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Unit 11: Principal as Driver of Change
Day 1
The Heart of Change
“People change what they do less because they are
given analysis that shifts their thinking than
because they are shown a truth that influences their
feelings.”
John P. Kotter, world-renowned expert on leadership
at the Harvard Business School
The Heart of Change
Unit 11 Outline
Economic, political, and social forces
driving school change
Breakdown of the Kotter 8-Step Change
Model
Role of the principal in designing,
implementing, and anchoring a change
process
Bolman and Deal’s lensing technique for
analyzing stakeholder interests
Key Questions
How can a principal effectively lead systemic
change?
How can a principal distinguish and balance the
roles of change leader and change manager?
How can a leader overcome resistance to
change? Do you need everyone to come along?
When is it appropriate to take the risks associated
with a change initiative?
How can a leader build and maintain momentum
for long-term change?
How do you achieve a “tipping point” in
embedding improvements in a school?
Kotter’s Leading for Change
sequential and invariant
Source: John P. Kotter
Instructional Change Initiative
Word Association Speed Round:
“Urgency”
Urgency
Identify 8-12 words or phrases that characterize the
term “urgency” – What do you associate with urgency?
Sources of Complacency
The absence of a major
and visible crisis
Too much happy talk
from senior management
Human nature, with its
capacity for denial,
especially if people are
already busy or stressed
Too many visible
resources
COMPLACENCY
Low overall
performance standards
Organizational
structures that focus
employees on narrow
functional goals
A kill-the-messengerof-bad-news, lowcandor, lowconfrontation culture
A lack of sufficient
performance feedback
from external sources
Internal measurement
systems that focus on the
wrong performance
indexes
Source: John P. Kotter
Complacency Activity
Charting: Urgency
What did you do to get people
out of the bunker and ready to
move? How did you start telling
others, "Let's go, we need to
change things!"
Characteristics of the Guiding
Coalition
 Power
 Expertise
 Credibility
 Leadership
Source: John P. Kotter
Creating a Guiding Coalition
Core Challenge: Get the right people in place with
the trust, emotional commitment, and
teamwork to guide a very difficult change
process
 Put together a group with enough power to
lead the change.
 Get the group to work together like a team.
Desired New Behavior: A group powerful enough
to guide a big change is formed and they start
to work together well.
Source: John P. Kotter
Charting: Guiding Coalition
How did you get the right people
in place with trust, emotional
commitment, and teamwork?
?
A vision statement
simplifies many detailed
decisions.
It motivates people to take
action by giving them
purpose.
Develop the Change Vision and
Strategy
Core Challenge: Get the guiding team to create the
right vision and strategies to guide action in all of
the remaining stages of change. This requires
moving beyond number-crunching to address the
creative and emotional components of vision.
Create a vision to help direct the change effort.
Develop strategies for achieving that vision.
Desired New Behavior: The guiding team
develops the right vision and strategy for the
change effort.
Source: John P. Kotter
Vision for your Change
Initiative
Develop
Communicate
Implement
Maintain
Charting: Vision and Strategies
How did you get the guiding
team to develop the right vision
and create the strategies for
the change effort?
Communicate the Change
Vision
Core Challenge: Get as many people as
possible acting to make the vision a reality.
Use every vehicle possible to constantly
communicate the vision and strategies.
Have the guiding coalition model the
behavior expected of employees.
Desired New Behavior: People begin to buy into
the change, and this shows in their behavior.
Source: John P. Kotter
Charting: Communicating for
Understanding and Buy-in
How did you use every vehicle
possible to constantly communicate
the vision and strategies?
Empower for Broad-based
Action
 Change the systems or structures that
undermine the change vision.
 Encourage risk taking and nontraditional
ideas, activities, and actions.
 Get rid of obstacles.
 Invest in people and increase skills.
 Engage in honest dialogue with resisters.
Desired New Behavior: More people feel free
to act, and do act on the vision.
Source: John P. Kotter
Charting: Empowering for
Broad-based Action
Empower BroadBased Action
How did you use the core challenge
to get to the desired behavior?
Guidelines for Generating
Short-Term Wins
What Works
 Early wins that come fast
 Wins that are as visible as
possible to as many people as
possible
 Wins that penetrate emotional
defenses by being unambiguous
 Wins that are meaningful to
others—the more deeply
meaningful the better
 Early wins that speak to
powerful players whose support
you need and do not yet have
 Wins that can be achieved
cheaply and easily, even if they
seem small compared with the
grand vision
What Does Not Work
 Launching too many projects
all at once
 Achieving the first win too
slowly
 Stretching the truth
Source: John P. Kotter
Benefits of Short-Term Wins
1. Provide evidence that sacrifices are
worth it
2. Reward change agents with a pat on the
back
3. Help fine-tune vision and strategies
4. Undermine cynics and self-serving
resisters
5. Keep bosses on board
6. Build momentum
Source: John P. Kotter
Generate Short-Term Wins
Core Challenge: Produce Short-Term Wins.



Plan for visible improvements in performance, or “wins”.
Create those wins.
Visible recognize and reward people who made the win
possible.
A good short-term win has the following
characteristics:
 Visible
 Unambiguous
 Connected to the change effort
Desired New Behavior: Momentum builds as people try
to fulfill the vision, while fewer and fewer resist change.
Source: John P. Kotter
Charting: Generating ShortTerm Wins
What did you do to promote short-term wins
that empowered people to act on the vision?
What actions did you take to promote shortterm wins and help others feel able to act on
the vision?
Consolidate Gains and Produce More
Change
Don’t Let Up!
 Press harder and faster after the first success.
 Be relentless with initiating change after change
until the vision is a reality.
 Continuously support the people involved in the
change initiative
Desired New Behavior: People remain
energized and motivated to push change
forward until the vision is unfilled.
Anchor New Approaches in the
Culture
Make It Stick!




Anchoring change come last, not first
Depends on results
May involve turnover
Hold on to the new ways of behaving, and make
sure they succeed, until they become strong
enough to replace old traditions.
Desired New Behavior: New and winning behavior
continues despite the pull of tradition, turnover of
change leaders, etc.
The Importance of Culture
 When new practices and behaviors
introduced in a change process are not
compatible with the culture, the new
practices slowly give way and the change
efforts become undone
 Cultures change only after people’s actions
or practices have changed and people see
the benefit of their new behaviors for a
period of time
Percent of Participants that Claim a GLOW
‘Glows’ & ‘Grows’ by Stage
N=140 (6 Cohorts)
Empower
Urgency
Coalition
Vision
Communicate
Short-term wins
Make it stick
Anchor
Kotter Stage Implemented over Time
Day One Summary
The Kotter Change Model
How can the model inform and guide your work?
Which of the 8-steps have you seen leaders
forget?
Which step(s) do you find most natural/intuitive?
Which step(s) will you find most difficult? How can
you plan to overcome difficulties?
Review of pre-work for day two
Complete daily evaluation
Unit 11: Principal as Driver of Change
Day 2
Day 2 Key Questions
How can a school leader effectively lead
systemic change?
How can a school leader overcome
resistance to change?
When is it appropriate to take the risks
associated with a change initiative?
How can a school leader build and maintain
momentum for long-term change?
Corporate Case Study
Questions
Group 1: Was a sense of urgency
established?
Group 2: Was a change management
team/coalition created?
Group 3: Was a change vision created?
Group 4: Did the change management
team communicate the vision?
Corporate Case Study
Questions (cont.)
Group 5: What kind of structural barriers existed
for the change management team? What steps did
they take to remove the structural barriers?
Group 6: Did the change management team
handle individual resistance appropriately?
Group 7: Was the change management team able
to create small wins?
Group 8: Did the leadership anchor change in the
culture at NUMMI?
Resistance-Friction-Pushback
Sample Statements of
Resistance and Complacency
“Standards-based education is just the
latest fad. We’ll return to the good ole
days soon enough.”
“When the economy picks up, we’ll get
additional funds for these special
programs.”
“We’ve always done it this way.”
Emotional Aspects of Change
Stages
Fear Mongering Confusion
Delay
Character
Assignation
Resistant Actions
Emotional Aspects of Change
1
2
3
4
5
6
7
8
Resistance
Resistance is not bad, it is inevitable. Your
job is to find a way to embrace the resister
and not allow him to stop change.
Resistance Ethics and Behavior
Don’t scheme to keep potential opponents,
even the sneakiest attackers, out of the
discussion. Let them in!
Don’t try to overcome attacks with tons of
data; logic and yet more logic; or lists of
reasons why unfair, uninformed, or sneaky
attacks are wrong, wrong, wrong. Instead,
do what might seem to be the opposite.
Resistance Ethics and Behavior
Don’t try to crush attackers with ridicule,
counterattacks, or condescension, even when
it seems as though people deserve it, even
when a part of you really wants to do just that,
and you have the skills to do so.
Don’t focus on the attacker and his or her unfair,
illogical, or mean argument (though it will be
extremely tempting to do so).
Getting Past Resistance
to Buy-In
Visualizing the Discussion
Bolman and Deal’s Four
Lenses
 Structural
 Allocates responsibilities to participants (“division of
labor”) and creates rules, policies, procedures, and
hierarchies to coordinate diverse activities
 Human Resource
 Looks at individuals’ needs, skills, and relationships
to find ways to get the job done while making the
individuals feel good about what they are doing
 Political
 Analyzes how to identify the needs, perspectives,
and interests of different stakeholders who are
competing for power and scarce resources, and
negotiate to get the work done
 Symbolic
 Sees organizations as cultures propelled more by
rituals, ceremonies, stories, heroes, and myths, than
by rules, policies, or managerial authority
Source: Bolman and Deal
Structural Lens
 Organizations exist to achieve
established goals and objectives.
 Organizations work best when
rationality prevails
 Structures must be designed to fit an
organization’s circumstances
 Organizations increase efficiency and
enhance performance through
specialization and division of labor
 Appropriate forms of coordination
and control are essential
 Problems and performance gaps can
be remedied through restructuring
Source: Bolman and Deal
Human Resource Lens
 Organizations exist to serve
human needs
 People and organizations need
each other
 When the fit between individual
and system is poor, one or both
suffer
 A good fit benefits both
Source: Bolman and Deal
Political Lens
 Organizations are coalitions of various
individuals and interest groups.
 There are enduring differences among
coalition members in values, beliefs,
information, interests, and perceptions of
reality.
 Most important decisions involve the
allocation of scarce resources—who gets
what.
 Scarce resources and enduring differences
give conflict a central role in organizational
dynamics and make power the most
important resource.
 Goals and decisions emerge from
bargaining, negotiation, and jockeying for
position among different stakeholders.
Source: Bolman and Deal
Symbolic Lens
 Activity and meaning are loosely coupled — events
have multiple meanings because people interpret
experience differently.
 Most of life is ambiguous or uncertain
 High levels of ambiguity and uncertainty undercut
rational analysis, problem solving, and decisionmaking.
 In the face of uncertainty and ambiguity, people
create symbols to resolve confusion, increase
predictability, provide direction, and anchor hope
and faith.
 Many events and processes are more important for
what is expressed than what is produced.
Source: Bolman and Deal
Choosing a Lens/Frame
Frame if Answer is
Yes
Frame if Answer is
No
Are individual
commitment and
motivation essential
to success?
Human resource,
symbolic
Structural, political
Is the technical
quality of the
decision important?
Structural
Human resource,
political, symbolic
Are there high levels
of ambiguity and
uncertainty?
Political, symbolic
Structural, human
resource
Are conflict and
scare resources
significant?
Political, symbolic
Structural, human
resource
Are you working from
the bottom up?
Political
Structural, human
resource, symbolic
Question
Source: Bolman and Deal
Self-Assessment
Leadership Orientations Scoring
Structure-Factory
Human-Resources—Family
Political-Jungle
Symbolic-Temple
Understanding the Lenses
Frames that Confront You
Event: a child is injured at school by a bully
1: We need to bring in parents to help us
decide how to handle this big problem.
2: We need to have stronger punishments for
those who bully others.
3: This will show our school in a very bad
light.
4: Schools need to be safe places for kids
Jot notes, questions, concerns in margins
57
Callent Middle School
Help Anna prepare an Action Plan for your
challenge.
Use “data” to inform your recommendations.
Explore and recommend specific action(s)
related to your assigned Kotter change step
Futures Wheel
Reflection
Considering everything you have
read, heard and thought about
during this unit, what are some
major improvement areas for
leadership of change initiatives in
your school?