification as needed.
11. Resistance will be reduced if participants
experience acceptance, support, trust, and
confidence in their relations with one another.
12. Resistance will be reduced if the project is
kept open to revision and reconsideration if
experience indicates that changes would be
desirable.
D. Climate for change
13. Readiness for change gradually becomes a char-
acteristic of certain individuals, groups, organi—
zations, and civilizations. They no longer look
nostalgically at a Golden Age in the past but
anticipate their Utopia in days to come. The
spontaneity of youth is cherished and innovations
are protected until they have had a chance to
establish their worth. the ideal is more and
more seen as possible."
Havelock and Benne found that "all barriers may be characterized
as having a greater or lesser degree of rigidity, durability, inter—
connectedness, and visibility; and the overall permeability of barriers
is some function of these various prOperties." Among factors which
seemed to cause forces of more or less permeability, they found refer-
ences to age and education, levels of status, cohesiveness (psycho-
logical distance) and perceived external threat (self-preservation).39
Most researchers agree that there are many interpersonal and
intergroup barriers to be contended with in the process of communication
and knowledge utilization and that the game is to see them for what
they are worth and to deal with them competently.
Implication from Preceding Research:
Resistance to change is a normal, and, perhaps, healthy thing.
A number of researchers agree that, if dealt with competently, resistance
can be an asset to the decision-making process and to internalizing
32
new programs and procedures in education.
Recommendations for TECP:
2.13 Emphasis on the social—structural aspects of the institution in
order to lessen potential resistance to change, focusing on:
1) Collaborative involvement in program adaptivity to
needs and situations in each local case (administra-
tors, teachers, board members, and community leaders)
2) The values and ideals which have long been acknowledged
by participants
3) A non-threatening atmosphere assuring autonomy,
support and security to potential adopters
A) Diagnostic efforts leading participants to agree
on the basic problem and to feel its importance
5) Assurance that the adoption will be by consensual
group decision
6) Open two-way communication
7) Consistent feedback on perceptions of the project and
further clarification when needed
8) Collaborative acceptance, support, trust and confidence
in relations with one another
9) Consistent openness to revision and reconsideration
when experience indicates need for changes
2.1a Human relations sensitivity training sessions as a part of the
design for Phase I of TECP to ensure
I) Some breakthroughs in confronting the problems of
resistance to facing racial issues
2) Changes in the rejection of some teachers of the
relevance of the research provided by TECP
3) Lowered resistance to sharing of problems and sharing
need for help
A) An increase in readiness to perceive their own racial
attitudes
33
2.15 New deve10pmental efforts at providing teachers and administrators
with micro—experiences of what it might be like to adopt Tri-Ethnic
programs that might take place and predicted outcomes, without the
threat of uncertainty of consequences that comes with final commitment.
FOOTNOTES
1Richard O. Carlson, "Summary and Critique of Educational Diffu—
sion Research", presented at the National Conference on the Diffusion
of Educational Ideas, printed in Research Implications for Educational
Diffusion, Michigan Department of Education, 1968, p. 15.
ZROnald Lippitt, "The Use of Social Research to Improve Social
Practice", ed. Goodwin Watson, Concepts for Social Change, Co—operative
Project for Educational Development, NTL Institute for Behavioral
Sciences, (NEA, Washington, D.C., 1969), p. 79.
3Ibid, pp. 80-81.
AKenneth D. Benne, "Deliberate Changing as the Facilitation of
Growth", (ed.) Bennis, Benne, and Chin, The Planning of Change, (New
York, Holt-Rinehart-Winston, 1967), p. 231.
5Ronald Havelock, Planning for Innovation through Dissemination
and Utilization of Knowledge, A Final Report to the United States
Department of Health, Education and Welfare, Office of Education,
Bureau of Research, 1969, Summary. p. V.
6Ronald Lippitt, (ed.) Richard Miller, Pers ectives in Educational
Change, York, Appleton, Century, Crofts, 1967, p. 308.
7 .
Ibid, p. 309.
8Ibid, p. 309.
9Kenneth D. Benne, "Democratic Ethics and Human Engineering",
(ed.) Bennis, Benne, and Chin, Planning for Change, (New York, Holt-
Rinehart-Winston, 1967), p. 1L3.
10Ronald J. Pellegin, "An Analysis of Sources and Processes of
Innovation in Education", University of Oregon, Center for Advanced
Study of Educational Administration (Eugene, Oregon, 1966), p. 6.
3h
35
11Robert C. Kelman, "Compliance, Identification, and Internali-
zation: Three Processes of Attitude Change", Journal of Conflict
Resolution, 1958, Vol. 2, p. 53.
12Ronald Lippitt and Ronald Havelock, "Needed Research on Research
Utilization", Research Im lications for Educational Diffusion, Michigan
Department of Education, 1968, p. 38.
13William Morse, et. al., A Study of School Classroom Behavior
from Diverse Educative Frameworks; Developmental Mental Health Substantive
Learning and Group Process, USOE Project, University of Michigan School
of Education, Ann Arbor, 1961, p. 11L.
lhRobert C. Kelman, "Process of Opinion Change", (ed.) Bennis,
Benne, Chin, The Plannipg of Change, (New York, Holt-Rinehart-Winston,
1966)! P- 515-
15Ronald Havelock, ibid, pp. 4-27.
16Ronald Havelock and Kenneth Benne, "An Exploratory Study of
Knowledge Utilization", (ed) Goodwin Watson, Concepts for Social Change,
Cooperative Project for Educational Development, NTL Institute for
Applied Behavioral Science, NEA, 1969, pp. 6L—65.
l71cm, p. 65.
180. E. Osgood and P. Tannebaum, "The Principle of Congruity and
the Prediction of Attitude Change", Psychology Review, Vol. 62, 1955,
p. L6.
Robert K. Merton, Social Theory and Social Structure, (Glencoe,
Illinois, The Free Press, 1957, p. 1L0.
Robert C. Kelman, Process of inion Chan e, (ed.) Bennis, Benne,
Chin, Planning for Change, New York, Holt, Rinehart, Winston, 1966,
p. 509.
19Kurt Lewin and Paul Grabbe, "Principles of Re-education", ed.
Bennis, Benne, Chin, The Planning of Change, (New York, Holt, Rinehart,
Winston, 1966), p. 515.
20Ronald Lippitt, ibid, p. LO.
21Gordon Allport, "Perception and Public Health", Health Education
Monograph, No. 2, 1958, p. 9.
36
22Lewin and Grable, ibid, p. 510—511.
23Kelman, ibid, p. 509.
2[Wall Lin, D. J. Leu, E. Rogers, and D. F. Schwartz, The Diffusion
of an Innovation in Three Michigan High Schools: Institution Building
Througp ChangeI Institute for International Studies in Education,
Michigan State University, December, 1966, p. 71.
25Kurt Back, et al, "Manner of Original Presentation and Subse-
uent Communication", Psychological Reports, 1957, Vol. 3, p. 1L9,
?cited by Lin, ibid, p. 71).
26
Leon Festinger and J. Thibout, "Interpersonal Communication in
Small Groups", Journal of Abnormal Social Ps cholo , Vol. L6, 1951,
p. 9L, (cited by Lin, ibid, p. 71).
27Charles Jung, "The Trainer Change-Agent Role Within a School
System", (ed.) Goodwin Watson, Change in School Systems, Cooperative
Project for Educational Development, National Teaching Laboratories,
(NEA, Washington, D.C., 1969), p. 101.
28Nan Lin, ibid, p. 75.
29Ibid, p. 78.
30Goodwin Watson, "Resistance to Change", Concepts for Social
Change, C00perative Project for Educational Development, NTL Institute
for Applied Behavioral Science (NEA, Washington, D.C., 1967), p. 10.
BlIbid, p. 11.
32George Levinger, "Kurt Lewin's Approach to COnflict and Its
Resolution", (ed.) Bennis, Benne, Chin, Planning of Change, (New York,
Holt—Rinehart-Winston, 1966), p. 2L5.
33Goodwin Watson, ibid, p. 12.
3“Kurt Lewin and Grabbe, ibid, p. 513.
35Ronald Lippitt, ibid, p. L8.
37
37Ibid. p. 1.9.
38Goodwin Watson, ibid, p. 22-23.
39Ronald Havelock and Kenneth Benne, ibid, p. 63.
38
The External Procegp: Roles, Organizations and Systgp§ in Knowledgp
Linking
Installing new procedures, technologies and ways of acting involves
more factors in the client system than appear at first sight. Chin
observes that "we are re.discovering the principle that a change in a
simple technology may become completely intertwined with wider factors
in the client system . . . the web of ramifications of a change attempt
is real and necessitates some refined orientations about it. . . .
Social science studies, reminding us of these webs and their intercon-
nections, have been of great use."1
In his presentation on the external process of knowledge linking
for effective utilization, Havelock reminds that "the individual
consumer of knowledge is served by a social system, a vast network of
individuals and groups, which inhibits, filters, and facilitates the
flow of knowledge to him."2
He lists four major aspects of this social system, first the
linking person or linking role; second, the linking organization; third,
the temporary linking system; and fourth, the permanent linking system.
These four aspects or levels are illustrated in a very simplified way
in the following figure:3
.mflmhamc< mo mao>oq Room
"home one mo>nom scan: Eopmhm Hmfioom och "m mqm
LEADERSHIP I
Problem Decision .
PROBLEM—SOLVING posed reached Implementatmfl
LEADERSHIP 2' "
He contends that although "problem-solving" leadership takes
longer to reach decisions, implementation is much more rapid than
in "manipulative" leadership because members of a group feel more
responsible for carrying decisions they have made.“0
Implications from preceding research:
In viewing research, the organizational role for change in school
systems is found to be vital and pervasive. Implications are that in
promoting instructional improvement within organizations, the collabora-
tive effort Of school administrators, teachers, and outside resource
58
peOple i.e., the teacher-primeipal-consultant change-agent team, pro—
vides a more vigorous and productive leadership arrangement than does
reliance on any one of these roles alone.
Cooperative change—agent teams offer meaningful contributions.
These teams are committed to joint inquiry, to collaborative action,
to promoting interdependence among universities and school systems
as a means to improving education. This inter-state, inter-district,
or more than one state team spreads the experts and their expertise
further. It is, perhaps, a better utilization Of finance as well as
personnel.
2.20 Determination of the TECP staff on-going role: to provide diag-
nostic insights and concepts relating to the process of change and to
supply consulting help as the process proceeds.
2.21 Agreement of the research function of TECP:
1) Basic research responsibilities relating to improving
understanding of the nature of learning and conditions
for it.
2) Development of materials, practices, processes and
institutions designed to Offer research related tO
improved instructional practices.
3) Initiation and support of a range Of activities from
demonstration to dissemination to in-service programs,
in order to facilitate implementation in Operational
settings once alternatives have been decided on
collectively.
2.22 Involve collaboratively all members of the system: superintendent,
dioceson curriculum co-ordinator, local administrators, building
curriculum co-ordinators, teachers, students, school boards, and parents.
2.23 Dissemination of materials designed by TECP to promote growth and
development at all levels of the school system in such processes as
increased problem-solving effectiveness, greater potential for action
and interaction, and greater capacity for adaptation and change.
59
2.2L Determination of process for disseminating the Tri-Ethnic Cur-
riculum Project and commitment to follow through at each level:
Responsibilities of the various members included in the dissemination
process:
TECP Dirgptor Meetings and reports to Superintendents
Meetings and reports to Diocesan
Curriculum Staff
Superintendents Selection and appointment of personnel
to promote the Action Program in
each Diocese
Diocesan Curriculum Staff Plan and co—ordinate the Impact
Program in each diocese
Plan with principals and evaluate
local Follow-Through Programs
Building Principals Co—ordinate the Follow-Through
Program locally in cooperation with
Diocesan Staff
Provide bibliographies for teachers
at every level
Teachers Participate in total action program,
Impact and Follow-Through
Team for developing an integrated
humanfiies program in the teaching
of minority histories and cultures.
2.25 Recognition that validity of objectives for TECP increases when
such Objectives are specified by a team made up of researchers (TECP),
educators and social psychologists, collaborating so as to maximize
their apprOpriate roles:
1) Basic and applied researchers to identify content
and processes
2) Educators to determine teachability, and methods
for teaching and to relate TECP Objectives to
broader objectives; to see the program in the
context of total curriculum goals
3) Psychologists to relate content, process and
method selected to the apprOpriateness of age
and grade placement
60
Temporary Systems
Temporary systems are special units, short term work—groups,
experimental efforts, and special assignments that are formed to
accomplish a task and will go out of existence at a designated time.
The temporary system may be called a "conference", "workshOp",
"seminar", "project", etc. Havelock describes a number Of successful
temporary system designs:
a)
b)
C)
d)
Ll
Action Research
Action research is the collaboration of researcher
and practitioner in the diagnosis and evaluation of
problems existing in the practice setting. The
action research technique provides the researcher
with an accessible practice setting from which he
may retrieve data, usually for publication. It
provides the cooperating practitioner system with
scientific data about its own Operation which may
be used for self-evaluation.
Collaborative Action Inquiry
The strategy of "collaborative action inquiry" is
similar to 'action research'. However, this model
places greater emphasis on service to the practi-
tioner system and on the collaborative teaming of
researcher and practitioner. The inquiry team
collaborates on defining goals, on all phases Of
the research, and on change strategies (Thelen,
in Watson).
Organizational Survey Feedback
The "Grid" Program for Organizational Development
The "Grid" program for organizational development
promoted by Blake and Mouton attempts to build a
capacity for self-renewal into the system. The
"grid" plan carries the client system through the
phases Of the change process by a progression of
theory input, application to the real situation,
and systematic evaluation and planning. This
type of temporary system organization emphasizes
education (or knowledge input) as the key to
achieving and maintaining change in an organi—
zation, and its techniques are designed to im—
prove both the communication and the planning
aspects Of the organization's Operation.
61
e) Training Labs
A further category of designs for temporary systems
is the "training" or human relations lab. The
laboratory strategies employ a variety of tactics
for the purpose of improving the problem-solving
capacities Of individuals, groups, organizations,
and communities.
f) Derivation Conference
The derivation conference is a temporary system
which is systematically designed to include repre-
sentatives from research, who serve as resource
persons and from various levels of practice, who
are the potential 'client' persons. The confer-
ence progresses through a series Of collaborative
activities: (1) defining the problem area, (2)
retrieving relevant findings from research and
from the practice setting, (3) deriving implica-
tions for action, and (L) setting dowu Specific
plans for action-with commitment to try them out.
(Jung) The implications for innovation from this
design are Obvious.
In all its varied manifestations the temporary system possesses
a substantial number of distinguishing characteristics. Miles
classifies these "as input" characteristics appearing at the time of
designing or setting up the temporary system: "process" characteris-
tics occuring during the life Of the system; and "output" characteris—
tics - the resultant changes in persons, groups and organizations."[‘2
Time limited sequences or projects are one form Of temporary
system. This approach has the motivational advantage in that the
linker sees his work in time-limited segments which follow a meaningful
sequence from initiation to completion.
The temporary system also has some importance as the vehicle
through which interaction and exchange with clients and researchers
is carried on. The traditional types of temporary systems are the
training course, the conference, and the conventions. Havelock reports
that there are new models:
62
"Recently, however, many new models Of temporary systems
for linking to new knowledge are taking shape. Human
relations training laboratories (Bradford, et al.), "grid"
management training programs (Blake and Mouton), organiza-
tional survey and survey feedback projects (Mann and Neff),
traveling seminars (Richalnd), and collaborative action-
inquiry projects (Thelen), represent a few of the unique
temporary systems which have evolved in the last decade
to bring the linking agent (Often called "trainer“,
"consultant", or "change agent") together with the client
in a meaningful sequence of steps designed to help the
client by making him more exngt, more Open to new ideas,
more adaptive, and so forth."
"There are other temporary systems which do involve the
researcher directly in a collaborative knowledge retrieval
and application activity with linkers and practitioners.
At the highest level we have seen this in the Physical
Science Study Committee. There is yet another model,
however, which seeks to involve not only researchers and
linkers, but also policy makers, administrators and
practitioners ("direct workers") in a sequential activity
of problem diagnosis, research retrieval, erivation of
implications and future action planning."
Implications from Preceding Research:
Temporary systems are important as vehicles through which inter-
action and exchange can be carried on between the researcher, practi—
tioners and consumers.
The "temporary system" is not an isolated workshop nor is it a
series of unrelated experiences. It is a process designed for Specific
resultant changes in persons, groups or organizations.
Time limited segments which follow a meaningful sequence from
initiation might allow for readiness at each phase and might provide
motivation.
The temporary system is a vehicle through which interaction and
exchange with clients and researchers could be achieved.
Recommendations for TECP:
2.26 Establishment of "Impact Program" to begin dissemination,
initiating the Tri-Ethnic Curriculum Project.
63
2.27 Adoption of a "Follow-Through Program" consisting Of a series of
sessions, the members of each local school staff using the data from
the "Impact Program" as a springboard to examine their own current
attitudes, work on problems shown in the data, and improve their
own problem-solving effectiveness as a team.
2.28 Initiation of and sustaining work procedures which are techni-
cally sound.
2.29 Procedure by local systems through steps like the following:
1) Problem sensing or identification - attitudinal change
and growth through study and interaction in the topic
of minority groups.
2) Diagnosis: reasons or causes for the problem, identifi-
cation of forces favoring or blocking movement toward
commitment to innovative program (TECP)
2.30 Increased collaboration resulting in:
1) A more thorough understanding and use of valid data.
2) Decisions made more and more on the basis Of knowledge
and competence and less and less because someone
with formal authority says so.
3) Shared decision making
2.31 Adoption of shared decision making in view of these gains:
1) Decisions are of higher quality, since more relevant
information goes into them.
2) People are more committed to carrying them out.
Toward Permanent Linking Systems:
Watson envisions a school system. He begins with basic social
theory and develops concepts for the structure and processes needed
to insure self-renewal and consistent organizational development:
1) "Every social system is composed of interlocking
positions and interacting roles. Among the positions
in a school system are those of parent, board member,
2)
3)
I.)
5)
6)
61.
superintendent, principal, teacher, caretaker, and
pupil. Each position requires role-performance in
relation to what persons in other roles expect and do.
Smaller systems are either loosely or more tightly
integrated within larger social systems. Thus a
single school is part of a city school system, and
the city school system is itself part of county, state,
and federal educational Operations. The schools are
parts within other systems such as city government;
economic and tax structures; and activities of state,
national, and world organizations. When one part of
a system changes, it produces strain at the interfaces
of interaction with other parts until the other
parts have adapted to the change.
As roles interact within a subsystem, and as parts
interact within larger systems, they are reciprocally
modified toward a working equilibrium. The roles and
parts do not change equally. Those lower in any
hierarchy of power and prestige adapt-tO—conform more
than do the higher levels. Some parts of the culture,
such as the ritualistic and sacred activities, change
less than do others, notably the technological.
Social systems tend to be stable and homeostatic;
after minor disturbances they return to an equil—
ibrium approximating their state before the
unsettlement.
Social systems are generally hierarchical, with
level of prestige, power, and responsibility. The
higher-level roles are more satisfying to occupants
and offer more freedom for self-actualization.
Hence, need for change is less apparent to persons
at or near the top of the system.
The structures of a system largely determine the
patterns of interaction which take place within it;
and these, in turn, form the attitudes of participants.
This is the S P A sequence —— from the situation (5)
to the processes of social behavior (P) to the
consequent attitudes (A). The habits, beliefs, and
sentiments which arise within a system (religious,
political, commercial, family) have been formed
by experiences which havE been shaped by the
prevailing institutions. 5
Watson continues to discuss the sources Of change in the social
system:
7)
While either internal or external forces or both
together can effect change in a social system, the
8)
9)
10)
11)
65
usual congruence of member attitudes with the
traditional ways of operating means that most change
usually is initiated by outside impact rather than
internal dissatisfaction. Racially segregated schools
have been slow tO change, even under the impact of
Supreme Court edicts, the economic pressure of federal
aid, and active movements for racial equality. Sciene
tists and mathematicians may have been dissatisfied
with public school curricula and performance in these
disciplines, but not until the first Sputnik sym-
bolized a contest with the U.S.S.R. did the schools
change their programs.
The rapid advance of the scientific and technological
sectors of our society creates stress on many inter-
faces where they impinge on slow-changing institutions.
The impact on education has been manifold. Accelerating
scientific advance has brought the "explosion of
knowledge" which forces revision of curricula. Tech-
nological changes have eliminated some traditional
occupations and created demands for new kinds Of
training. Rapid communication and transportation
have made the ethnocentric curriculum of American
schools an anachronism.
While internal change—influences are less potent
than the contextual pressures, they are still impor—
tant and occasionally become the main source of an
innovation. Every participant in a social system
experiences some conflict between his personal needs
and the role-demands of his position in the system.
When these become intense and shared by many persons,
they generate reforms or rebellions. No institution
accords perfectly with the values of its members.
What seems to be inertia may be rather what Lewin
has called a "quasi-stationary equilibrium" in which
forces for and against a specific change are fairly
evenly balanced. Change may be brought about
either by increasing the forces favoring ghange or
by decreasing the resistance to change."A
Most innovations come to be adopted through diffu-
sion. The original innovating person or institution
must have responded to unusual pressures and Oppor-
tunities. Later, others hear about the new ideas
or programs. Sociologists distinguish a two-step
process by which a small group of "influentials"
are the first to learn about the new project and
become transmitters to a wider circle.
School buildings Of the 1960's are clearly differ-
ent from those Of fifty years ago. What goes on
inside the buildings may or may not be as modern.
66
12) Change has sometimes come so slowly that new educa-
tional institutions have arisen to meet the social
needs. Traditional academies were replaced by
modern secondary schools; youth—serving organiza-
tions arose to meet recreational needs the schools
did not serve; junior colleges filled a gap not met
by existing colleges; "classrooms in the factories"
are doing an immense adult education service which
schools could not take on; "head start" programs
serve young children the schools were unready to
assist.
Implications from Preceding Research:
In terms of change, systems move from "temporary" to "permanent
linking" systems through an on-going and continuing process of self-
renewal. A self—renewing school system has the ability to adapt to
its changing external and internal environment in such a manner as to
strengthen itself and Optimally fulfill its goal of providing quality
education for children.
Recommendations for TECP:
2.32 Mechanisms for keeping up with internal concerns and external
trends and resources.
2.33 Constant and widespread sensing of problems and of new possi—
bilities.
2.3L A general climate of Openness and interpersonal trust between the
various people who make up the social systems at the various levels of
operational functions.
2.35 A mechanism for establishing some order of priority so that each
school can work on its more urgent problems.
2.36 Establishment of a research and development unit to serve each
diocese.
2.37 Mechanisms for wide participation in the production of solution
' , consultants, supervisors involved).
Mechanism for participation of eventual implementers in the
4' ; decision making process.
FOOTNOTES
lRobert Chin, "Some Ideas on Changing", Perspectives on Educa-
tional Chan e, (ed.) Richard I. Miller, (New York, Appleton-Century-
Crafts, 19 7 , p. 326.
2Ronald Havelock, "The External Process: Roles, Organizations
and Systems for Knowledge Linking", (ed.), Goodwin Watson, Concepts for
Social Change, Cooperative Project for Educational Development, NTL
Institute for Behavioral Sciences, NEA, Washington, D.C., 1969, p. L7.
3Ibid, p. L8.
hRobert Chin, ibid, p. 327.
5Ronald Havelock, ibid, p. L9.
6Ronald Lippitt, Jeanne Watson, and Bruce Westley, The amics
of Planned Change, (New York, Harcourt-Brace and Co., 1958 , p. 10.
7Everett Rogers, Diffusion of Ipppvations, (New York, The Free
Press, 1969), p. 255 ff.
8Ibid, p. 255.
9Charles C. Jung, "The Trainer Change-Agent Role Within the
System", Change in School Systems, (ed.), G. Watson, Cooperative Pro-
ject for Educational Development, National Training Laboratories, NEA,
Washington, D.C., 1967, p. 89.
lOIbid, p. 90.
llIoid, pp. 98-99.
l'ZHavelock, ibid, p. 5L.
68
69
13Peggy Lynne Miller, "Change Agent Strategies: A Study of the
Michigan—Ohio Regional Educational Laboratory, 1968.
J’I‘Jung, ibid, p. 102.
15Jung, ibid, p. 103.
16Ronald Havelock, Planning for Innovation througp Dissemination
and Utilization of Knowled e, A Final Report to the United States
Department of Health, Education, and Welfare, Office of Education,
Bureau of Research, 1969, p. 6-1.
l7Goldhammer
l8Goodwin Watson, "Toward a Conceptual Architecture of a Self-
Renewing School Systems", hange in School Systems, Cooperative Project
for Educational Development, National Training Laboratories, NEA,
Washington, D.C., 1967, p. 109.
19Paul Buchanan, "Crucial Issues in Organizational Development",
Change in School Systems, (ed.) Goodwin Watson, Co—operative Project
for Educational Development, National Training Laboratories, NEA,
Washington, D.C., 1967, p. 65.
20Robert H. Guest, Or anizational Chan e: A Stud in Leadershi
(Homewood, Illinois, R. D. Irwin, 1962).
Larry E. Greiner, Organization Change and Development, Doctoral
Thesis, Cambridge, Massachusetts, Graduate School of Business Admin-
istration, Harvard University, 1965.
Elliott Jacques, The Chan in Culture Of a Facto ,(London,
Tavistock Publications, 1951).
Richard Beckhard, "An Organization Improvement Program in a
Decentralized Organization", Journal of Applied Behavioral Science,
January—March, 1966, Washington, D. 0., National Training Laboratories,
leerbert Shepard and Robert Blake, "Changing Behavior through
Cognitive Change", Human Organization, (Summer, 1962), pp. 88-9L.
22Ronald Havelock, "The External Process: Roles, Organizations
and Systems for Knowledge Linking", ibid, p. 57.
70
23Ronald Lippitt, "Roles and Processes in Curriculum Development
and Change", ASCD Seminar on Strate for Curriculum Chan e, (ed.),
Robert Lapeer, Washington, D.C., 1965, pp. 23-2L.
ZhMathew Miles, "Some Properties of Schools as Social Systems",
(ed.) Goodwin Watson, Change in School Systems, Cooperative Project
for Educational Development, National Training Laboratories, NEA,
Washington, D.C., 1967, p. 22.
25Burton Clark, "Interorganizational Patterns in Education",
Administrative Science gparterly, Vol. 10, NO. 2, September 1965, p. 236.
26David L. Clark, "Educational Research and DevelOpment: The
Next Decade", Implications for Education, Designing Education for the
Future, Eight State Project, No. 2, New York, Citation Press, 1967,
p. 171.
2ZCharles Jung, Robert Fox, Ronald Lippitt, "An Orientation and
Strategy for Working on Problems of Change in School Systems", ed.
Goodwin Watson, Change in School Systems, COOperative Project for
Educational Development, NTL Institute for Behavioral Sciences, NEA,
Washington, D.C., 1969, p. 78.
28Robert Fox and Ronald Lippitt, "The Innovation Of Classroom
Mental Health Practices", (ed.) Mathew Miles, Innovation in Education,
(New York, Teachers College Press, Columbia University, 196L), p. 297.
29Jung, Fox and Lippitt, ibid, pp. 79-80.
3OIbid, p. 81.
31
Kenneth D. Benne, et al., The Universit in the American Future,
(Lexington, University of Kentucky Press, l966),p. 5.
32Ralph B. Kimbrough, "Community Power Structure and Curriculum
Change", Strategy for Curriculum Change, (ed.) Robert Leeper, Associa-
tion for Supervision and Curriculum DevelOpment, January, 1965,
Washington, D.C., p. 55.
33Ibid, p. 56.
3b’Dorwin Cartright, "Power: A Neglected Variable in Social
Psychology", The Plannin of Chan e, ed. Bennis, Benne, Chin (New
York, Holt-Rinehart-Winston, 1966;, p. L20.
71
35Ralph Kimbrough, ibid, p. 56.
36Ronald Havelock, ibid, pp. 6-LO.
Goodwin Watson, ibid, p. 111.
Claude W. Fawcett, "Educational Personnel Policies and
Practices", 1m lications for Education of Pers ective Chan es in
Society, (ed.) Edgar Morphet, Eight-State Project, Designing Educa—
tion for the Future, Citation Press, New York, 1967, p. 202.
Paul C. Buchanan, "The Concept of Organization Development, or
Self-Renewal, as a Form of Planned Change", Concepts for Social
Change, (ed.) Goodwin Watson, Cooperative Project for Educational
Development, NTL Institute for Applied Behavioral Sciences, NEA,
Washington, D.C., 1969, p. 8.
37Jacob W. Getzels, "Administration as a Social Process", Bennis,
Benne, Chin, The Planning of Change, (New York, Holt-Rinehart, Winston,
1967), p. 382.
38Gordon L. Lippitt, "What We Know About Leadership", (ed.)
Bennis, Benne, Chin, The Planning of Change, (New York, Holt-Rinehart-
Winston, 1966), p. L33.
391bid, p. L32.
hOIbid, p. L3h-
LlHavelock, ibid, pp. 9—33, 9-3L.
L2
Mathew Miles, (ed.) Innovation in Education, (New York, Teachers
College Publication, Columbia University, 1967), . L52.
h3Havelock, ibid, pp. 9-35.
M"Ibid, pp. 9-36.
hsWatson, ibid, p. 106.
“61bid, p. 107.
“71bid, p. 108.
CHAPTER III
MODELS OF DIFFUSION
Introduction
The study of adaption and diffusion curves has contributed to the
identification of a regular sequence of events is the process of adop—
tion and diffusion. Rogers points out that dividing the process into
such phases is
" . . . . 1) consistent with the nature of the phenomena,
2) congruent with previous research findings, and 3)
potentially useful for practical application.
He traces the development of the concept of stages, citing in
particular the work of Ryan, Gross, and Wilkening. Ryan and Gross
distinguished between "awareness", "conviction", "acceptance" and
"complete adOption" of hybrid seed corn.2 Wilkening, one of the first
to use the concept of stages in the process Of adoption, described the
process as "one composed of learning, deciding and acting over a period
Of time. The adOption Of specific practice is not the result of a
single decision to act but a series of actions and thought decisions."3
Rural sociologists, who have been responsible for most of the
research and conceptualizations on adOption phases have more or less
reached a consensus on a five step process which includes: 1) aware-
ness, 2) interest, 3) evaluation, L) trial and 5) adOption.h
In the field of education, the concept Of stages of change was
implied in the early work of Mort and his colleagues. According to
72
73
Mort, the process of innovation in education follows a "predictable
pattern", including insight into a need, introduction Of a way of
meeting the need, diffusion and adoption.5
In recent years, educational research and theory have drawn from
both the rural sociology and social psychology traditions: Miles,6
for example, bases his discussion Of stages on the work of Rogers,
while Lippitt, Watson and Westley7 derive the stages they describe
from Lewin who sees change as a three step process: "unfreezing,
moving and freezing of a leve ."8
Carlson developed his critique on educational diffusion research
in what he termed "the current accepted definition of the diffusion
process: the (l) acceptance, (2) over time, (3) of some specific item -
an idea or practice, (L) by individuals, groups or other adopting units,
linked to (5) specific channels Of communication, (6) to a social
structure, and (7) to a given system of values or culture." He main—
tains that there is no single study on the diffusion of an educational
innovation which takes into account all of these elements.9
Since the research on the stages of change has involved many
different types of innovations and a wide variety of adopting popula-
tions, it follows that different authors propose conceptualizations Of
the change process which contain different elements. Each model has
its own merit, yet no single model can answer all needs.
Overview
Robert Chin's conceptual model contributes to an understanding
Of a system's approach to change.10
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TABLE 5. Conceptual Models of Change and Changing. Note: The
shape of the system, and its internal components is not
exact; the shapes are purely representational in form.
Chin declares that these conceptual models are really models for
studying phenomena in general and not just relevant to change. The
four models indicated in the above figure are:
"Systems and Components Model. This model allows for change
to come from components inside the system through invention
and innovation. The basic question here is the internal fit
and adjustment of the components to each other in their state
of relative equilibrium.
Organic Systems Model. This model represents an Open sys-
tem. Interdependency, is an important property of the sys-
tem's components. Stresses are not from within, but rather
from inputs coming from outside the system.
DevelOpmental Models. These are not bound by time. There
are assumptions of direction Of movement toward something or
somewhere. At any one point in time, there are stages or
phases which are replaced by other stages and phases. There
are potentialities built into the system and there are forces
that move the system from one stage to another and further on
to its goal unless impeded by some Obstacle.
Intersystem Model .
75
This model uses the properties of two
organic systems in direct and purposive contact with each
other. It gives attention to the usually anonymous change
agent. His mode of relationship to the client system, his
actions, his strategies, and his valid knowledge about new
technology, as well as his knowledge about diagnosing the
here and now relationship of himself to the client system,
are brought forth and conceptualized.
In his relationship
to the client system, the key phrase is "collaborative"
procesilas defined by Lippitt, Miles, Bennis, Benne and
Chin."
Richard Miller contrasted the traditional model for educational
diffusion with his new model.
CORRELATES OR ANTECEDENTS
T0 INNOVATIVENESS
12
INNOVATIVENESS
OF SCHOOL SYSTEMS
OR TEACHERS
l. Wealth
2. Cosmopolitanism
3. Communication Channels
L. etc.
l.
Innovativeness in
AdOpting New
Educational Ideas
TABLE 6. The Model for Educational Diffusion
Research Utilized by Most Past Researchers
CORRELATES OR ANTECEDENTS
T0 INNOVATIVENESS
INNOVATIVENESS
OF SCHOOL SYSTEMS
OR TEACHERS
CONSEQUENCES
OF INNOVATION
1. Wealth
2. Cosmopolitanism
3. Communication Channels
L. etc.
l.
Innovativeness in
Adopting New
Educational Ideas
14..
Increased
School Quality
Greater Pupil
Achievement
Dissatisfaction
among School
Staff
etc.
TABLE 7. A New Model for Change in Education
Miller states that "we need to know what improvement or deteriora—
tion in educational quality results when the motivation for adOption by
a school system is financial inducement from an external source". He
76
predicts that if the answers were known, "the rate of adOption of
educational innovations with high relative advantage would increase:
correspondingly, those new ideas without sufficient relative advantage
would be dropped from out promotional efforts."13
The next model, presented by the ASCD Commission on Supervision,
illustrates six processes Of change as critical to continuous system
improvement: leadership, communication, creativity, cooperation,
decision making, and problem solving. This model demonstrates how the
members Of the educational social system seek to improve (Table 8).]J+
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PROBLEM SUL‘OHOG 3
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Models of Change within Three Sgppols Of Research
A review of the research on the stages Of change involved in the
diffusion process reveal common characteristics. Many descriptions Of
the change process include stages preceding diffusion and adoption.
Others include stages of dissemination which go beyond the initial
client system to other clients who have a similar need.
77
Havelock identifies three broad perspectives, three schools of
thought which he terms: (1) The Social-Interaction Perspective, (2)
The Research-Development and Diffusion Perspective, and (3) The Problem
Solver Perspective. He outlines some of the major stages of each
school in Table 9.15
Social Interaction Perspective
The Social Interaction or Community Adoption Process assumes that
the innovation which is to be adOpted is already in a developed form,
suitable for use, readily available to the potential adopter.
Rogers' five-step process16 is the model which has been most used
in studying adoption through the process of social-interaction.
Lionberger describes this process as the "Community—Adoption Process".l7
Havelock arranged the Table 10 showing the phases described by
some of the authors who have studied adoption from this perspective.18
78
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The initial stage is one of awareness of the innovation. If
adaption is to be initiated, the awareness will usually be followed by
stages of interest and information seeking, evaluation (in terms of
decision making), trial and adoption. The sequence may be terminated
by rejection at any stage: for example, awareness may be followed by
rejection in which case interest and information seeking may never take
place. Similarly, interest and information seeking may result in the
decision that the innovation is not useful or appropriate: evaluation
may provide negative results, and trial on a limited basis may lead to
rejection. For all of these studies the unit of adoption is the indi-
vidual. Holmberg is concerned with the individual adOption of cultural
change. Coleman studied the adoption of a new drug by physicians; and
the rural sociologists consider the individual farmer (or farm family)
as he adopts agricultural innovations.
Although the adopting unit is the individual in each of these
studies, this phase model could just as logically be applied to groups
or to entire social systems.
Rogers presents a paradigm of adOption by an individual:19
81
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82
It contains three major divisions: (l) antecedents, (2) process,
(3) results. Antecedents are of two major types: (1) the actor's
identity, and (2) his perceptions of the situation. Rogers sees
identity, e.i., the individual's sense of security, his dominant values,
is mental ability and conceptual skill, his social status, and his
cosmopoliteness, affecting the adaption of innovation. The indivi-
dual's perception of the situation, also, affects his adOption.20
Information sources are important stimuli in the adOption proces .
The individual becomes aware mainly by impersonal and mass media
sources.21
The results of the adoption process are adoption or rejection of
the idea. Rogers cites two possibilities following the adoption of an
innovation: it may be used continuously, or (2) rejected at a later
date.22 Observations of the speed with which people in a given local-
ity accept new ideas or practices from first adopters to near complete
adaption and resulting cumulative patterns has led to important dis-
coveries. Where practices have been successfully introduced, acceptance
patterns have generally consisted of slow initial acceptance, followed
by acceptance at an accelerated rate, and finally at a decreasing rate
after most peOple have adopted the idea or practice. Havelock pictures
'3
the adOption curve in the following wayzz
Cumulative Involvement
83
Evaluation
Interest
Awareness
Time
TABLE 12. Involvement of an Individual at Stages of the Adoption
Process
8!.
Attempts to explain the rapidly accelerating portion of the curve,
rather clearly demonstrate the multiplying effect of interpersonal
patterns of communication and influences on the changes that occur.
Change Agents in Social-Interaction Model
Lionberger reports that placement of persons looked to for infor—
mation and advice in the early adopter categories, and the~differential
manner in which early, late and intervening adapters make use of other
persons as information sources about new ideas and practices lend
additional support to the multiplying influences that peOple have on
each other.2h
A significant develOpment in diffusion research has been the
introduction and the use of the role concept for studying the function
of change agents in the individual and community adoption processes.
It has been found that individuals in di‘ferent adOpter categories
differ on the types of information sources to which they turn and in
the roles which they play in the transmission of information.
Wilkening and Preiss made studies on the role of the county agent.25
Studies on the subject matter specialist were done by Brown and
Deekens.26
Lionberger observes that role studies usually consider what the
change agent thinks he is expected to do, what significant others
think he ought to do, and what the agent actually does}7
Opinion Leaders
Many terms have been employed to identify various roles in the
adoption process. Among the best known of these are the "Opinion
leaders" and "followers". Lazarsfeld, et al, describe these change
85
agents. They depict the flow of communication as a "two-way-flow" or
a two step process in which ideas are usually given to "Opinion leaders"
through mass media and then transmitted by "opinion leaders" to less
active "followers".28
An additional role which is often cited is that of the expert.
In their study of communication regarding social affairs, Katz and
Lazarsfeld found that opinion leaders are apt to seek information from
the experts, while followers generally seek out people like themselves.
They suggested that the opinion leader fills two roles: first as
"follower" of a higher level opinion leader, the "expert", and then as
leader for a group of less active followers who are more like himself.29
This process is described by Merton as a "chain—of—influence", with
people on the same social levels serving as links. He points out that
top level "influentials" may have little direct effect on lower-level
30
decision making.
Sources of Information
The major distinction as regards sources of information is that of
personal vs impersonal sources; the former implies some type of personal
relationship between sender and receiver; the latter refers primarily
to the mass media. In general, the mass media serve to inform, and the
personal contacts serve to legitimate information.
Citing Rogers, Bowers and Katz, the following generalizations were
made by Havelocx in terms of phases of adoption: "impersonal sources
are most important during the 'awareness' phase; during the 'interest-
information seeking' phase the receiver may turn to an expert, to the
mass media, or to personal contacts as sources of information. Personal
sources, however, assume greater importance at the 'evaluation', or
86
'mental trial' stage. Following an actual trial, the individual tends
to rely on his own judgment regarding the value of the innovation."31
The Innovation
Measurement of the flow is the primary concern of the Social Inter-
action Perspective. There is a tendency for researchers to choose
innovations which appear in the concrete, "diffusable" form, such as a
type of fertilizer or a new medical drug. This preference stems from
one of the most outstanding characteristics of the Social-Interaction
school, namely, their empiricle research orientation. If the innova-
tion is a stable element which we can easily identify as a constant,
the task of measuring its flow through a social system over time is
made considerably easier. The primary concern of the Social Inter—
action theorists is the measurement of the flow; they study the pattern
of flow and the effects of social structure and relationships and
groupings on the fate of innovations.
Research
Havelock formulated the following six major points that can be
derived from the theory and considerable quantity of empericle research
on the Social-Interaction Tradition. They are the following:
1. Research has shown us what a complex and intricate set
of human substructures and processes must be operative
before diffusion will succeed.
2. Initial acceptance by a small group of key influentials
("opinion leaders") is a major factor in diffusion to
the community as a whole. Their prestige, their status
as exemplars and norm-setters, and the frequency of
their interaction with other members are the key
factors in gaining acceptance from the great majority.
3. "Face-to—face" impersonal contacts are of real impor—
tance. The "Opinion leader" is an important force in
societal diffusion because he has friendly contacts
87
with other members. He depends largely on "word-of-
mouth" communication with local innovators and outside
"experts" in formulating his inventory of new ideas
and practices.
A. "A society which allows large numbers of individuals to
maintain many diverse and overlapping reference group
identifications will be a very innovative society".
Theodore Newcomb, a social psychologist, distinguished
the psychological group from the social group in a
study of attitude stability and change. What he
termed "reference group" identification plays a key
role in diffusion. Innovators are likely to place
themselves in a greater number and variety of such
reference groups which allows them to see personal
relevance and value in ideas and things which their
neighbor would see as foreign.
5. There is research evidence to be able to say that the
size of the adOpting unit (e.g. a total school system)
has been examined by the Social-Interaction Researchers.
(Havelock documents this by listing a great many studies
that have been completed regarding school systems and
the Social—Interaction Process).
6. The Social-Interaction researchers have shown that
different types of influence strategy (mass media,
demonstration, contact with experts, informal contact
with peers) are most effective at different stages.
Armed with this knowledge the change strategist can
plan out a synchronized multi-media program of
influence.3
Although there are over 1,000 empiricle research studies on the
Social—Interaction Process since l9h3, there are notable gaps in the
literature. The processes related to invention, research, and develOp-
ment have not been studied from the Social-Interaction Perspective.
Little attention has been paid to the voluminous literature on the
sociology and psychology of organizations, as such.
Lionberger lists some limitations in the diffusion research:
". . . . many changes in education are very complex and
require the involvement of interlocking social systems.
Where such is the case, the develOping body of knowledge
relating to implemented change in social systems has
important implications. Although the diffusion pro—
cesses of social change are closely related in reality,
articulations of the two is research designs has not
88
been a common practice. Secondly, the individual
adoption process assumes "rational" deliverate deci-
sions in Which information is assembled and evaluated,
and decisions are made essentially on the basis of
"sound" evidence. Not all decisions are of this
nature".
Implications from Preceding Research
There are certain readiness factors from studies of the S-I
diffusion process relating to the individual, that validate the need
for on—going and meaningful renewal of the organization and system
called school or school system. Implications are that
l) the actor brings "himself" to the process of
change, e.i., his security or lack of it; values,
mental ability and conceptual skill, social
status, cosmopoliteness, self-identity.
2) the actor brings his "perceptions" to the pro-
cess of change, e.i., how he views the social
system in which he finds himself; its norms or
innovativeness, economic constraints and incen—
tives, and procedural characteristics of the
school or system.
Further, implications are that change is a process; it is not an
event. The stage between initiation and adoption is adaptation.
This stage calls for collaborative involvement from leaders, followers;
high-status positions, low-status positions; internal, external forces.
Further implications are that, in terms of results, there are
some outcomes between adaption or rejectio . They are continued adOp-
tion, later adOption, discontinued adoption.
Recommendations for TECP:
3.1 Antecedent activities:
1) realization of what a complex and intricate set of human
sub-structures and processes must be Operative before
diffusion will succeed.
2)
3)
89
assessment of potential adapters and implementers
(individuals) in terms of personal security, values,
mental ability and conceptual skill, social status,
cosmopoliteness.
assessment of the social system in terms of its norms
or innovativeness, potential leadership within, need
for external resource, economic constraints, tradi-
tional procedural patterns, need for adaptation.
Adaptation activities:
1)
2)
3)
face-to-face impersonal contacts
rec0gnition and development of key influentials
within each group who communicates with local inno-
vators and outside experts.
varied types of influence strategy: large group
sessions, small group inter—action, mass media,
demonstration, contact with experts.
Follow-through activities:
1)
2)
continued re-inforcement in all stages of adOptions;
initial, on—going, final, and continued.
continued group cohesiveness in terms of total system
membership through mechanisms conducive to openness,
learning, two-way—communication, decision and
acceptance.
FOOTNOTES
lEverett M. Rogers, Diffusion of Innovations (New York, The Free
Press, 1962), p. 79.
2Bryce Ryan and Neal Gross, "The Diffusion of Hybrid Seed Corn
in Two Iowa Communities", Rural Sociology, March, 19h3, Vol. 8,
pp 0 15-21; 0
3Eugene Wilkening, "The Communication of Ideas on Innovation in
Agriculture", in E. Katz et al., Studies of Innovation and of Com-
munication to the Public, Stanford University, School of Communica-
tions Research, 1932, pp. 16.
LRogers, ibid, p. 81-86.
5Paul R. Mort, "Studies in Educational Innovation From the
Institution of Administrative Research", Mathew B. Miles (ed.)
Innovations in Education (New York, Bureau of Publications, Teachers
College, Columbia University, 196L), p. 318.
6Mathew E. Miles, Studies of Innovation (New York, Bureau of
Publications, Teachers College, Columbia University, 196L), p. 19.
7Ronald Lippitt, Jeanne Watson, Bruce Westley, The D namics of
Planned Change (New York, Harcourt-Brace and Co., 1953).
8Kurt Lewin, "Quasi-Stationary Social Equilibria and the Problem
of Permanent Change", ed. Bennis, Benne, Chin, The Planning of Change,
Holt, Rinehart and Winston, 1966, p. 237.
9Richard 0. Carlson, "Summary and Critique of Educational Diffu-
sion Research", presented at the National Conference on the Diffusion
of Educational Ideas, printed in Research Implications for Educational
Diffusion, Michigan Department of Education, 1968, p. 15.
10Robert Chin, "Some Ideas on Changing", ed. Richard I. Miller,
Pgrspectives on Educational Change (New York, Appleton-Century—Crafts,
1967). p. 337.
90
91
lllbid, p. 338-339.
l‘aRichard 1. Miller, (ed.) Pgrspectives on Educational Change
(New York, Appleton-Century—Crofts, 1967), p. 378-379.
lBIbid, p. 381.
l“William H. Lucio (ed.) Supervision: Perspectives E29 Proposi—
tions, Washington: Association of Supervision and Curriculum DevelOp-
ment, 1967, p. 21.
15Ronald G. Havelock, et. al., Planning for Innovation, Center
for Research on Utilization of Scientific Knowledge Institute for
Social Research, University of Michigan, Ann Arbor, :ichigan, July,
1969, p. 10—28.
16Everett M. Rogers, ibid, p. 81-86.
l7Herbert F. Lionberger, "Diffusion of Innovations in Agri-
cultural Research and in Schools", (ed.) Robert R. Leeper, Strategy
for Curriculum Change, Association for Supervision and Curriculum
Development, Washington, D.C., January 1965, p. 35.
18Ronald Havelock, ibid, p. 10—31.
l9Everett Rogers, ibid, p. 305.
ZOIbid, p. 307.
lebid, p. 307.
zzlbid, p. 307.
23Ronald Havelock, ibid, p. lO—BA.
ZALionberger, ibid, p. 38.
25Eugene A. Wilkening, The County Agent in Wisconsin Perceptions
of Role Definitions as Viewed by Agents", Wisconsin Agricultural
§§periment Station Research Bulletin, No. 203, Madison: September 1957.
92
Jack Preiss, "A Theory of Control: The Role of the County
Agricultural Agent." Unpublished Doctoral Dissertation, Michigan
State University, East Lansing, September, 195L.
26Emory J. Brown and Albert Deekens, "Roles of the Extension
Subject Matter Specialist." Paper presented at the annual meeting of
the Rural Sociological Society, University of Maryland, August, 1957.
27Herbert Lionberger, ibid, p. 37.
28Elihu Katz and Paul Lazarsfeld, Personal Influence The Part
Pla ed b Peo Is in the Flow of Mass Communication (New York, The
Free Press, 1955), p. 90.
29mm, p. 91..
3O
Merton.
31 . .
Havelock, ibid, p. 10-38.
32Ibid, p. lO-hl.
33Lionberger, ibid, p. 37.
93
The Research, DevelOpment and Diffusion ngspective
This model looks at the process of change from the point of view
of the originator of an innovation, and it begins with the formulation
of a problem on the basis of a presumed need for the receiver. Like
the Social-Interaction Perspective, the initiative in the R.D. and D.
school is taken by the developer, not the receiver. It differs from
the Social—Interaction Perspective in that it views the process of
change at an earlier point in time. The focus is on the activity
phases of the developer as he designs and develops a potential solution.
Development is followed by dissemination of the solution to the re-
ceiver and promotion of adoption behavior in the receiver group.
Models which are included in R.D. and D. school begin the process
of change with the identification of a problem, proceed through activi-
ties which are directed toward finding or producing a solution, and
end with the diffusion of this solution to a target group. The initia-
tive is taken by the researcher, the developer, and the disseminator.
No one particular model is considered Egg R.D. and D. model.
Havelock presents a graphic picture of the theorists since 1957
in the school of R.D. and D. researchers. The various authors stress
the roles and activities that are related to each ones area of work
and to his goals in that work:1
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The sequence of activities which some authors describe in the
Research, DevelOpment and Dissemination process are research, develop-
ment, diffusion and adoption, though it is clear from Table 13 that
few authors-specifically include all of these activities.
The following schematic continuum for change proposed by Guba and
Clark is
FUNCTION
H
Conducting Scientific Inquiry
N
Investigating Educationally
Oriented Problems
ION>P~1MHW
\p
Gathering Operational and
Planning Data
Gathering Operations and
Planning Data
5. Inventing Solutions
to Operating Problems
Engineering Packages
and Programs for
Operational Use
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.
105
Although there are many variations in the specifics of the R.D.
and D. models, Havelock notes five features which they all seem to
27
have in common:
"First of all, the RD&D model suggests that D&U should be
a rational process: there should be a rational sequence
of activities which moves from research to deve opment to
packaging before dissemination takes place. Secondly,
this model assumes that there has to be planning, and
planning really on a massive scale. It is not enough that
we simply have all these activities of research and devel-
opment; they have to be coordinated; there has to be a
relationship between them; and they have to make sense in
a logical sequence that may go back years in the evolution
of one particular message to be disseminated. Thirdly,
there has to be a division of labor and a separation of
roles and functions, an obvious prerequisite in all com-
plex activities of modern society, but one that we some-
times slur over. Fourth, it assumes a more or less
clearly defined target audience, a specified passive con—
sumer, who will accept the innovation if it is delivered
on the right channel, in the right way, and to assure this
happening is scientific evaluation, evaluation at every
stage of development and dissemination. Fifth, and
finally, this perspective accepts the fact of high initial
develOpment cost prior to any dissemination activity, be—
cause it foresees an even higher gain in the long run, in
terms of efficiency, quality, and capacity to reach a
mass audience. These five features, (I) rational sequence,
(2) planning, (3) division of labor, A defined audience,
and (5) high investment for maximum pay—off, make "RD&D"
a very useful and relevant paradigm for technical and
social change."
Implications frqm preceding research
Implications from the R.D. and D. perspective are that development
and utilization of knowledge should be carried off in a rational sequence:
1) moving from research to develOpment to packaging before
dissemination takes place
2) massive planning in view of people, traditions, and
internal and external relationships
3) division of labor and a separation of roles
A) defined audience — a specified passive consumer who will
accept the innovation if it is delivered on the right
channel, in the right way, and at the right time
106
5) program design-testing and evaluating packages and
programs to assess the effectiveness and efficiency
of both.
Recommendations for TECP:
3.L Antecedent activities:
3.5
306
These activities which include research, development of
packages, models for dissemination and diffusion have
already been accomplished by TECP summer team.
Adaptation activities:
1) informing the school systems about packages and programs
2) demonstrating the effectiveness of the packages and
programs
3) training target systems in the use of the packages and
programs
Follow-through activities:
1) servicing and nurturing installed innovations through
the director of TECP and a team from the summer TECP
membership.
FOOTNOTES
1Ronald G. Havelock, et. al, Plannin for Innovation, Center for
Research on Utilization of Scientific Knowledge Institute for Social
Research, University of Michigan, Ann Arbor, Michigan, July, 1969,
p. lO-LO.
(David L. Clark and Egon G. Guba, "Effecting Change in Institu—
tions of Higher Education", (Address to International Intervisitation
Project of the University Council for Educational Administration,
October, 1966), p. 3.
3Havelock, ibid, p. lO—Al.
AEgon Guba, "The Change Continuum and Its Relation to the Illi—
nois Plan for Program Development for Gifted Children", Paper
delivered to a Conference on Educational Change, Urbana, Illinois,
March, 1966, p. 3. (Cited by Havelock, ibid, p. 10—39).
51bid, p. 6.
6Clark and Guba, ibid, p. 5.
71bid, p. 8.
8John E. HOpkins, et. al., "Exemplars of Emerging Roles",
Conference Paper No. 3, Conference on Emerging Roles in Educational
Research, DevelOpment and Diffusion, Bloomington, Indiana: Indiana
University, December, 1966. (Cited by Havelock, ibid, p. lO—AB.)
9Havelock, ibid, p. lO—AB.
loH. M. Brickell, "State Organization for Educational Change: A
Case Study and a Pr0posal", (ed.) Mathew Miles, Innovations in Educa-
tion, New York, Bureau of Publications, Teachers College, Columbia
University, 196A, pp. 511-512.
107
108
11Glen Heathers, "Influencing Change at the Elementary Level",
(ed.) R. Miller, Pers ectives on Educational Chan e (New York, Appleton-
Century, Crofts, 1966;, pp. 38—Ll.
12Havelock, ibid, pp. lO—h8.
13Brickell, ibid, pp. 519-521.
thathew Miles, Innovations in Education (New York, Teachers
College Press, Columbia University, 1967), p. 20.
151pm, p. 20.
lélbid, p. 21.
171pm, p. 21.
181pm, p. 493.
l91pm, p. 22.
201131.1, p. 22.
2lipid, p. 23.
zzlbid, p. 2a.
£31bid, p. 26.
ZuIbid, p. 26.
ZSIbid, p. 28.
26Havelock, ibid, p. ll—6.
271bid, p. 11-5.
THE PROBLEM-SOLVER PERSPECTIVE
This third perspective rests on the primary assumption that
knowledge utilization is only a part of a problem solving process
inside the user which begins with a need, and ends with the satis-
faction of that need. This process is depicted by Havelock as a
cycle composed of five stages:
la. Felt Need
lb. Need
Reduction
5. Application 2. Articulated
of Solution as a Problem
A. Choice of 3. Search for
Solution Solutions
Successive stages in this model generally follow the psycho-
logical theory of need reduction through problem-solving
similar to the one posed earlier in this chapter in discus-
sions of the D&U process inside the individual person. The
process can be depicted as a cycle composed of five stages
beginning with "la" and concluding with "lb". The fifth
stage (application of a solution) leads to a reduction of
the original need "lb" if the solution is right. If it is
not right then presumably stage "la" is reinitiated and the
cycle is repeated until a solution which is truly need-
reducing is discovered.
TABLE 16. The Need Reduction Cycle
109
110
He indicates that this model is a general one and could apply to
a process inside a single person, or inside a group, an organization,
a community, or society as a whole. The problem solvers may also be
outside specialists (change-agents, resource persons, etc.) but they
will act in a two-way reciprocal and collaborative manner if they are
to be effective.
Problem-Solver Models
Lippitt, Watson and Westley present a model containing phases of
planned change. They studied four types of dynamic systems in society
at which organized problem-solving efforts and change continually go
on: the individual personality, the face-to—face group, the organiza-
tion, and the community.2
These researchers expand Kurt Lewin's three change process phases
(unfreezing, moving, and freezing) to five general phases:
1. Development of a need for change (unfreezing)
2. Establishment of a change relationship
3. Working toward change (moving)
A. Generalization and stablization of change (freezing)
5. Achieving a terminal relationship3
The moving or working toward change took on three dimensions:
the clarification or diagnosis of the client system's problem; the
examination of alternative routes and goals, and establishing goals
and intentions of action; the transformation of intentions into actual
change efforts.‘+
Lippitt, et al. discussed the difficulties involved in communicat—
ing needs, the significance of first impressions, and the importance of
building trust and understanding between the change agent and the client
111
system. They state, in fact, that "the success or failure of most any
change project depends upon the quality and workability of the rela-
tionship between the change agent and the client system, and many
aspects of this relationship are established very early in helping
the relationship."5
In developing a need for change, Lippitt observed three ways that
it could occur:
1. a change agent locates a source of difficulty and offers help
2. a third party brings the client and the change-agent together
3. the client system itself seeks help from an outside source
The researchers found the third to be the most common way for the
change process to begin.6
Lippitt, et. al. suggests that during the moving phase "anxieties
can be eased by providing ways for the client to test innovations before
they are permanently adopted." The active work of changing is called
the "keystone of the whole change process". At this point, the authors
stress the importance of feedback on the results of the change efforts.
They found that without adequate feedback, the client system would be
apt to abandon the attempted change, even though it may be proceding
well.7
The authors found that "many systems possess an inherent momentum
which tends to perpetuate a change once it has attained a certain state
of equilibrium". This makes the process of institutionalizing or
stablizing change likely to occur.8
Regarding the termination of the relationship, it was found that
it occured at various points in the change process. The authors observed
that the most successful change was likely to result if the relationship
lasted until the change had become stablized. Sometimes the problem
112
of the dependency of the client system on the change agent at this point
needs to be resolved. They suggest that this problem can be eased if
the agent continues to be available for consultantship. It will have
been necessary, in any event, for the client to have learned the
techniques of problem-solving and how to apply them independently.9
Finally, Lippitt et., concluded that "the relationship between
the change—agent and the client system, the channel through which all
the agent's knowledge and influence must pass, is the most important
single aspect of the change process."10
Strategy for Planning Self-Renewal
Miles and Lake work with the Coopevative Project for Educational
Development which was mentioned earlier and which acts as a change-agent
team. Its purpose is not to attempt to install specific innovations
in a school, but "to formulate, apply, evaluate, and disseminate some
variations of a basic strategy of planned change in collaboration with
several school systems".11
The authors state that "the basic approach to be tested is a
problem-solving process undertaken collaboratively by members of the
school system and the COPED staff". The initial focus of the process
is on the superintendent and his cabinet.12
All members of the school who will be affected by the change will
become involved in the planning of change by participation in
"temporary systems" before the change is actually introduced.
As with Lippitt, Watson and Westley, the role of the change-agent
is prime. The change plan is mapped out in detail before entry into the
client system and the change-agent takes further steps after the change
113
plan has been institutionalized and the change-agent relationship has
been terminated.
There are three factors that Miles considers important to the
problem-solver: self-study emphasis, increase in motivation for
change, and the problem-solving focus, increased collaboration, change-
supportive climate, and change-supportive structures.lh
Problem-Solving in a Self-Renewing System
While Miles and Lake propose a problem-solving approach to initiate
a program of self-renewal in a school system through self-study and
collaborative involvement, Watson presents a number of steps which
might enable a school system to remain self-renewing. He begins with
"a constant and widespread sensing of problems and of new possibili—
ties" and setting up mechanisms to keep up with "internal concerns and
external trends and resources" as well as structures for continuing
activities at each stage of the process.15
Strategies for Utilization of Knowledge
Jung and Lippitt propose problem-solving strategy designed both to
show Specific problems and to utilize scientific knowledge. They see
it taking place in such a way as to contribute to an orderly and
creative process of planned education".16
They suggest techniques for linking expert resources to the client
system and utilizing these resources. These techniques are the re-
trieval of relevant knowledge and the extracting of implications from
that knowledge.17
Their process of planned change is shown in the following table
found in Havelock's report to the U.S. Office of Education and plotted
by Lippitt:l8
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Implications from preceding research
In viewing the "problem-solver" research, implications are
ultimately, there are three elements in the diffusion process:
ticipants, power, and process:
Participants include collaboratively, all persons to be
affected by the new educative program in a change-suppor-
tive climate and working in change-supportive structures.
Power includes participants having control collaboratively
of certain factors such as finance, policy, planning and
decision making.
Process consists of a number of factors: identification
of concern, diagnosis of the situation, the formulation
of action, alternatives, testing them for feasibility,
training, evaluation, and adOption and diffusion of
accepted alternatives.
that
par-
The "Problem-Solver" process phases fall into four categories
(basic research assumed):
1. search for solutions
2. selection of best alternative
w
. implementation
:-
. evaluation, revision, institutionalization
Recommendations for TECP
3.7 Antecedent Activities:
1) Clarification of expectations of the parties involved
(the superintendents and members of the focal group,
the board, other members of the system, and the TECP
staff regarding the purposes of the program, the
probable time schedule, the amount of effort (time
and dollars) likely to be required, role relations
and responsibilities of TECP staff and organization
members (diocesan and local), methods of collecting
data for diagnosis and assessment, and use to be made
of data (including publication).
3.8 Adaptation Activities:
1) An orientation meeting with teams from dioceses which
are potential participants in the program, the super-
intendent being a member of the team in each case.
2)
3)
t.)
5)
6)
7)
119
Circulation of the TECP manual to prospective partici-
pant dioceses describing change strategy (antecedent
activities, adaptation activities, and follow-through
activities), and annotated bibliographies.
One-day orientation meeting of superintendents from
each of the dioceses, each bringing along one to three
other system members, to discuss the project, make
firm commitments to participate, and plan any further
legitimation required with boards of education.
Meeting with local principals and in—building curric-
ulum leaders for the same purposes stated above.
Local work - a series of visits to each system (dio-
cese) by TECP to make progress checks, decisions for
local and inter-school in—service, personal and group
development programs.
Summer workshops beginning with human growth and
develOpment centers and continuing with local staff
team study and program planning, setting alternatives.
Testing and trial of alternates.
Follow-through Activities:
1)
2)
3)
t.)
5)
Local decision - determine alternates to be imple-
mented (total collaborative endeavor).
Local implementation.
Local evaluation.
Feedback to TECP.
TECP over-all evaluation and feedback.
FOOTNOTES
lRonald Havelock, Planning for Innovation, A Final Report to the
U. S. Department of Health, Education, and Welfare, Office of Educa-
tion, Bureau of Research, 1969, p. Z-Ll.
2Ronald Lippitt, Jeanne Watson and Bruce Westley, szamics of
Planned Change (New York, Harcourt, Brace & Co., 1958), p. 130.
31bid, p. 130.
“Ibid, p. 139.
5Ibid, pp. 135—136.
6Ibid, pp. 131-133.
71bid, p. 139.
81bid, p. 1ho.
91bid, p. 1A1.
lOIbid, p. 143.
llMathew Miles and Dale Lake, "Self-Renewal in School System: A
Strategy for Planned Change", (ed.) G. Watson, Concepts for Social
Chan e, Washington, D.C., NTL Institute for Applied Behavioral Science,
1937, p. 81.
lzlbid, p. 81.
120
121
lthid, p. 86.
lsGoodwin Watson, (ed.) Change in School Systems, Cooperative
Project for Educational Development, National Training Laboratories,
NEA, Washington, D.C., 1967, p. 111.
16Charles C. Jung, Robert Fox and Ronald Lippitt, "An Orientation
and Strategy for Working on Problems of Change in School Systems",
(ed.) G. Watson, Change in School Systems, Cooperative Project for
Educational Development, National Training Laboratories, NEA, Wash-
ington, D.C., 1969, p. 79.
l71bid, p. 79.
18Ronald Havelock, ibid, p. 10-63.
l9Gordon N. MacKenzie, "Curricular Change: participants, power
and processes", (ed.) Mathew Miles, Innovations in Education, (New
York, Teachers College Press, Columbia University, 1937), p. 401.
20Herbert A. Thelen, "Concepts for Collaborative Action - Inquiry",
(ed.) G. Watson, Concepts for Social Change, Cooperative Project for
Educational Development, NTL Institute for Applied Behavioral Science,
NEA, Washington, D.C., 1969, pp. 45-56.
21Ibid, p. A2.
22Havelock, ibid, p. 10—56.
CHAPTER IV
THE DEVELOPMENT OF A THEORETICAL MODEL FOR DIFFUSING
THE TRI-ETHNIC CURRICULUM PROJECT
This chapter presents a model for the diffusion and implementation
of the Tri-Ethnic Curriculum Project. It is based on a synthesis of the
recommendations made and upon implications described in preceding
chapters. The model conforms to theories developed from three per—
spective models: the Social-interaction perspective; the Research,
DevelOpment and Diffusion perspective; and the Problem-solving per—
spective.
SUMMARY OF IMPLICATIONS FROM RESEARCH
The diffusion model has been produced through the logical deriva-
tion of a set of representative implications to which several elements
from areas considered in earlier chapters are interrelated. It may be
helpful to cite the key threads that seem to filter through from these
implications and which formed the basis for recommendations throughout
the review of literature and research:
1. Since educational changes are generally very complex, there are
some basic factors in setting diffusion programs:
A. The involvement of a collaborative team within the
changing institution
B. A degree of division of labor, co-ordination, and
collaboration throughout the social system
C. Collaborative interaction making solutions more
relevant, valid and effective
(Basis for recommendations 2.01 through 2.0L)
122
2.
123
Viewing intrapersonal and group membership as a whole, certain
broad implications are apparent:
A. Effective linkage requires that the giver and receiver
both have a sense of security, of trust in themselves
B. Beyond that and building on that, they must have a
sense of trust in each other
C. The adoption of a social practice must be compatible
with the values, attitudes and behavioral skills of
the potential adopter - if not, change in these
complex intra—personal belief systems and behavioral
patterns is required for meaningful change
D. Changes in behavior, attitudes and values are often
mediated by interpersonal relations and are of
varying depth and performance
E. The patterns of interaction which take place within
the structures of the system play a meaningful role
in forming the attitudes of participants
F. There is a correlation between the team support and
"belongingness" of the individual to the group, its
cohesiveness, and the teachers' degree of change
orientation
(Basis for recommendations 2.05 through 2.12)
Even when there is an atmosphere of acceptance and mutual under-
standing, the task of communication is not completed. The
development of skills of action problem-solving at all levels of
the system; operations concerned with diagnosis; planning of
change; feasibility and testing of change plans; evaluation of
results; and the modification and spread of such models are
essential elements of the diffusion process related to change in
a school system.
(Basis for recommendations 2.16 through 2.19)
Resistance to change is a normal and healthy thing and, if dealt
with competently, it can be an asset to the decision-making process
and to internalizing change endeavors.
(Basis for recommendatons 2.12 through 2.15)
12A
The organizational role for change in school systems is vital and
pervasive. Implications are that in promoting instructional
improvement within organizations, the collaborative effort of
school administrators, teachers and outside resource peOple, i.e.,
the teacher—principal, consultant, change-agent team, provides a
more vigorous and productive leadership arrangement than does
reliance on any one of these roles along.
Cooperative change—agent teams offer meaningful contributions.
These teams are committed to joint inquiry, to collaborative action
once there is recognition of need and request for help from the
practitioner, and to promoting interdependence among universities
and school systems as a means to improving education.
(Basis for recommendations 2.20 through 2.25)
"Temporary Systems" such as conferences, workshops, seminars,
action-research projects, human relations labs, problem-solving
sessions, etc., are important as vehicles through which inter-
action and exchange can be carried on in a changing system.
Micro-labs, demonstrations, pilot studies, and simulated activi—
ties are other experiences included in "temporary systems".
The "temporary system" is not an isolated workshop, nor is
it a series of unrelated experiences. It is a process designed
for specific resultant changes in persons, groups and organizations.
(Basis for recommendations 2.26 through 2.31)
In terms of change, school systems might move from "temporary
systems" to "permanent linking" systems through an on—going and
continuing process of self-renewal. A self-renewing school system
has the ability to adapt to its changing external and internal
\
125
environment in such a manner as to strengthen itself and optimally
fulfill its goal of providing timely education for children.
(Basis for recommendations 2.32 through 2.38)
Diffusion Phases of the Model
The model is constructed using three phases which were extracted
from the common elements found in the literature and which appeared
appropriate for the development of a theoretical model. They are:
l) Antecedent activities
2) Adaptation activities
3) Follow-through activities
Phasing the Implementation of the Tri-Ethnic
Curriculum Project
Antecedent Activities:
(1)
(2)
(3)
(1+)
(5)
Realization in preparing Phase I (Teacher Awareness Program) of
human sub-structures and processes must be operative before
diffusion will succeed;
Assessment of potential adopters and implementers (local school
administrators and faculty) in terms of personal security,
values, mental ability and conceptual skill, social status,
cosmopoliteness;
Assessment of the schools within the diocese in terms of inno-
vativeness, potential leadership within, need for TECP Resource
Team, economic restraints, traditional procedural patterns,
need for adaptation as local situations differ;
Clarification of expectations for the parties involved (Super-
intendent, Diocesan Curriculum Staff, local Administrators,
Teachers and Boards);
Clarification of role relations and responsibilities of TECP
Staff and diocesan and local members of the changing system.
126
Adaptation Activities:
(1) An orientation meeting with teams from dioceses which are
potential participants in the program, the superintendent
being a member of the team in each case;
(2) Circulation of the TECP manual to prospective participating
dioceses describing change strategies (antecedent activities,
adaptation activities, and follow-through activities), and
annotated bibliOgraphies;
(3) One day orientation meetings of superintendents and diocesan
curriculum staffs from each diocese to discuss the teacher—
awareness program (TECP, Phase I), make firm commitments to
participate, and plan any further legitimation required with
boards of education;
(A) Meetings with local prinicpals and in—building curriculum
leaders for the same purposes stated above;
(5) Local follow-through strategy: large group sessions; small
group interaction; mass media; domonstration; contact with
experts; actionrresearch, etc.;
(6) Summer workshops (Phase II and III) beginning with Human
Growth and Development Centers and continuing with local
staff team study, program planning and design, setting
alternatives, testing and trial of alternates;
Follow-Thropgp Activities:
(1) Local decision-determined alternates to be implemented
(total collaborative endeavor);
(2) Local implementation of decisions;
(3) Continued re—inforcement in all stages of implementation;
initial, on-going, final and continued;
(A) On-going programs of evaluation;
(5) Continued group cohesiveness in terms of total system
membership through mechanisms conducive to openness,
learning, two-way-communication, decision and acceptance.
The Diffusion Model
Based on the above implications and the recommendations summarized
in Appendix 2, a theoretical model for the diffusion and implementation
of the Tri-Ethnic Curriculum Project was developed and is shown in
Table 20. The diffusion model was developed by synthesizing factors
127
related to the three perspectives: the Social-Interaction Model; the
Research, Development, and Diffusion Model; and the Problem-Solver Model.
Conclusions of the Stugy
Major conclusions of the study are as follows: the principal
schools of thought promoted by the various authors can be grouped under
three perspectives: social-interaction; problem-solving; research,
development and dissemination. A synthesis of the three perspectives
provides a "linkage model" utilizing the important factors of each.
Knowledge utilization takes place through collaborative linking and
interacting between resource system, (TECP) conveyor system (Diocesan
and local curriculum coordinators) and the user system (persons, groups,
and the changing organization). This type of collaborative interaction
and communication builds relationships that make solutions more or less
relevant, effective and lasting. Continual self-study and system
renewal provides channels for effective and continuing transfer of
knowledge: Open communication and interaction provides opportunities
of change orientation and action.
Suggestions for Further Research
Several areas requiring investigation have been suggested in
describing the diffusion process and its implementation:
(1) Comparative studies of linking organizations for role
identifications and interrelationships supportive and
effective for knowledge retrieval and utilization;
(2) Comparative studies to research various forms of organi-
zation for inducing change and which are most effective
(research and development centers, regional laboratories,
university based centers);
(3) A study of the results of the implementation of the theor—
etical diffusion model for the Tri-Ethnic Curriculum Project;
(A) A study of micro-labs and simulated experiences as a means
of innovation "trial-without—threat" to reduce resistance
to change in individuals and groups of individuals.
128
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APPENDICES
APPENDIX 1
THE TRI-ETHNIC CURRICULUM PROJECT
Historical Background
In May, 1969, the Superintendents of the Catholic schools in
Michigan decided that the study of black history should be made a
basic component of the curriculum of each catholic school in the
state. A committee for Black History and Culture was appointed to
develop procedures for the implementation of such a curriculum. Since
the work of this committee set the direction for the Tri-Ethnic Cur—
riculum Project in terms of need and organizational procedures, the
first part of this chapter will review its procedures, findings, and
recommendations.
The Committee for Blapk History and Culture
The philOSOphy of education adOpted by this committee was placed
in direct parallel with the charge given to the college of bishops by
POpe John in the 1962-65 ecumenical council. The documents coming from
that council are especially noteworthy for their concern with the poor,
for their insistence on unity of the human family and, therefore, on the
wrongness of discrimination; for their repeated emphasis on the duty
of Christians to promote a just and peaceful world, a duty which they
must carry out in brotherly cooperation with all men of good will.
130
As a philosophical principal for the adoption of such an addition
to the curriculum, these words of Pope John are pertinent:
tate
"One of the salient features of the modern world is the
growing interdependence of men one on the other, a de-
velopment very largely promoted by modern technical
advances. Nevertheless, brotherly dialogue among men
does not reach its perfection on the level of technical
progress, but on the deeper level of interpersonal re-
lationships. These demand a mutual refpect for the
full spiritual dignity of the person".
To carry out this program utilizing this philosophy would necessi-
the following procedures offered by the committee as recommendations:
1. Provide a year of consistent in—service training for
teachers which would offer cultural enrichment, impart
knowledge of black history, reveal racist attitudes,
and provide techniques for integrating the curriculum.
2. Use the units on black history develOped by Dr. Lewis
Clingman and Jacob Robinson.
a) Provide an overview of black history to
teachers;
b) Provide a base from which a program can be
inaugurated whereby teachers at each grade
level can extract some of the facts to be
made part of the curriculum by using recom—
mended supplementary material. '
3. Compile a bibliography of materials with dissemination
to each school along with the units.
A. Formulate diocesan resource committees to assess the
current education programs, provide resource for re-
vamping the programs, and assist in providing in—ser—
vice training.
5. Re—analyze textbooks and employ as references the
textbook evaluation of the State Board of Education
and the Wayne State Curriculum Review.
6. Formulate sub-committees to assess books of school
libraries and provide a list of those which reflect
inaccurate stereotypes of black people.
7. Use black people with expertise in various areas as
resource persons throughout the development of the
program.
1"Declaration on Christian Education". Second Vatican Council.
October 28, 1965.
131
The superintendents voted on acceptance of these recommendations
in their entirety. They further decided that the committee would con—
tinue for a full year as a standing committee for them; the standing
committee should become the founding and supporting body for additional
committees in charge of Mexican—American and Indian histories; and the
standing committee would assume the additional responsibility of
assisting in formulating and evaluating programs.
There were four primary areas of responsibility recommended for
implementation by the Black History and Culture Committee.
PHASE I: Curriculum - Establishing guidelines for the development
of the integrated approach.
A) These guidelines should be established on the primary,
intermediate, junior high, and high school levels.
B) A basic core subject area should be chosen on each
level and basic guides used in conjunction with the
bases. Suggested core areas were: fine arts and
language arts for the primary grades; social studies,
language arts and fine arts could be the core for
the middle grades; and for the junior and senior high,
the history, literature and fine arts provide the
core subjects.
Some of the major objectives of the guidelines would be:
1) to assist teachers with their instruction:
By listing objectives for units of study.
By recommending materials to fully enrich a unit of
study allowing for conceptual growth.
By providing techniques for developing change from
teaching of facts to teaching of facts for the pur-
pose of gorwing concepts, by putting facts together
to see in a series of facts the growth and formation
of a human peOple.
By giving assistance in employing materials designed
for this purpose.
By considering variations in school districts by way
of personnel and enrollment.
132
Basic to carrying out the objectives would be other committees
serving within the curriculum development phase. The committees needed:
1) Fine Arts, which includes music, art, physical education
(games and dances), and languages.
2) Language Arts, which includes poetry, folk tales, litera-
ture (fiction, biography) and creative writing (essay,
poetry, comparative studies, and research papers).
3) Social Studies, which includes culture analysis (contem—
porary, community leaders, civil rights movement),
geography, anthropology, and history.
A) Science
5) Religion, which includes religious belief, comparative
studies, spirituals, etc.
PHASE II: In—service training would be essential in program devel-
Opment. A threefold program was recommended in order to ensure success
of the curriculum implementation.
ATTITUDINAL GROWTH:
It was the belief of the committee that teachers must be assisted
in uncovering hidden prejudices and provided insights into the subtle—
ties of prejudice which are a part of their own make—up and of the
curriculum materials used in the past.
CULTURAL ENRICHMENT:
Noted black people would be well used by the various committees.
They could provide insights into the historical aspects, cultural
patterns, and areas of black contributions, historically, to every
American endeavor.
CURRICULUM TECHNIQUES:
Emphasis would continue to be placed on "how" to teach when using
resource peOple, visual aids, guidelines, and supplementary materials
in the integrated humanities approach.
133
PHASE III: Evaluation methods were recommended through which atti—
tudinal and behavioral change of both staff and students could be objec-
tively qualified. The ultimate criterion for the success of this program
would be the development of truly Christian teachers and students who
recognize the worth and dignity of all men. Expertly qualified people
and materials would be needed to analyze the success of the initial
efforts, so that revisions could be made and a truly worthwhile program
established by the year 1970.
Clingman's Black History Units were disseminated to all the schools
in Michigan along with other limited bibliography. The school year of
1969-70 brought teacher institutes over the State of Michigan. They
were one day programs of intense experience resulting from presentations
which demonstrated the real picture of Black History. Teachers were
moved to some action and many outstandingly creative projects were im—
plemented in schools over the state. An evaluation form was prepared
and distributed to the schools in the five dioceses in Michigan to
measure the impact and utilization of the materials and programs
recommended by the committee. In almost every case, the programs did
not become a permanent part of the existent curriculum in the individual
schools but were crash programs that resulted from individual creative
teachers and which may or may not have ever happened again.
Textbooks were studied for validity and reliability in the presen-
tation of black history; recommendations and findings were reported to
the five superintendents. Diocesan recommendations of social studies
texts were revised. Additions were made.
This description of the procedures, findings and recommendations
of the Superintendents' Committee are taken from a position paper pre-
sented to the Superintendents of the five dioceses in Michigan by Mrs.
Jacqueline Warr who chaired the committee for Black History and Culture.
134
This position paper was also printed in the Bulletin from the National
Catholic Education Association.2
The Inception of thgfiTri-Ethpic Curriculpp Project
The bishops and superintendents of the five dioceses in Michigan
were being pressured by Community groups representing the Spanish—
speaking community and the community of American Indians. These edu—
cators, professionals, and non-professionals were insisting on a curric—
ulum which would include broader concepts for anglo children through a
developmental and sequential program that would enable them not only
to understand but, also, to appreciate the past history and present
plight of minority ethnic groups in our country. They insisted that
through such an education, the perpetuation of contemporary problems
could be obliterated in time.
The Committee for the Black History and Culture Program had been
dissolved. This committee had made some meaningful and possible recom—
mendations that might well be applied to the Tri—Ethnic minority groups.
It was time to move into an action program.
The Tri-Ethnic Curriculgm Project
The Tri—Ethnic Curriculum Project, which began its work in June,
1970, was under the general coordination of the five superintendents
of the State of Michigan. A full time director of the Project was
named. The Board of Directors of the Department for Education out of
the Michigan Catholic Conference agreed to provide the sum of 38,000
for the purpose of the professional development of materials and guide—
lines for the teaching of history and culture, including the status
2Warr, Jacqueline, "Black History and Culture", NCEA Bulletin,
Vol. 65, No. A, May, 1968, pp. 51-55.
135
and problems of Black, Spanish—speaking Americans, and American Indians.
It was anticipated that this work would need continuous development over
a period of two or three years, but also, that enough materials at
minimal cost could be sold so that future projects in this area would
be self-funding.
The full-time staff for the six weeks session, beginning July 1,
1970, consisted of a full—time director for the project, curriculum
specialists for history and the humanities, and a full—time librarian.
Consultants and curriculum resource people from the staffs of the
diocesan offices of education, from the Lansing Public Schools, from
Michigan State University and the University of Michigan, from Madonna
College in Livonia, from Aquinas College in Grand Rapids, and from
elementary and high schools over the State of Michigan were enlisted.
This team included educators who were natives of the Tri-Ethnic groups
along with anglo—educators:
Tri—Ethnic Curriculum Project Membership
Dr. Daniel Jacobson
Dir. Social Science Teaching Institute
Michigan State University
Dr. Robert Green
Office of Urban Affairs, Director
Michigan State University
Sister Marie Florence Garcia, 0P
St. John School
Essexville, Michigan
Sister Marjorie Crimmins, 0P
Curriculum Consultant
Diocese of Grand Rapids
Mr. Bill Helder
Director Social Studies Programs
Lansing Public Schools
Mr. James McClafferty
U.S. Office of Education
Fort Worth, Texas
Sister Theodora Harris, SSJ
Elementary Librarian
St. Clair Shores, Michigan
Mr. Eric Winston
Office of Urban Affairs, Library
Michigan State University
Sister Tereska, OP
St. Johns School
Saginaw, Michigan
Sister Dorena Gonzales, OP
St. Joseph School
Grand Rapids, Michigan
136
Sister Martinez, CSSF Mrs. Jacqueline Warr
Madonna College, Lionia Model Cities Program
Lansing, Michigan
Mr. John Winchester Reverend Robert Lundsford
Director of Indian Affairs Diocese of Lansing
Michigan State University
Sister Emilia Attencio, OP Mr. James Falsey
Penacaso, New Mexico Social Worker
Diocese of Saginaw
Sister Christine Davidson
Tri—Ethnic Curriculum Project
Project Director
The above group have completed a 150 page book containing a complete
description of the TRI-ETHNIC CURRICULUM PROJECT. There are annotated
guides and suggested strategies for implementing the project.
GOALS OF TRI-ETHNIC CURRICULUM PROJECT (TECP)
The overall goal of TECP is to promote instructional programs for
all students in the diocesan schools based on curriculum materials and
professional training which accurately reflect the contributions of each
of the target cultures to world civilization.
Specific goals include the following:
- To promote Action programs in the five Dioceses with
special emphasis on teacher training and motivation
in tri—ethnic histories and cultures.
To identify and classify available written and visual
materials as well as human resources for continuing
teacher in—service.
To develop annotated bibliographical material identi-
fied according to instructional levels and subject
matter.
To disseminate activities to Superintendents, Diocesan
Curriculum Staffs, Principals and Teachers.
To provide a diffusion process involving administrators
and teachers in meaningful interaction that will bring
about the implementation of action programs.
137
The first phase is one of launching demonstration programs at the
8th grade level while at the same time initiating various orientation
activities which will prepare all concerned staff to undertake the
system-wide curriculum which can begin when the necessary training and
other resources have been provided.
A second major step in ensuring focus on sound instructional pro-
grams, the goal of TECP, is the limitation of activities to those
clearly connected to basic teacher and student behavior in the study or
use of relevant instructional materials.
ORGANIZATION AND DEVELOPMENT
The first meeting of the entire team was set for July 1—2, 1970.
The agenda included an overview of the project, a report of the work
of the previous state committees, the presentation of a preliminary
plan for study and reaction from the group, the organization of sub—
teams and co-ordinators for each, assignments to co-ordinators, and
probing of the philosophies of curriculum within the group membership.
Three team co-ordinators were appointed: namely, Eric Winston, a
black man, for the Black Program; John Winchester, a Potawamini Indian,
for the Indian Program; and Sister Marie Florence Garcia, a Chicano,
to work with Sister Marjorie Crimmins on the Program for Spanish—
speaking Americans. These team co—ordinators were commissioned to draw
from the membership-at—large, consultants and resource people for the
development of an annotated bibliography of materials, identified
according to instructional levels (Primary, Middle Elementary, Junior
High, and Senior High). Also, to classify available written and visual
materials for continuing teacher in-service programs. A time table was
agreed upon to facilitate the c0mpletion of their work by August 15, 1970.
138
Dr. Daniel Jacobson and Mr. William Helder created and co—ordinated
what later became the In—depth Action Program.
The team co-ordinators met on July 2nd to share ideas through dis—
cussion and to determine the best way to achieve the goals:
Organizational relationships were determined. The
following chart was designed:
ORGANIZATIONAL RELATIONSHIPS
DIOCESAN
SUPERINTENDENTS
Diocesan State Committees
Curriculum ‘ Black History
Departments American—Indian
_Spanish—American
TRI-ETHNIC
CURRICULUM PROJECT
Action Program Materials Dissemination
Development Process
r I \
/ \
/ ‘ \
/ I \
Diocesan Diocesan PrinCipals
Superintendents Co—ordinators and
From 5 Dioceses Teachers
of
5 Dioceses
139
They identified their work of developing guides and
bibliographies for future action programs.
A tenta—
tive time table and how best to accomplish it was
discussed:
PROCEDURE CHART
PROJECT DIRECTOR
Committee for
DevelOping Bibliographies
Team Co—ordinator
Black Program
Elementary
Junior High
Action Programs
Bibliography
L\ Senior High
Team Co—ordinator
American-Indian
Elementary
Junior High
Senior High
/
Action Programs
Bibliography
Team Co—ordinator
Spanish—American
Elementary
Junior High
Senior High
/
Action Programs
Bibliography
1A0
Team co-ordinators would select their own key people to render
services in various ways in identifying and presenting the following
bibliographies:
FOR TEACHER IN—SERVICE PROGRAMS
Growth in specific concepts - eg.
Humanity
Environment
Life Cycle
Prepare Goals———-—- Religion
Acculturation
Motivation and enthusiasm
Committment
Prepare Guide for Specialist personnel for Impact Program
Superintendents and-—- Films for Impact Programs
Diocesan Curriculum Staff Strategies for Impact Programs
Prepare Guide for Materials, films, readings to be
Principals and Building used as springboards for discussion
Curriculum Co—ordinators and dialogue on local setting with
a view to growth in the concepts
initiated in Impact Program
ANNOTATED AND SELECTIVE BIBLIOGRAPHY FOR TEACHERS TO BE USED BY STUDENTS
conceptual, attitudinal and behavioral
growth through the humanities programs
in grades l—12
to provide varied opportunities
to allow children to appreciate the
values of seeing many points of view
Prepare Goals _____ yet inherent likenesses
to provide varied opportunities to create
a classroom environment which sponsors
activity in concept—seeking and value
seeking
to provide varied Opportunities through
wide reading and multi—media to explore
human behavior and human environment
1A1
elementary list (grades 1—8) to be
used, integrating the social studies
with the art, music, religion, liter—
ature, drama and dance of the tri-
ethnic groups
Select and annotate
bibliography including list to be used for enrichment in the
multi-media, personnel,—- minorities course in grade 8
films, written mater—
ials, etc. list to be used for independent study
and research for the High School as
well as part of the formal program of
history and culture for the Black,
American-Indian and Spanish-American
A tentative time table was set which later was extended to mid—September:
July 9 — Completion of determined goals and one specimen for achieving
each goal
July 16 - Completion of annotated guide for Superintendents and Diocesan
Curriculum Staff
July 23 — Completion of Guide for Principals and in—building co—ordinators
July 30 - Completion of annotated bibliography for grade levels in
social studies, literature, art, music, etc.
Mid-August — Presentation of materials to the five Dioceses - Superin—
tendents and Curriculum Staff all meeting here in Lansing
The committees agreed that a uniform format would be used in pre—
senting their materials to the Superintendents, Diocesan Curriculum
Co—ordinators, Principals and Teachers.
PHILOSOPHY
At a meeting of the total TECP membership, Sister Marjorie Crimmins
presented an outline for setting a philosophy. It included the following:
1. Concepts of Human Dignity: Self—awareness
2. America: Pluralism
3. Interdependence
As a result of discussion and group inter—action the outline took
on a meaningful form. It was documented and accepted as a guide for
11.2
each committee in preparing the bibliographies for the teacher in-service
program. Sister Marjorie Crimmins was commissioned to work with a group
to refine the philOSOphy using all of the recommendations made by the
total group. Mr. William Helder was named to work out the section on
Inter-dependence. The final Philosophy for the Tri—Ethnic Experience
for teachers follows:
PHILOSOPHY UNDERLYING TEACHER PROGRAM
HUMAN DIGNITY: SELF-AWARENESS
SACRED SCRIPTURE
Genesis 1:27 Creation
Eccles. 15:1A He Himself made man in the beginning and then left
him free to make his own decisions.
Luke 10:27 You must love the Lord your God . . . and your
neighbor as yourself.
1 Cor. 11:7 A man should certainly not cover his head since
he is the image of God and reflects God's glory.
CONSTITUTION OF THE CHURCH IN THE MODERN WORLD, Second Vatican Council,
December 7, 1965, chapter 1, "The Dignity of the Human Person".
STATEMENT ON THE NATIONAL RACE CRISIS, National conference of Catholic
Bishops, April 25, 1968. ,
"We must reCOgnize the fact that racist attitudes and consequent dis-
crimination exists, not only in the hearts of men but in the fabric of
their institutions. We must also commit our full energies to the task
Of eradicating the effects of racism on American society, so that all
men can live with equal Opportunity to fulfill the promise of their
creation in the image and likeness of God. . . . We must build bridges
of justice, compassion and understanding, and we must do so at once.
BILL OF RIGHTS
PREAMBLE TO THE CONSTITUTION OF THE UNITED STATES
AMERICA: PLURALISM
STATEMENT ON NATIONAL RACE CRISIS, April 25, 1968
Education is a basic need in our society, yet the schooling available
to the poor is pitifully inadequate. . . . Quality education for the
poor and eSpecially for minorities who are traditionally victims of
discrimination, is a moral imperative if we are to give millions a
realistic chance to achieve basic human dignity. Catholic school sys-
tems, at all levels, must redouble their efforts, in the face of
changing social patterns and deepite their own multiple problems, to
meet the current social crisis. This crisis is of a magnitude and
peril far transcending any which the church in America has previously
confronted.
1A3
AMERICAN PROBLEMS TODAY, "Minorities and Their Rights", Robert Rienow,
3rd edition, D. C. Heath and Company, Boston, Mass., 1965, p. 61.
CITIZENSHIP AND GOVERNMENT IN MODERN AMERICA, "Intergroup Relations
Can be Improved", Bard/Moreland/Cline, Holt, Rinehart and Winston, Inc.,
New York, 1966, p. 385.
MODERN SOCIOLOGY, "Minority Groups", Koller and Cruse, Rinehart and
Winston, Inc., 1965, p. 26A
16mm film
IN’I'ERDEPENDENCE
SCRIPTURE
1 Corinthians 12: 14—15, 2o~21, 26
For the body does not consist of one member but of many. If the foot
should say, "Because I am not a hand, I do not belong to the body,"
That would not make it any less a part of the body.
As it is, there are many parts, yet one body. The eye cannot say to
the hand, "I have no need of you."
If one member suffers, all suffer together; if one member is honored,
all rejoice together.
DEVOTIONS XVII - John Donne
NO man is an island, entire of itself; every man is a piece of the
Continent, a part of the main; if a clod be washed away by the sea,
Europe is the less, as well as if a promontory were, as well as if a
Manor of thy friends or thine own were; any man's death diminishes me,
because I am involved in Mankind; and therefore never send to know
for whom the bell tolls; it tolls for thee.
DECLARATION ON CHRISTIAN EDUCATION, Second Vatican Council, October 28,
1965.
Since every man of whatever race, condition and age is endowed with
the dignity of a person, he has an inalienable right to an education
corresponding to his prOper destiny and suited to his native talents,
his sex, his cultural background and his ancestral heritage. At the
same time, this education should pave the way to brotherly association
with other peoples, so that genuine unity and peace on earth may be
promoted.
TEACHER HANDBOOK FOR CONTRA COSTA SOCIAL STUDIES
Hilda Taba and James L. Hills
San Francisco State College, 1967
Basic concepts, writes Taba, are high level abstractions expressed as
verbal cues. They encompass large amounts of specifics and are threads
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that occur and reoccur in connection with different content. Among
Taba's basic concepts, the one most relevant for our purpose is inter-
dependence. It is a concept selected for its power to organize vast
amounts of information. A basic concept forms a hierarchy in the
sense that it can be used on different levels of abstraction, com—
plexity, order of the concept of interdependence as it concerns rela—
tionships of people to people.
INTERDEPENDENCE IN PEOPLE-to-PEOPLE RELATIONSHIPS
7th level between the governments of nations
6th level between levels of government
5th level between industries and government
Ath level between industries and specialized workers
3rd level between specialized workers in services and community workers
2nd level between community workers and family members
lst level between family members
This hierarchial arrangement suggest that understandings of inter-
dependence developed at the first level are included in the second,
and each successive level of learning includes understandings of inter-
dependence from the levels below it. In a sense, each level is a
prerequisite to the next.
Setting the Goals
On July 16, 1970, the Tri—Ethnic Curriculum Project met to continue
the discussion on the co—ordination of philosophy and Objectives. The
Guide for Superintendents and Curriculum Staffs was presented and dis-
cussed. Eric Winston, co-ordinator for the Black Experience, presented
the goals for the teacher in—service program. These were further
develOped by the total group. It was decided that these goals would
be related to the three experiences, e.i. the Black Experience, the
American Indian Experience, and the Experience for the Spanish speaking
American.
GOALS FOR THE TEACHER IN—SERVICE PROGRAM
The specific goals as stated below attempt to introduce the
teacher of the minority ethnic groups Experience to some of the
immediate goals of peOple of the tri-ethnic groups. If the teacher
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is to be successful in understanding and relating to the Tri-Ethnic
Experience he must know these goals and what motivates them
Not only do the goals represent the needs of all ethnic groups,
they also stand as a base from which the exchange of ethnic experience
and ideas can occur.
A.
B.
IMPLEMENTATION OF THE THREE PHILOSOPHICAL PRINCIPLES
DISCUSSED PREVIOUSLY.
AWARENESS OF NEED AND THE DESIRE TO ACT — MOTIVATION
Statement on National Race Crisis, April 25, 1968.
The Gospel of Christ and the good Of the nation must moti-
vate us to encourage, support and identify with the efforts
of the poor in their search for self—determination. It is
chiefly through the attainment of control over one's personal
and social destiny that destructive feelings of despair,
frustration and helplessness can be eliminated. These
efforts require the help——free from all spirit of paternalism
or condescension-—not only of organizations and institutions,
but of each and every believer. . . .
We must show concern, we must give ground for hope. In the
name of God, our Father-—and we do not lightly invoke His
name—-let us prove to all men that we are truly aware that
we are a single human family on the unity of which our best
hope for our progress and our peace.
1. Combat Racism
TO destroy those forces within our society which feed
upon the fears of man, which put man against man because
of ethnic and/or racial background.
2. Creation of Strong Acadppic Base
To endow every youngster of the tri-ethnic groups with
a realization Of the need to become scholarly proficient
to combat the stereotyping forces within society.
3. DevelOpppnt of Functional Skills
TO increase the number of Blacks, Indians, and SpaniSh-
Americans who possess the tools necessary for construc—
tive contributions in society.
A. Understanding Tri—Ethnic Experiences and History
To determine the nature of the experience of each of the
three minority groups and role of history in it.
11.6
5. Control Over the Destipy of Black Americans, American
Indians, and Spanish speakinggAmericans.
To exercise decisions when these people are effected.
OFFICE OF TEACHER
SUGGESTED GUIDELINES-A REPORT TO THE STATE (Michigan) SUP'T
OF PUBLIC INSTRUCTION FROM THE STATE COMMITTEE ON EQUAL
OPPORTUNITY, Publication 5A1, Dept. Public Instruction, No. 3,
P. 5.
Specific in-service training programs should be developed to
aid teachers in achieving a broad background and understanding
of the role played by the various racial, ethnic, national
and religious groups on the history and development of our
nation. DevelOping positive attitudes in these areas will
enable teachers to work more effectively in develOping
similar worthwhile attitudes on the part of their students.
The role of the teacher in the Tri—Ethnic Experience
1. DevelOp an awareness and understanding of Tri-
Ethnic History and Cultures
The teacher must grasp, as much as possible, the
meaning of tri-ethnic history and its importance
to peOple of these minority groups in each case.
2. Knowledge of the black community, community of
Spanish-speaking Americans, and American Indian
Community
a. mores
b. organization of the community
c. the family
3. Develop insight into the needs of peOple of
ethnic groups
What are the most pressing concerns Of Blacks,
Indians, Spanish-Americans and how may they be
achieved.
A. Self Awareness
The teacher looks into himself in an attempt to
define his role in the overall objectives of the
Tri—Ethnic Experience.
5. Development of teaching strategies specifically
designed to further the Tri-Ethnic Experience
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